New York State Department of State

October 18, 2017 DEPARTMENT OF STATE Vol. XXXIX Division of Administrative Rules Issue 42 NEW YORK STATE REGISTER

INSIDE THIS ISSUE: D Establishment and Operation of Market Stabilization Mechanisms for Certain Health Insurance Markets D Lead Testing in School Drinking Water D Distance Learning for Qualifying Real Estate Appraisal Courses Executive Orders

State agencies must specify in each notice which proposes a rule the last date on which they will accept public comment. Agencies must always accept public comment: for a minimum of 45 days following publication in the Register of a Notice of Proposed Rule Making, or a Notice of Emergency Adoption and Proposed Rule Making; and for 30 days after publication of a Notice of Revised Rule Making, or a Notice of Emergency Adoption and Revised Rule Making in the Register. When a public hearing is required by statute, the hearing cannot be held until 45 days after publication of the notice, and comments must be accepted for at least 5 days after the last required hearing. When the public comment period ends on a Saturday, Sunday or legal holiday, agencies must accept comment through the close of business on the next succeeding workday.

For notices published in this issue: – the 45-day period expires on December 2, 2017 – the 30-day period expires on November 17, 2017 ANDREW M. CUOMO GOVERNOR

ROSSANA ROSADO SECRETARY OF STATE

NEW YORK STATE DEPARTMENT OF STATE

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When a time frame calculation ends on a Saturday or Sunday, the agency accepts public comment through the following Monday; when calculation ends on a holiday, public comment will be accepted through the following workday. Agencies cannot take action to adopt until the day after expiration of the public comment period.

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New York State Register October 18, 2017/Volume XXXIX, Issue 42

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 Notices of Proposed Rule Making. This includes Proposed, Emergency Proposed, Revised Proposed and Emergency Revised Proposed rule makings. Choose pertinent issue of the Register and follow the procedures on the website (www.dos.ny.gov) Rule Making Activities Aging, Office for the 1 / Administration of the Long Term Care Ombudsman Program (P) Criminal Justice Services, Division of 3 / Familial Search Policy (A) 6 / Handling of Ignition Interlock Cases Involving Certain Criminal Offenders (A) Elections, State Board of 7 / Administrative Complaint Procedure for Resolution of Violations of Title III Provisions of HAVA (A) Environmental Conservation, Department of 8 / Notice of expiration Financial Services, Department of 8 / Establishment and Operation of Market Stabilization Mechanisms for Certain Health Insurance Markets (E) 11 / Title Insurance Rates, Expenses and Charges (A) 12 / Title Insurance Agents, Affiliated Relationships, and Title Insurance Business (A) 13 / Notice of expiration Health, Department of 13 / Lead Testing in School Drinking Water (E) 16 / Physician and Pharmacies; Prescribing, Administering and Dispensing for the Treatment of Narcotic Addiction (E) Joint Commission on Public Ethics, New York State 18 / Financial Disclosure Statements (P) Long Island Power Authority 18 / Low-Income Customer Discounts in the Authority’s Tariff (A) People with Developmental Disabilities, Office for 19 / Certification of Facilities and Home and Community Based Services (HCBS) (A) Public Service Commission 19 / Complaint for Review of Rates Charged for Water Service to Commercial and Residential Custom- ers of Water Works Corporation (P) 20 / NYSRC’s Revisions to Its Rules and Measurements (P) 20 / Notice of Intent to Submeter Electricity (P) 20 / Ampersand Kayuta Lake Hyrdo, LLC’s 460 KW Hydroelectric Facility in Boonville, New York (P) 21 / Ampersand Chasm Falls Hydro, LLC’s 1.6 MW Hydroelectric Facility in Chateaugay, New York (P) 21 / To Obtain a Letter of Credit and Increase the Currently Capped Debt (P) 21 / Petition for Rehearing of Negative Revenue Adjustment and Contents of Annual Performance Report (P) State, Department of 22 / Appraiser Experience Log and Qualifications (A) 22 / Distance Learning for Qualifying Real Estate Appraisal Courses (A) 22 / Electronic Storage of Safety Data Sheets (A) 22 / Appraisal Standards (P) Hearings Scheduled for Proposed Rule Makings / 24 Action Pending Index / 25

Securities Offerings 73 / State Notices

Advertisements for Bidders/Contractors 75 / Sealed Bids

Miscellaneous Notices/Hearings 77 / Notice of Abandoned Property Received by the State Comptroller 77 / Notice of Public Hearing 78 / Public Notice

Executive Orders 83 / Executive Order No. 168.3: Continuing the Declaration of a Disaster Emergency in the Five Boroughs of New York City and the Counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suffolk and Westchester that Incorporate the MTA Region in the State of New York. RULE MAKING ACTIVITIES

Each rule making is identified by an I.D. No., which consists Ombudsman. This section also directs the LTCOP to develop a grievance procedure regarding determinations or actions of the state ombudsman, of 13 characters. For example, the I.D. No. AAM-01-96- which are also dictated by federal law and regulation. 00001-E indicates the following: Section 6660.3 of the regulations lists requirements around identification, removal and remedy of both organizational and individual conflicts AAM -the abbreviation to identify the adopting agency of interest. Specifically, it enumerates both organizational and individual 01 -the State Register issue number conflicts of interest that are problematic to the LTCOP and the procedure for identifying, remedying or removing those conflicts. Additionally, this 96 -the year section puts forth the responsibilities of local ombudsman entities with 00001 -the Department of State number, assigned upon regard to conflicts of interest. The requirements regarding organizational receipt of notice. and individual conflicts of interest detailed in this section bring NYSOFA’s regulations into conformance with the federal regulations. E -Emergency Rule Making—permanent action Section 6660.4 addresses the responsibilities of local long- term care not intended (This character could also be: A ombudsmen. This section is added to conform with federal regulations. for Adoption; P for Proposed Rule Making; RP The new Section 6660.5 sets forth the requirements for the designation of an ombudsman. This section also brings the LTCOP’s process of for Revised Rule Making; EP for a combined designating ombudsmen into compliance with federal regulations. Emergency and Proposed Rule Making; EA for By adding section 6660.6 of the regulations, NYSOFA is bringing an Emergency Rule Making that is permanent LTCOP’s criteria for designating and de-designation of local ombudsman entities into compliance with federal requirements. and does not expire 90 days after filing.) Section 6660.7 lists the responsibilities of local ombudsman entity coordinators and conforms them with federal requirements. Italics contained in text denote new material. Brackets NYSOFA is adding section 6660.8 which enumerates the program stan- indicate material to be deleted. dards for local long-term care ombudsman programs for the purpose of bringing LTCOP’s program standards into compliance with federal law and regulations. Section 6660.9 addresses ombudsmen access to residents and long-term care facilities. In addition, this section contains language that prohibits the interference with an ombudsman while the ombudsman is carrying out his Office for the Aging or her duties. Section 6660.10 specifically addresses ombudsmen access to resident and facility records. This section specifies the types of records to which PROPOSED RULE MAKING the ombudsmen have access and under what circumstances ombudsmen NO HEARING(S) SCHEDULED may access those records. These requirements conform with the federal requirements that address access to resident and facility records. NYSOFA added Section 6660.11 which dictates the circumstances Administration of the Long Term Care Ombudsman Program under which ombudsmen may reveal a resident’s personal information to I.D. No. AGE-42-17-00001-P an individual not associated with the LTCOP. This section also discusses the manner in which a resident may provide informed consent to an ombudsman for the purpose of disclosing the resident’s personal PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- information. Finally, this section addresses how ombudsmen can obtain cedure Act, NOTICE is hereby given of the following proposed rule: permission to disclose a resident’s personal information when that resident Proposed Action: Repeal of Part 6660; addition of new Part 6660 to Title is unable to give consent for such disclosure. These additions bring 9 NYCRR. NYSOFA’s regulations into compliance with the federal regulations Statutory authority: Elder Law, section 218; The Federal Older Americans governing the program. Act 711 (42 USC section 3056f), 712 (42 USC section 3058g); 45 CFR Section 6660.12 outlines the procedure that an ombudsmen must section 1321.11 and 45 CFR Part 132 undertake when investigating a resident’s complaint. This section is in Subject: Administration of the Long Term Care Ombudsman Program. conformance with federal regulations and lists the procedures to be followed by ombudsmen when they are investigating complaints. Purpose: To bring NYSOFA’s rules and regulations governing LTCOP A copy of the full text of the regulatory proposal is available on the into conformance with the Federal Statute and regulations. New York State Office for the Aging’s website at www.aging.ny.gov and Substance of proposed rule (Full text is posted at the following State https://ltcombudsman.ny.gov/ website: www.aging.ny.gov and www.ltcombudsman.ny.gov): The Text of proposed rule and any required statements and analyses may be purpose of this rule is to bring NYSOFA’s rules and regulations governing obtained from: Stephen Syzdek, New York State Office for the Aging, the New York State Long-Term Care Ombudsman Program (LTCOP) in Two Empire State Plaza, Albany, NY 12223, (518) 474-5041, email: line with federal statute and regulations. 9 NYCRR Part 6660 is being re- [email protected] pealed and replaced with a new Part 6660 to bring NYSOFA’s regulations into compliance with federal statute and regulations. Data, views or arguments may be submitted to: Same as above. Section 6660.1 of the regulations provides the definitions to bring New Public comment will be received until: 45 days after publication of this York State LTCOP into conformance with the definitions found in the notice. federal regulations. Regulatory Impact Statement Section 6660.2. This section enumerates the responsibilities of the 1. Statutory Authority: Section 218(10) of the New York State Elder LTCOP and includes the responsibilities that are required by federal law Law authorizes the Director of the New York State Office for the Aging to and regulation. This section also lists the qualifications required of an indi- promulgate regulations to implement the provisions of section 218 of the vidual who is being considered for the position of State Long-Term Care Elder Law.

1 Rule Making Activities NYS Register/October 18, 2017

New York State Elder Law Section 218 establishes the office of the Section 6660.12 outlines the procedure that ombudsmen must undertake long-term ombudsman (LTCOP) and governs its administration. when investigating a resident’s complaint. This section is in conformance The Federal Older Americans Act Sections 711(42 USC § 3058f) and with federal regulations and lists the procedures to be followed by ombuds- 712 (42 USC § 3058g) governs the Administration of the LTCOP. men when they are investigating complaints. Federal Regulations 45 CFR § 1321.11 and 45 CFR Part 1324 govern the administration of the LTCOP and the New York State Office for the 4. Costs: This proposed rule imposes no additional costs to the regulated Aging’s responsibilities to the LTCOP. parties, NYSOFA or state and local governments to implement and to 2. Legislative Objectives: The LTCOP is established in the Older continue to comply with this proposed rule. The LTCOP will essentially Americans Act (OAA) and the legislative objective for the program is to continue to function as it has and this rulemaking ensures that New York serve as a resource and advocate for residents of nursing homes, adult State’s rules governing the LTCOP are in compliance with federal law and homes, assisted living facilities and family type homes. As required by the regulations. OAA, Ombudsmen work to resolve problems of individual residents and 5. Paperwork: The proposed rule does not change any of the reporting to bring about changes at the local, state and national levels that will requirements, forms or other paperwork from what is already required of improve residents’ care and quality of life. The New York State Elder Law establishes the office of the long-term care ombudsman and mirrors the the entities administering the program. The LTCOP will essentially objectives of the OAA. continue to function as it has and this rulemaking ensures that New York 3. Needs and Benefits: The purpose of this rule is to bring NYSOFA’s State’s rules governing the LTCOP are in compliance with federal law and rules and regulations governing the LTCOP in line with federal statute and regulations. regulations. This rulemaking is essentially a consensus rulemaking as 6. Local Government Mandates: The proposed rule does not impose NYSOFA is compelled to have its state regulations in compliance and any program, service, duty or responsibility upon any city, county, town, conformance with federal law and regulations. Failure by NYSOFA to village, school district or other special district. The LTCOP will essentially achieve that compliance and conformance would jeopardize federal fund- continue to function as it has and this rulemaking ensures that New York ing not only for the LTCOP, but for all OAA funded services administered by New York State and our network of aging services providers which State’s rules governing the LTCOP are in compliance with federal law and includes county sponsored area agencies on aging and not-for-profit aging regulations. services providers. 7. Duplication: There are no laws, rules or other legal requirements that 9 NYCRR Part 6660 is being repealed and replaced with a new Part duplicate, overlap or conflict with this proposed rule. This rule does not 6660 to bring NYSOFA’s regulations into compliance with federal statute impose duplicative or overlapping requirements on the regulated parties. and regulations. This rulemaking brings the NYSLTCOP into compliance with federal Section 6660.1 of the regulations provides the definitions to bring New requirements. York State LTCOP into conformance with the definitions found in the 8. Alternatives: NYSOFA did not consider programmatic alternatives federal regulations. during the development of this proposal. Failure by NYSOFA to achieve Section 6660.2. This section enumerates the responsibilities of the compliance would jeopardize federal funding not only for the LTCOP, but LTCOP and includes the responsibilities that are required by federal law for all OAA funded services administered by New York State and our and regulation. This section also lists the qualifications required of an indi- network of aging services providers which includes county sponsored area vidual who is being considered for the position of State Long-Term Care agencies on aging and not-for-profit aging services providers. Ombudsman. This section also directs the LTCOP to develop a grievance 9. Federal Standards: This rule does not exceed Federal standards. procedure regarding determinations or actions of the state ombudsman, 10. Compliance Schedule: The New York state long-term care ombuds- which are also dictated by federal law and regulation. Section 6660.3 of the regulations lists requirements around identifica- man program and the Local Ombudsman entities will be able to comply tion, removal and remedy of both organizational and individual conflicts with this proposed rule immediately after promulgation. of interest. Specifically, it enumerates both organizational and individual Regulatory Flexibility Analysis conflicts of interest that are problematic to the LTCOP and the procedure This proposed rule will not have an adverse economic impact on small for identifying, remedying or removing those conflicts. Additionally, this businesses or local governments nor will it impose reporting, record keep- section puts forth the responsibilities of local ombudsman entities with ing or compliance requirements above those already required by the New regard to conflicts of interest. The requirements regarding organizational York State Long Term Care Ombudsman Program on small businesses or and individual conflicts of interest detailed in this section bring NYSOFA’s regulations into conformance with the federal regulations. local governments. This proposed rule updates the regulations for the Long Section 6660.4 addresses the responsibilities of local long-term care Term Care Ombudsman Program to bring them into compliance with the ombudsmen. This section is added to conform with federal regulations. Older Americans Act and the Federal regulations promulgated thereunder. The new Section 6660.5 sets forth the requirements for the designation The proposed rule only affects the New York State Office for the Aging, of an ombudsman. This section also brings the LTCOP’s process of the New York State Long Term Care Ombudsman Program and the enti- designating ombudsmen into compliance with federal regulations. ties that administer the Long Term Care Ombudsman Program on a By adding section 6660.6 of the regulations, NYSOFA is bringing regional level by ensuring that the New York State Ombudsman Program LTCOP’s criteria for designating and de-designation of local ombudsman is administered and operated in compliance with Federal requirements. entities into compliance with federal requirements. Rural Area Flexibility Analysis Section 6660.7 lists the responsibilities of local ombudsman entity This proposed rule will not have an adverse economic impact on public or coordinators and conforms them with federal requirements. private entities in rural areas nor will it impose reporting, record keeping NYSOFA is adding section 6660.8 which enumerates the program stan- or compliance requirements above those already required by the New dards for local long-term care ombudsman programs for the purpose of bringing LTCOP’s program standards into compliance with federal law York State Long Term Care Ombudsman Program on public or private and regulations. entities in rural areas. This proposed rule updates the regulations for the Section 6660.9 addresses ombudsmen access to residents and long-term Long Term Care Ombudsman Program to bring them into compliance care facilities. In addition, this section contains language that prohibits the with the Older Americans Act and the Federal regulations promulgated interference with an ombudsman while the ombudsman is carrying out his thereunder. The proposed rule only affects the New York State Office for or her duties. the Aging, the New York State Long Term Care Ombudsman Program and Section 6660.10 specifically addresses ombudsmen access to resident the entities that administer the Long Term Care Ombudsman Program on a and facility records. This section specifies the types of records to which regional level by ensuring that the New York State Ombudsman Program the ombudsmen have access and under what circumstances ombudsmen is administered and operated in compliance with Federal requirements. may access those records. These requirements conform with the federal Job Impact Statement requirements that address access to resident and facility records. The New York State Office for the Aging has determined that this proposed NYSOFA added Section 6660.11 which dictates the circumstances rule will not have a substantial adverse impact on jobs. This proposed rule under which ombudsmen may reveal a resident’s personal information to an individual not associated with the LTCOP. This section also discusses updates the regulations for the Long Term Care Ombudsman Program to the manner in which a resident may provide informed consent to an bring them into compliance with the Older Americans Act and the Federal ombudsman for the purpose of disclosing the resident’s personal regulations promulgated thereunder. The proposed rule only affects the information. Finally, this section addresses how ombudsmen can obtain New York State Office for the Aging, the New York State Long Term Care permission to disclose a resident’s personal information when that resident Ombudsman Program and the entities that administer the Long Term Care is unable to give consent for such disclosure. These additions bring Ombudsman Program on a regional level by ensuring that the New York NYSOFA’s regulations into compliance with the federal regulations State Ombudsman Program is administered and operated in compliance governing the program. with Federal requirements.

2 NYS Register/October 18, 2017 Rule Making Activities

the case requirements in paragraph (1) of subdivision (h) of this Part have been satisfied; and Division of Criminal Justice (ii) The state CODIS administrator will confirm that the sample requirements in subparagraphs (i) and (ii) of paragraph (3) of subdivision Services (h) of this Part have been verified by the forensic laboratory that generated the forensic DNA profile; and (iii) The state CODIS administrator will confirm that the sample requirements in subparagraphs (iii) and (iv) of paragraph (3) of subdivi- NOTICE OF ADOPTION sion (h) of this Part have been met. (2) The commissioner shall review all completed applications. Familial Search Policy (i) If, upon review and evaluation of such application, the commissioner determines that any of the case and/or any of the sample require- I.D. No. CJS-30-17-00025-A ments are not satisfied, the division shall notify the requestors, in writing, Filing No. 832 that a familial search cannot be performed and identify the requirements Filing Date: 2017-10-03 not satisfied. (ii) If, upon review and evaluation of such application, the com- Effective Date: 2017-10-18 missioner determines that all of the case and sample requirements have been satisfied, the law enforcement agency, the district attorney, the direc- PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- tor of the new york state police crime laboratory or his or her designee, cedure Act, NOTICE is hereby given of the following action: and the commissioner of the division or his or her designee, must execute Action taken: Amendment of Part 6192 of Title 9 NYCRR. a memorandum of understanding among themselves detailing the role of each organization. Statutory authority: Executive Law, sections 837(13), 995-b(9) and (13) (j) Upon receipt of the memorandum of understanding described in Subject: Familial Search Policy. subparagraph (ii) of paragraph (2) of subdivision (i) of this Part, the new Purpose: To codify a familial search policy. york state police crime laboratory will: Text of final rule: 1. Subdivision (q) of Section 6192.1 of 9 NYCRR is (1) use validated software, which has been approved by the DNA amended to read as follows: subcommittee and the commission, to perform a familial search of the (q) The [phrase] phrases indirect association and partial match [refers] DNA databank and generate a candidate list; refer to the determination during the CODIS candidate match confirma- (2) evaluate the candidate list based on established kinship threshold tion process that a forensic DNA profile is similar to a DNA profile in the value(s) approved by the DNA subcommittee and commission; offender index and a comparison reveals that the offender may be a close (3) perform Y-STR testing on the candidate sample(s) if the forensic biological relative of the source of the forensic index profile. The phrases DNA profile is from a male individual and sufficient forensic DNA sample may be used interchangeably. exists for Y-STR testing; and 2. New subdivisions (ab), (ac) and (ad) are added to Section 6192.1 of 9 (4) if appropriate, ensure additional testing is performed on the NYCRR to read as follows: candidate sample, provided there is sufficient forensic DNA sample avail- (ab) The phrases familial DNA search and familial search refer to a able for testing. targeted evaluation of offenders’DNA profiles in the DNA databank which (k) In order for the results of the familial DNA search to be released, the generates a list of candidate profiles based on kinship indices to indicate following conditions must be met: potential biologically related individuals to one or more sources of (1) The requestors must satisfactorily complete, and demonstrate an evidence. understanding of, a mandatory, in-person or at the discretion of the com- (ac) The phrase offender refers to anyone in the Databank who has missioner, video conference training. At a minimum, the training shall been convicted of a crime. address: (ad) The phrases State CODIS administrator and State System adminis- (i) how a familial search is conducted, including the limitations of trator refer to an employee of the state CODIS laboratory who is the method; responsible for administration and security of the databank. (ii) guidance on how to best evaluate leads from a familial search 3. New subdivisions (h), (i), (j) and (k) are added to Section 6192.3 of 9 in order to protect unknown family relationships (donor parents/adoptions, NYCRR to read as follows: previously unknown relatives); (h) When there is not a match or a partial match to a sample in the (iii) the confidentiality requirements associated with the DNA DNA databank a familial search may be performed. To perform a familial profiles generated (see, Executive Law §§ 995-c; 995-d; 995-f); search, the following case and sample requirements must be met: (iv) the requirement to withdraw a request if a suspect is identified (1) The forensic DNA profile must be associated with: through other means before the familial search is completed; and (i) a Penal Law Article 125 felony offense, other than one defined (v) the requirement to provide follow-up information to the divi- in Penal Law sections 125.40 or 125.45; or sion regarding the case at intervals determined by the division. (ii) a Penal Law Article 130 offense that is defined as a violent (2) If the candidate profile(s) exceed the established kinship thresh- felony offense pursuant to Penal Law section 70.02; or old value(s), and are not excluded by additional testing performed, the (iii) a class A felony offense defined in Article 130, 135, 150 or 490 name(s) of the offender(s) in the DNA databank will be released. The fa- of the Penal Law; or milial DNA search results shall be provided in writing and shall include (iv) a crime presenting a significant public safety threat. the following statements: (2) The investigating agency and appropriate prosecutor must certify, (i) The information provided is for investigatory law enforcement in the form and manner required by the division, that: purposes only; (i) reasonable investigative efforts have been taken in the case; or (ii) The forensic DNA profile could not have come from the named (ii) exigent circumstances exist warranting a familial search. offender in the DNA databank; Nothing in this section shall preclude an investigating agency and the (iii) The information provided is not a definitive statement of a fa- appropriate prosecutor from requesting a familial search of an unidenti- milial (i.e., biological) relationship; and fied profile meeting the criteria set forth in the policy which is associated (iv) The information provided shall be treated only as an investiga- with a case in which a defendant was previously convicted. tive lead. (3) The forensic DNA profile must: (3) If no candidate profile(s) on the candidate list exceed the (i) be a single source, or a deduced profile originating from a established kinship threshold value(s), no name will be released and the mixture; requestors will be notified, in writing, that no potential relatives were (ii) appear to have a direct connection with the putative perpetra- identified through a familial search. tor of the crime; (4) The forensic DNA sample can be re-searched against the DNA (iii) reside in SDIS; and databank upon renewal of the request. In the absence of exigent circum- (iv) have been searched against DNA profiles in the DNA data- stances, such requests may be made every six months. bank’s offender index. Final rule as compared with last published rule: Nonsubstantial changes (i) Any request for a familial DNA search must be made jointly by the were made in section 6192.3(k)(2) and (3). appropriate investigating agency and the prosecutor (hereinafter “the Text of rule and any required statements and analyses may be obtained requestors”) through an application to the division in the form and man- from: Natasha M. Harvin-Locklear, Esq., NYS Division of Criminal ner specified by the division. Justice Services, Alfred E. Smith State Office Building, 80 South Swan (1) Upon receipt of an application: St., Albany, New York 12210, (518) 457-8413, email: (i) The division will confirm that the requestors have certified that [email protected]

3 Rule Making Activities NYS Register/October 18, 2017

Revised Regulatory Impact Statement mission exceeded their statutory authority and/or lack such authority with A revised RIS is not being submitted because it is not required. This is a regard to the proposed familial search policy. Citing Weiss v. City of New technical amendment exempt from SAPA § 202-a. York, 731 N.E.2d 594 (N.Y. 2000), and Nicholas v. Goord, 430 F.3d 652 (2d. Circ. 2005), the NYCLU noted that “[r]egulatory enactments must be Revised Regulatory Flexibility Analysis in harmony with statute; rules and regulations may be promulgated only to A revised RFASBLG is not being submitted because the non-substantive the extent they are consistent with the will of the legislature *** state law changes to the proposed rule will not impose any adverse economic impact does not authorize, and does not anticipate, the use of DNA profiles in the or reporting, recordkeeping or other compliance requirements on small state’s databank to facilitate criminal investigations of individuals based businesses or local governments. This is a technical amendment. solely upon the fact their DNA is similar to a family member whose DNA Revised Rural Area Flexibility Analysis profile may be in the state’s data bank *** the statutory scheme intends to A revised RAFA is not being submitted because the non-substantive prevent recidivism, and to facilitate the prosecution of recidivist offenders, by maintaining DNA identifiers of certain convicted offenders.” changes to the proposed rule will not impose any adverse impact or report- NYCLU further noted that “if lawmakers saw a need for partial-match of ing, recordkeeping or other compliance requirements on public or private familial search techniques in the analysis of forensic DNA, they would entities in rural areas. This is a technical amendment. have passed a bill.” Revised Job Impact Statement Comment #2: The LAS asserted that the Commission and the DNA A revised JIS is not being submitted because the non-substantive changes Subcommittee lack the authority to authorize familial searching stating to the proposed rule will not impose a substantial adverse impact on jobs that the Legislature “is the appropriate venue” since it “has historically and employment opportunities. This is a technical amendment. made determinations concerning database expansion.” Initial Review of Rule Response: No specific provision expressly prohibits a familial search policy. Indeed, the court in Gallo v. Pataki, 831 N.Y.S.2d 896, 899 (N.Y. As a rule that does not require a RFA, RAFA or JIS, this rule will be Sup. Ct., 2007) held that “Executive Law section 995–c(3) sets forth one initially reviewed in the calendar year 2022, which is no later than the 5th class of people subject to testing, but does not forbid other groups from year after the year in which this rule is being adopted. being tested. Accordingly, requiring DNA testing as a condition of parole Assessment of Public Comment does not violate the DNA Database law.” Also, the Legislature authorized Pursuant to Executive Law § 995-b(9), the Commission on Forensic the Commission to promulgate a policy for the establishment and opera- Science (Commission), in consultation with the DNA Subcommittee, must tion of a DNA Databank, and authorized the Division to establish and promulgate a policy for the establishment and operation of a DNA operate the Databank (see, Executive Law §§ 995-b[9], 995-c[1],[2]). Databank. Thus, the Legislature clearly intended that the Commission and Division The DNA Databank became operational in 1996. Since its inception, establish and maintain effective procedures governing the DNA Databank the policy for the establishment and operation of the DNA Databank (see, Gallo at 898 [“the DNA Database law constituted a large-scale required pursuant to Executive Law § 995-b(9) has been promulgated by delegation of authority to the executive branch.”]). As the administrative the Division of Criminal Justice Services (Division) in 9 NYCRR Part arm of the Commission, the Division intends to carry out its duty to 6192. The proposed rule will amend 9 NYCRR Part 6192 to codify a fa- maintain effective procedures governing the DNA Databank by adopting milial search policy. and promulgating the proposed regulations. DNA profiles generated from evidence associated with criminal In addition, the State DNA Databank, which contains DNA profiles of investigations are routinely searched against DNA databanks. Currently, convicted offenders, was created so that law enforcement officials can the regulations permit “partial matches” that occur inadvertently and may identify the perpetrators of crimes when DNA evidence is found at a crime indicate that a perpetrator is a close blood relative of an individual whose scene (see, Executive Law § 995-c[6][a] which provides, in part, “DNA DNA is on file. In situations when there is not an association (“match”) or records contained in the state DNA identification index shall be re- an indirect association (“partial match”) to a sample in the New York State leased…to a federal law enforcement agency, or to a state or local law DNA Databank, familial searching would be utilized. Familial searching enforcement agency or district attorney’s office for law enforcement is a targeted evaluation of the convicted offenders in the DNA Databank. identification purposes upon submission of a DNA record in connection This search generates a list of candidates based on kinship statistics to with the investigation of the commission of one or more crimes….”). indicate potential biologically related individuals. Familial searching could Through the proposed familial search policy, law enforcement officials greatly increase the pool of potential suspects, thereby increasing the will have a better opportunity to solve crimes and prevent additional ones number of crimes solved. from occurring. After receiving the necessary approval, the Division formally proposed Based upon the broad jurisdiction of the Commission and the legality of an amendment to 9 NYCRR Part 6192, which was published in the July the DNA Databank, the proposal of the familial search policy is supported 26, 2017 issue of the State Register under I.D. No. CJS-30-17-00025-P, to by statute and case law. permit the use of familial searching in New York. This publication initi- Civil Rights Law ated a 45-day public comment period, i.e., through Monday, September Comment: The NYCLU asserted that the “proposed familial search 11, 2017. policy is in conflict with statutory protections of genetic information”. The The Division received written comments pertaining to the familial NYCLU noted that the policy “overrides” Civil Rights Law § 79-l(3)(a) search policy from four organizations – the New York State Sheriffs’ As- which provides, “[a]ll records, findings and results of any genetic test sociation (NYSSA), on September 7, 2017; the New York Civil Liberties performed on any person shall be deemed confidential and shall not be Union (NYCLU), on September 8, 2017; the Innocence Project (IP), on disclosed without the written informed consent of the person to whom September 8, 2017; and the Legal Aid Society (LAS), on September 11, such genetic test relates.” 2017. The comments focused on issues which had been raised, and al- Response: Civil Rights Law § 79-l prohibits laboratories from perform- ready considered and addressed by the Commission. NYSSA supports the ing genetic tests on biological samples unless prior written consent has rule. NYCLU, IP and LAS oppose the rule. Excerpts of the comments are been obtained. Specifically, subdivision 2 of that section states that gener- presented below. The original comment letters are held on file with the ally “[n]o person shall perform a genetic test on a biological sample taken Division and may be viewed upon request. The comments and the from an individual without the prior written informed consent of such in- Division’s responses are grouped as follows: dividual ****.” General Comments However, Civil Rights Law § 79-l(4)(b) expressly states that “genetic Comment: NYSSA asserted that “[t]his amendment will generate more tests” are permitted. That section provides that such tests “may be leads for police and prosecutors and will aid in the resolution of otherwise performed without the consent of the person who is the subject of the tests unsolvable crimes. Furthermore, the regulation is properly balanced, such pursuant to an order of a court of competent jurisdiction or as provided that a familial search can only be performed if a qualifying offense has pursuant to article forty-nine-B of the executive law ****.” Article 49-B been committed and other investigatory options have been exhausted.” of the Executive Law contains provisions pertaining to the Commission, Response: Comment noted; no response required. the DNA Subcommittee, the State DNA Databank, and the confidentiality Comment: IP asserted that if the State proceeds with the adoption and of the results of DNA testing, and DNA records maintained outside the promulgation of the rule, the rule must contain oversight and privacy State DNA Databank. The provisions of Article 49-B pertain to DNA re- protections. cords belonging to convicted offenders maintained in the State DNA Response: Comment noted; responses provided herein below. The Divi- Databank, as well as to DNA records belonging to individuals who have sion asserts there is appropriate oversight as provided in the regulation provided a DNA sample to law enforcement authorities during a criminal proposed by the DNA Subcommittee and the Commission. investigation and maintained in local forensic laboratories and/or local Statutory/Legislative Authority DNA databases. Executive Law Based on the foregoing, Executive Law Article 49-B extends to all fo- Comment #1: The NYCLU asserted that the Division and/or the Com- rensic testing, including biological samples obtained from convicted of-

4 NYS Register/October 18, 2017 Rule Making Activities fenders and suspects in crimes. As such, biological samples obtained from rights are most likely to be violated by the use of family DNA searching”. convicted offenders and suspects in crimes may be tested and DNA profiles The NYCLU noted that “data substantiate a well-founded concern that developed there from without first obtaining the written consent of the of- partial-match DNA analysis and familial DNA searching techniques will fender or suspect. lead to criminal investigations and prosecutions tainted by racial and Privacy ethnic bias.” Comment #1: The NYCLU asserted that “[t]he proposed Familial Comment #2: The IP asserted that “[f]amilial searching virtually Search Policy poses serious risks to the privacy rights of individuals whose guarantees that the DNA databases will create suspects out of innocent DNA profile is held in the state’s databank, and to the privacy rights of people, and because the racial composition of DNA databases is dispropor- those individuals’ family members”. tionate to the level of crime committed by racial groups, those innocent Comment #2: IP asserted that “privacy protections and judicial suspects will disproportionately be people of color.” oversight are omitted in the proposed rule.” Comment #3: The LAS asserted that “[f]amilial searching represents Response: The proposed rule is designed to ensure that the familial expansion of investigative authority that will disparately impact African search policy is applied fairly and in accordance with constitutional Americans, Latinos, and poor communities”. The LAS noted that “[t]his safeguards and accepted scientific procedures. Familial searching is not disparate effect would be a grave violation of the Equal Protection Clause conducted automatically and can only be performed upon a joint request *** systematic targeting of innocent people based on race is a statistical by the appropriate prosecutor and police agency, and only where certain reality of familial searching because of the overrepresentation of people of case and sample requirements are met. color in the database.” The forensic DNA profile must be associated with: (1) a Penal Law Response: The Supreme Court, in Washington v. Davis, 426 U.S. 229 Article 125 felony offense, other than one defined in Penal Law sections (1976), opined that a neutral law that serves a legitimate government inter- 125.40 or 125.45; (2) a Penal Law Article 130 offense that is defined as a est does not violate the Equal Protection Clause simply because there is a violent felony offense pursuant to Penal Law section 70.02; (3) a class A racially disproportionate impact. There must be a “racially discriminatory felony offense defined in Article 130, 135, 150, or 490 of the Penal Law; purpose” (id. at 240). Familial searching will be used only as an investiga- or (4) a crime presenting a significant public safety threat. Also, the tive tool in limited situations to help apprehend violent offenders. Particu- investigating agency and the appropriate prosecutor must certify, in the lar families or ethnic groups will not be targeted or singled out. As previ- form and manner required by the Division, that: (1) reasonable investiga- ously stated, familial searching is not conducted automatically and can tive efforts have been taken in the case; or (2) exigent circumstances exist only be performed if certain case and sample requirements are met. Thus, warranting a familial search. In addition, the forensic DNA profile must: the proposal of the familial search policy, which is very limited in scope, (1) be a single source, or a deduced profile originating from a mixture; (2) is warranted. appear to have a direct connection with the putative perpetrator of the Accountability crime; (3) reside in the State DNA Index System (SDIS); and (4) have Comment #1: The NYCLU asserted that “in light of rapidly advancing been searched against DNA profiles in the DNA Databank’s offender forensic technology, including the use of forensic DNA, New York State index. Upon receipt of an application for a familial DNA search, which must develop a far more rigorous system of oversight and accountability.” must be jointly made by the appropriate investigating agency and the The NYCLU noted that there needs to be a strong and independent entity, prosecutor, the Division will confirm that the requestors have certified that and the Commission needs to be reconstituted to meet such task. the case requirements have been satisfied. The State Combined DNA Index Comment #2: The IP asserted that the decision to allow familial search- System (CODIS) administrator will confirm that the sample requirements ing is an “inherently judicial function” that must be exercised by one who have been met. If any of the case and/or sample requirements are not satis- is independent and well-versed in DNA evidence. The IP noted that the fied, the requestors will be notified that a familial search cannot be Division “is not a neutral entity” and while the current Commissioner may performed and the specific requirements that were not met. have the expertise in forensic technology, “this proposed rule must also If, upon review and evaluation of the application, the Commissioner of protect the process from future commissioners with unknown the Division determines that the case and sample requirements are satis- qualifications.” fied, the law enforcement agency, the district attorney, the director of the Comment #3: The LAS asserted that the proposed rule “provides no New York State Police Crime Laboratory, or his or her designee, and the mechanisms for accountability****.” The LAS noted that there must be Commissioner of the Division, or his or her designee, must enter into a “checks and balances***to hold those with power accountable.” memorandum of understanding that outlines their duties. Response: The necessary oversight provisions are provided in the The Laboratory must follow conduct required by scientific procedures proposed rule. The Commission is established by the Legislature pursuant utilizing validated software. The requestors must attend the training that to Executive Law § 995-a. It consists of 14 members, including scientists will address, at a minimum: (1) how a familial search is conducted, includ- who have experience in the areas of laboratory standards or quality assur- ing the limitations of the method; (2) guidance on how to best evaluate ance regulation and monitoring, defense attorneys, prosecutors, and an at- leads from a familial search in order to protect unknown family relation- torney or judge with a background in privacy issues and biomedical ethics. ships (donor parents/adoptions, previously unknown relatives); (3) the Among other things, as described in Executive Law § 995-b(1), the confidentiality requirements associated with the DNA profiles generated Commission has the authority to “develop minimum standards and a (see, Executive Law §§ 995-c,995-d, 995-f); (4) the requirement to program of accreditation for all forensic laboratories in New York withdraw a request if a suspect is identified through other means before state…and approval of forensic laboratories for the performance of the familial search is completed; and (5) the requirement to provide specific forensic methodologies ****.” In accordance with Executive Law follow-up information to the Division regarding the case at intervals § 995-b(2), the aforementioned standards and program shall be designed determined by the Division. to achieve, among other things, the following objectives: If any candidate profile(s) on the candidate list exceed the established D Accurate, effective, efficient and reliable forensic laboratories, includ- kinship threshold value(s), and are not excluded by additional testing ing forensic DNA laboratories; performed, the name(s) of the offender(s) in the DNA Databank will be D Forensic analyses, including forensic DNA testing, are performed in released. The familial DNA search results will be provided in writing and accordance with the highest scientific standards practicable; will include the following statements: (1) the information provided is for D Cooperation and coordination among forensic laboratories and other investigatory law enforcement purposes only; (2) the forensic DNA profile criminal justice agencies; and could not have come from the named offender in the DNA Databank; (3) D Compatibility with other state and federal forensic laboratories in or- the information provided is not a definitive statement of a familial (i.e., der to share and exchange information, data and results of forensic biological) relationship; and (4) the information provided shall be treated analyses and tests, to the extent consistent with the provisions of Article only as an investigative lead. However, if no candidate profile(s) exceed 49-B and any other applicable areas of law. the established kinship threshold value(s), no name will be released and The Commission is an independent entity and, pursuant to Executive the requestors will be notified, in writing, that no potential relatives were Law § 995-b(5), is assisted by the Division’s Office of Forensic Services’ identified through the familial search. staff with regard to administrative assistance, and other resources neces- Under this proposed rule, familial searches will only be conducted in sary to carry out its powers and duties. Also, general guidance is provided extremely limited circumstances, where there is only one source to the by the NYS Crime Laboratory Advisory Committee (NYCLAC), and DNA profile or a deduced profile originating from a mixture, and all other technical working groups (TWGs) of forensic experts from State and local investigative leads have been exhausted, or exigent circumstances exist. crime laboratories which have been established for each forensic disci- Thus, the proposal of the familial search policy is not violative of any pline and for quality control managers to promote uniform analytical privacy protections and its enactment is warranted. protocols and quality assurance procedures, to identify technical training Racial Disparities needs, and to provide technical consultation services to the Division in the Comment #1: The NYCLU asserted that “the proposed familial DNA evaluation of laboratories’ performance on proficiency tests and confor- searching policy poses great risks to constitutional protections of privacy; mance with accreditation standards. Executive Law § 837(13) authorizes and it will be persons of color – blacks and Latinos – whose constitutional the Division to adopt, amend or rescind regulations “as may be necessary

5 Rule Making Activities NYS Register/October 18, 2017 or convenient to the performance of the functions, powers and duties of Criminal Offenders” to better enhance public/traffic safety, achieve greater the [D]ivision.” offender accountability, and guarantee quality assurance with respect to In addition, the DNA Subcommittee, which, pursuant to Executive Law Ignition Interlock Device (IID) program service delivery. Non-substantive § 995-b(13), has been granted authority through binding recommenda- changes in the earlier proposed rule Amendments were made in tions to the Commission, regarding matters relating to the establishment § 358.5(c)(2), § 358.5(c)(3), § 358.7(b)(3), and § 358.10. and operation of the DNA Databank, is comprised of scientists with Rule Sections 358.1 and 358.2 were amended to update the objectives expertise in the fields of molecular biology, population genetics, forensic and applicability regulatory language to reflect recent statutory changes. science, and laboratory standards and quality assurance. However, in the Rule Section 358.3 governing definitions, was amended to refine and/or event that the Commission disagrees with any of the recommendations reinforce certain definitional terms. Two new definitions of “Emergency submitted by the DNA Subcommittee, the Commission may request that Notification Program” and “real time reporting” were also added to reflect the DNA Subcommittee review such recommendations. The DNA new programmatic features which are now operational. Subcommittee may either provide revised recommendations to the Com- Several amendments were made to Rule Section 358.4 governing Igni- mission or delineate reasons why its recommendations will not be revised tion Interlock Program Plans. Plan content was updated to incorporate (see, Executive Law § 995-b[2-a]). recent statutory changes as to imposition of IIDs in advance of sentencing Further, there are strict procedures regarding the use of familial and to better ensure that plans reflect handling of interim probation searching. As previously stated under “Privacy” comments, familial supervision cases. Additional language will facilitate timely notification searching can only be performed and results can only be released after procedures to monitors where a court approves reduction in a breath certain requirements have been met. Accordingly, the proposal of the fa- sample in accordance with new regulatory provisions. milial search policy is warranted. Rule Section 358.5, governing the Approval Process and Responsibili- Transparency ties of Qualified Manufacturers, was amended with respect to application Comment #1: The NYCLU asserted that there was a “[l]ack of transpar- procedures, including but not limited to, updating outdated language, and ency and accountability regarding the proposed Familial Search Policy”. establishing parameters surrounding open application process and Comment #2: The LAS asserted that familial searching should be contractual term to promote consistency. Other changes achieve greater “considered by elected officials in the normal legislative context where all offender and service delivery accountability. For example, new reporting community stakeholders have the opportunity to be heard.” language with respect to test results will better guarantee serious failed Response: The legal and policy implications associated with the famil- tests by operators are timely reported. Other changes strengthen provi- ial search policy were discussed by the Commission at several open sions to establish timely DCJS notification of significant operational ser- meetings. At the joint meeting/public hearing of the Commission and DNA vice delivery problems. Significantly, a new regulatory provision estab- Subcommittee, held on February 10, 2017, a full day of speakers were lishes a mechanism consistent with National Highway Traffic Safety heard and there were written comments received regarding the familial Administration Model Specifications for Breath Alcohol Ignition Interlock search policy. At its April 12, 2017 meeting, the Commission reviewed Devices (BAIIDs) which will permit court authorization of a reduced and discussed the draft familial search policy, regulations and implementa- breath sample for certain operators with certain health issues which tion plan as proposed by the DNA Subcommittee at its March 27, 2017 prevent them from regular operational usage of the IID. meeting. After the matter was thoroughly debated, the Commission voted Rule Section 358.6 governing cancellation, suspension, and revocation to send the policy, regulations and implementation plan, along with the of qualified manufacturers, installation and service providers and IIDs, has Commission’s recommendations, back to the DNA Subcommittee for been modified to clarify that verbal and/or written notification or com- consideration. munication of disapproval, suspension in whole or in part, of revocation or The DNA Subcommittee reviewed the draft familial search policy and cancellation of a manufacturer’s device, services, and/or operations by an- recommendations provided by the Commission at its April 12, 2017 other state or jurisdiction, may result in revocation of a certified IID or meeting. Each section requiring revision or input from the DNA Subcom- suspension or removal of a qualified manufacturer or installation/service mittee was considered and discussed. The policy was amended in part, and provider in New York State. those changes were subsequently made to the regulations and implementa- Changes to Rule Section 358.7 governing monitoring and Rule Section tion plan. On May 19, 2017, the DNA Subcommittee reviewed and 358.8 governing installation and costs, update these regulatory provisions discussed the familial search policy, and made a recommendation to the to reflect recent statutory changes and reference interim probation Commission to adopt the policy. The Commission formally adopted the supervision. Additionally, Rule Section 358.7 sets forth revised intrastate policy on June 16, 2017. and interstate monitoring procedures to establish that for intrastate The Commission acted only after lengthy discussions on various aspects conditional discharge cases, the sentencing county monitor shall contact of the policy, and the matter was thoroughly debated by its members and the monitor in the county of residence to determine the class of IID avail- researched and recommended by the DNA Subcommittee. A majority of able and the sentencing county monitor shall perform monitor services. the Commission members were in favor of implementing the policy and Further where there is an Emergency Notification Program, the monitor regulatory changes. shall notify the IID Manufacturer so that the designated law enforcement Accordingly, and based upon the assessment of the foregoing com- agency within the county of residence shall receive all applicable ments, the Division will not withdraw nor revise the proposed rule, except communications/notifications. Further, where an IID is to be imposed in for minor typographical corrections. advance of sentencing, the monitor in the county of residence is to be NOTICE OF ADOPTION similarly contacted by the monitor in the county where the court orders installation to determine the specific class and features of the IID available and an identical procedure will be required for Emergency Notification Handling of Ignition Interlock Cases Involving Certain Criminal Programming in the county of residence. With respect to interstate transfer, Offenders regulatory language is streamlined. I.D. No. CJS-31-17-00004-A Among adopted regulatory changes are the following: D Reflects the imposition and monitoring of IIDs installed in conjunc- Filing No. 827 tion with interim probation supervision and in cases prior to sentencing Filing Date: 2017-10-02 pursuant to a court order. Effective Date: 2017-11-15 D Clarifies that the period of IID restriction will commence from the earlier of the date of sentencing, or the date of installation in advance of sentencing and that a court may not authorize the operation of a motor ve- PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- hicle by any individual whose license or privilege to operate a motor vehi- cedure Act, NOTICE is hereby given of the following action: cle has been revoked. Action taken: Amendment of sections 358.1-358.3, 358.4(a), (c), (d), D Establishes that monitors select the class and features of IIDs avail- 358.5-358.8; and addition of section 358.10 to Title 9 NYCRR. able from an available manufacturer in the region where an operator resides. Statutory authority: Vehicle and Traffic Law, sections 1193(1)(g) and D 1198(5)(a); L. 2009, ch. 486 Requires that the applicable monitor coordinate monitoring with the NYS Department of Corrections and Community Supervision (DOCCS) Subject: Handling of Ignition Interlock Cases Involving Certain Criminal where the operator is under DOCCS supervision and promptly provide Offenders. such agency with reports of any failed tasks or failed reports. Purpose: To promote public/traffic safety, offender accountability and D Requires a court authorization for a reduction in breath sample to be quality assurance through the establishment of minimum standards. consistent with NHTSA specifications and that every county plan estab- Substance of final rule: These adopted Amendments update, clarify, and lishes a procedure whereby the probation department and any other moni- strengthen regulatory provisions of the Division of Criminal Justice Ser- tor be notified no later than five (5) business days from any such court vices rule, entitled “Handling of Ignition Interlock Cases Involving Certain approval.

6 NYS Register/October 18, 2017 Rule Making Activities

D Requires all jurisdictions to submit an IID plan reflective of all opera- (1) The term “failed rolling re-test” shall mean a rolling re-test in tors who may be subject to IID installation and maintenance with monitor- which the operator’s BAC is at or above the set point. ing ordered by a court in advance of sentencing or at sentencing, and to (2) The term “missed rolling re-test” shall mean failure to take the make modifications or updates, as required by DCJS. DCJS has required rolling re-test within the time period allotted to do so. since 2014 that plans have procedures in this area and to amend plans to DCJS’ Office of Probation and Correctional Alternatives directly com- be consistent with law and regulatory provisions. municated with the probation official and explained the aforementioned D Clarifies recent statutory changes to better ensure that youth adjudi- current and proposed regulatory requirements to ensure there was no mis- cated as Youthful Offenders of DWI and/or other alcohol related offenses understanding of the existing and proposed regulatory requirements. are subject to IID installation and related compliance provisions. D Clarifies recent statutory change that affected operators provide proof of installation compliance with the IID requirement to the court and the applicable monitor where such person is under probation or conditional State Board of Elections discharge supervision. D Requires that manufacturers: o Provide documentation and verification of their respective Standby NOTICE OF ADOPTION Letter of Credit (SLOC) as specified in the manufacturer’s contract with New York State; Administrative Complaint Procedure for Resolution of Violations o The SLOC was previously incorporated in DCJS 2013 contracts with of Title III Provisions of HAVA manufacturers. o Adhere to any county plan real time reporting and emergency notifica- I.D. No. SBE-21-17-00002-A tion program requirements; Filing No. 820 o Provide immediate written notice to DCJS and the DOH whenever Filing Date: 2017-09-28 their IID devices, services, and/or operations has been compromised or does not function as intended in NYS or any other state or jurisdiction or Effective Date: 2017-10-18 disapproved or suspended in whole or in part, revoked or otherwise cancelled by another state or jurisdiction or has received notice or com- PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- munication from another state or jurisdiction that any such actions are cedure Act, NOTICE is hereby given of the following action: imminent. Action taken: Amendment of sections 6216.2 and 6216.3 of Title 9 Additionally, as existing DOH regulations require prior approval with NYCRR. respect to any operational modification of IIDs, new regulatory language reiterates this requirement and for any manufacturer to provide necessary Statutory authority: Election Law, sections 3-102(1), (16) and 3-105 documentation to DOH and that any such manufacturer notify DCJS of Subject: Administrative Complaint Procedure for Resolution of Viola- any intent to do so and provide a written summary of any requested or ap- tions of Title III Provisions of HAVA. proved modification. Purpose: To streamline the HAVA complaint procedure and clarify that Lastly, a new Section 358.10 is added which incorporates by reference Counsel’s Office at SBOE administers the procedure. the National Highway Traffic Safety Administration’s Model Specifica- Substance of final rule: §§ 3-102(16) and 3-105 of the Election Law tions for Breath Alcohol Ignition Interlock Devices and cites where these requires that the State Board of Elections administer an administrative may be found. complaint procedure pursuant to Title III of the Help America Vote Act of Final rule as compared with last published rule: Nonsubstantive changes 2002 (hereinafter HAVA Complaint Procedure). The procedure enables were made in sections 358.5(c)(2), (3), 358.7(b)(3) and 358.10. voters to file a formal complaint with the State Board of Elections in writ- Text of rule and any required statements and analyses may be obtained ing which is adjudicated through the Board. Once filed, the State Board from: Linda J. Valenti, Assistant Counsel, New York State Division of conducts a hearing on the record. The hearings are conducted by two State Criminal Justice Services, Alfred E. Smith Office Building-Room 832, Commissioners of opposite parties, or their designees. If the State panel Albany, New York 12210, (518) 457-8413, email: fails to make a determination on a complaint within 90 days, it is referred [email protected] to an Alternative Dispute Resolution Process (ADR). An ADR decision Revised Regulatory Impact Statement, Regulatory Flexibility Analysis, must be reached within 60 days from the end of the 90 day time period. Rural Area Flexibility Analysis and Job Impact Statement The HAVAComplaint procedure is effectuated via 9 NYCRR §§ 6216.2 The adopted changes to Part 358 Amendments were technical in nature and 6216.3, adopted on December 27, 2006. The proposed amendment clarifies that Counsel’s Office performs the and therefore there were no changes to the Regulatory Impact Statement, administrative duties related to the HAVA Complaint procedure, includ- Regulatory Flexibility Analysis, Rural Area Flexibility Analysis and Job ing; reviewing the complaint, accepting the Complaint, assigning a track- Impact Statement. ing number to the complaint, forwarding the Complaint to the Chief Initial Review of Rule Enforcement Counsel, and scheduling the hearing. As a rule that requires a RFA, RAFA or JIS, this rule will be initially Second, the proposed amendment streamlines the HAVA Complaint reviewed in the calendar year 2019, which is no later than the 3rd year af- procedure. The proposed amendments to the process include: ter the year in which this rule is being adopted. Section 6216.2(a) provides that accessible Complaint forms shall be Assessment of Public Comment made available on the SBOE website; The New York State Division of Criminal Justice received only one Section 6216.2(b)(1) permits a voter to use any other writing, other than comment to its recently proposed rule amendments to 9 NYCRR Part 358, the formal Complaint form, when filing a formal complaint, provided that DCJS’ rule entitled ‘‘Handling of Ignition Interlock Cases Involving the writing contains the same information required by the SBOE Com- Certain Criminal Offenders.’’ The comment came from one probation plaint form; department relative to monitor notification workload and it was determined Section 6216.2(b)(3) provides that the Complaint be “reasonably” that the comment was based on an inaccurate interpretation of the existing specific as to times, places, and names of witnesses; regulation. Section 6216.2(c)(4) requires SBOE to serve the Complaint and Currently, the existing Ignition Interlock regulation, Section responsive papers upon the parties; 358.7(d)(1), requires that the monitor notify the appropriate court and Section 6216.2(d)(6) permits hearings to be held telephonically; and District Attorney (DA) when a device enters lockout mode. As listed in Section 6216.2(d)(8) requires that rules of evidence as outlined in the Section 358.5 (c)(2), all failed/missed rolling re-tests (see definition regulations be “substantially” followed at the hearing. below) will cause a device to enter lockout mode. The proposed rule re- Lastly, the proposal amends section 6216.3, which relates to the places certain lockout mode language in Section 358.7(d)(1) relative to alternate dispute resolution requirement for HAVA complaints. The pro- notification with the specific events which give rise to a lockout mode. posal deletes paragraphs (c) and (d) of section 6216.3, which relate to the Since reporting to the court and DA of a device entering lock out mode, contracting of an alternative dispute resolution agency. Additionally, sec- including occurrences due to failed/missed rolling re-test, is already tion 6216.3 is amended to permit ADR hearings to be held telephonically. required under the existing regulation, the proposed language specific to Final rule as compared with last published rule: Nonsubstantive changes this area would not adversely affect the monitor’s workload. were made in section 6216.2(a). Applicable Definitions/Rule Section 358.3 Text of rule and any required statements and analyses may be obtained (u) The term “rolling re-test” shall mean a breath test, taken by the from: Nicholas R. Cartagena, Esq., State Board of Elections, 40 North operator while the vehicle is running, within one (1) to three (3) minutes Pearl Street, Suite 5, Albany, New York 12207, (518) 474-2064, email: after a failed or missed rolling test. [email protected]

7 Rule Making Activities NYS Register/October 18, 2017

Revised Regulatory Impact Statement This is a technical amendment exempt from SAPA § 202-a. The word “ac- Department of Financial Services cessible” is placed in front of “Complaint forms available on its website.” Revised Regulatory Flexibility Analysis This is a technical amendment with no substantive change requiring a EMERGENCY Regulatory Flexibility Analysis. The word “accessible” is placed in front RULE MAKING of “Complaint forms available on its website.” Revised Rural Area Flexibility Analysis Establishment and Operation of Market Stabilization This is a technical amendment with no substantive change requiring a Mechanisms for Certain Health Insurance Markets Revised Rural Area Flexibility Analysis. The word “accessible” is placed I.D. No. DFS-18-17-00020-E in front of “Complaint forms available on its website.” Filing No. 813 Revised Job Impact Statement Filing Date: 2017-09-28 This is a technical amendment with no substantive change requiring a Revised Job Impact Statement. The word “accessible” is placed in front of Effective Date: 2017-09-28 “Complaint forms available on its website.” Initial Review of Rule PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- cedure Act, NOTICE is hereby given of the following action: As a rule that requires a RFA, RAFA or JIS, this rule will be initially reviewed in the calendar year 2020, which is no later than the 3rd year af- Action taken: Amendment of Part 361 of Title 11 NYCRR. ter the year in which this rule is being adopted. Statutory authority: Financial Services Law, sections 202 and 302; Insur- ance Law, sections 301, 1109 and 3233 Assessment of Public Comment Finding of necessity for emergency rule: Preservation of general welfare. The proposed amendment streamlines the HAVA complaint procedure and clarifies that Counsel’s Office at SBOE administers the procedure. Specific reasons underlying the finding of necessity: Insurance Law The State Board of Elections received four public comments from § 3233 requires the Superintendent of Financial Services (“Superinten- organizations that advocate for persons with disabilities. dent”) to promulgate regulations to ensure an orderly implementation and ongoing operation of the open enrollment and community rating require- Comment: One organization expressed concern that the proposal does ments in Insurance Law §§ 3231 and 4317, applicable to small groups and not address requests for reasonable accommodations. Specifically, the or- individual health insurance policies and contracts, including member ganization stated: “We are concerned that accessibility, particularly for contracts under Article 44 health maintenance organizations (“HMOs”) people who are low vision or blind, is not addressed here, and that accom- and Medicare Supplemental policies and contracts. The regulations may modations are not directed. If this information is not included in the regula- include mechanisms designed to share risks or prevent undue variations in tion, many will not understand that they are required to provide reasonable issuer claims costs. Pursuant to this mandate, the Superintendent promul- accommodations and accessibility.” gated 11 NYCRR 361 (Insurance Regulation 146), under which the Response: The State Board of Elections is obligated to provide reason- Department established risk adjustment for community rated small group able accommodations through the Americans with Disabilities and individual health insurance and Medicare Supplemental policies and Act(“ADA”). The Board does not believe that amending regulations is the contracts. Subsequently, the federal Affordable Care Act (“ACA”) required most effective way of education the parties of its obligations under the the Center for Medicare and Medicaid Services to administer a risk adjust- (“ADA”); rather, parties should be informed about their obligations ment program for the individual and small group health insurance markets, directly. As such, the Board intends to amend the HAVA Complaint form but not for Medicare Supplemental policies and contracts. A state may es- to inform Complainants that they may request reasonable accommoda- tablish its own risk adjustment program pursuant to 45 C.F.R. tions in filling out the complaint and during the complaint/hearing process. § 153.310(a)(1). In addition, a U.S. Health and Human Services interim final rule, dated May 11, 2016, invites states to examine local approaches Further, the Board intends to draft guidance to County Boards of Elec- under state legal authority to help ease the transition to new health insur- tions, informing them of their obligations to assist Complainants with a ance markets. See 81 Fed. Reg. at 29152. Starting with plan year 2014, the disability in filling out a complaint, which shall include making reason- Superintendent suspended New York’s risk adjustment program for indi- able accommodations. vidual and small group health insurance markets because of the ACA, and Comment: One organization suggested that the online complaint form New York’s individual and small group health insurance markets since be screen readable and fillable, and that the complaint form enable have been subject only to the federal program. Complainants to request a hearing via telephone. This rule establishes a market stabilization pool for the small group Response: The State Board intends to make the form screen readable health insurance market for the 2017 plan year to ameliorate a possible and intends to provide an option for a telephonic hearing on the Complaint disproportionate impact that federal risk adjustment may have on insurers form. To effectuate this, the proposed language was amended to provide and HMOs (collectively, “carriers”), address the needs of the small group that the online Complaint form be “accessible.” health insurance market in New York, and prevent unnecessary instability Comment: One organization suggested the requirement that complaints in the health insurance market. be notarized be eliminated from regulations. Carriers soon will begin binding coverage for policies written outside of the health exchange. In addition, New York State of Health, the official Response: Election Law 3-105(3) requires that all formal complaints be health insurance marketplace, has set September 9, 2016 as the date by written and sworn to. Absent statutory changes, the notary requirement which carriers must commit to selling certain policies or contracts on the cannot be eliminated from regulations. health exchange. In order to implement the rule for the 2017 plan year and to minimize market issues, it is imperative that this rule be promulgated on an emergency basis for the general welfare. Subject: Establishment and Operation of Market Stabilization Mechanisms Department of Environmental for Certain Health Insurance Markets. Conservation Purpose: To allow for the implementation of a market stabilization pool for the small group health insurance market. Text of emergency rule: The title of Part 361 is amended to read as NOTICE OF EXPIRATION follows: ESTABLISHMENT AND OPERATION OF MARKET STABILIZA- The following notice has expired and cannot be reconsidered un- TION MECHANISMS FOR [INDIVIDUAL AND SMALL GROUP- less the Department of Environmental Conservation publishes a new ]CERTAIN HEALTH INSURANCE [AND MEDICARE SUPPLEMENT notice of proposed rule making in the NYS Register. INSURANCE] MARKETS The title of Section 361.6 is amended to read as follows: Waste Fuels Section 361.6 Pooling of variations of costs attributable to high cost claims beginning in 2006 through 2013 for individual and small group I.D. No. Proposed Expiration Date policies, other than Medicare supplement and Healthy New York policies. ENV-31-16-00003-P August 3, 2016 September 30, 2017 Section 361.9 is added to read as follows:

8 NYS Register/October 18, 2017 Rule Making Activities

Section 361.9 Market stabilization pools for the small group health in- for the 2017 plan year, the superintendent shall review the impact of the surance market for the 2017 plan year. federal risk adjustment program established pursuant to 42 U.S.C. section (a)(1) The superintendent has been assessing the federal risk adjust- 18063 on the small group health insurance market in this State for that ment program developed under the federal Affordable Care Act and its plan year. impact on the health insurance market in this State. In its simplest terms, (e) If, after reviewing the impact of the federal risk adjustment program the federal risk adjustment program requires that carriers whose insureds on the small group health insurance market in this State for the 2017 plan or members have relatively better loss experience pay into the risk adjust- year, including payment transfers, the statewide average premiums, and ment pool and those with relatively worse experience receive payment the ratio of claims to premiums, the superintendent determines that a mar- from that pool. The broad purpose of the risk adjustment program is to ket stabilization mechanism is a necessary amelioration, the superinten- balance out the experience of all carriers. dent shall implement a market stabilization pool in such market as follows: (2) In certain respects, however, the calculations for the federal risk (1) every carrier in the small group health insurance market that is adjustment program do not take into account certain factors, resulting in designated as a receiver of a payment transfer from the federal risk adjust- unintended consequences. The department has been working cooperatively ment program shall remit to the superintendent an amount equal to a with the Department of Health and Human Services and the Centers for uniform percentage of that payment transfer for the market stabilization Medicare and Medicaid Services (CMS) on risk adjustment. Recently, pool. The uniform percentage shall be calculated as the percentage neces- CMS has announced certain changes to the methodology. CMS has also sary to correct any one or more of the adverse market impact factors speci- stated that it will continue to review the methodology in the future. fied in subdivision (b)(1) of this section. The uniform percentage shall be (3) The federal risk adjustment program has led to a situation in determined by the superintendent based on reasonable actuarial assump- which some carriers in this State are receiving large payments out of the tions and shall not exceed 30 percent of the amount to be received from the risk adjustment program that are paid by other carriers. For many of federal risk adjustment program; these other carriers, the millions to be paid represent a significant portion (i) the superintendent shall send a billing invoice to each carrier of their revenue. The money transfers among carriers in this State under required to make a payment into the market stabilization pool after the the federal risk adjustment program have been among the largest in the federal risk adjustment results are released pursuant to 45 CFR section nation. 153.310(e); (4) CMS’s changes and planned reviews are much appreciated and (ii) each carrier shall remit its payment to the superintendent within anticipated. The superintendent will continue to work with CMS and hopes ten business days of the later of its receipt of the invoice from the superin- that over time the federal risk adjustment program will be improved so tendent or receipt of its risk adjustment payment from the Secretary of the that it fully meets its intended purposes. The federal risk adjustment United States Department of Health and Human Services pursuant to 42 methodology as applied in this State does not yet adequately address the U.S.C. section 18063; and impact of administrative costs and profit of the carriers and how this State (iii) payments remitted by a carrier after the due date shall include counts children in certain calculations. These two factors are identifiable, the amount due plus compound interest at the rate of one percent per quantifiable and remediable for the 2017 plan year in the small group month, or portion thereof, beyond the date the payment was due; and market. (2) for the 2017 plan year: (5) This section applies only to risk adjustment experience in the (i) every carrier in the small group health insurance market that is small group health insurance market for the 2017 plan year to be applied designated as a payor of a payment transfer into the federal risk adjust- to payments and receipts in 2018. The department will continue its review ment program shall receive from the superintendent an amount equal to of the federal risk adjustment program and its impact on the individual the uniform percentage of that payment transfer, referenced in paragraph and small group health insurance markets in this State. Among other is- (1) of this subdivision, from the market stabilization pool; sues, the department will continue to examine whether federal risk adjust- (ii) the superintendent shall send notification to each carrier of the ment adequately accounts for demographic regional diversity in this State, amount the carrier will receive as a distribution from the market stabiliza- as well as whether federal risk adjustment dissuades carriers from using tion pool after the federal risk adjustment results are released; and networks and plan designs that seek to integrate care and deliver value. (iii) the superintendent shall make a distribution to each carrier af- The superintendent will take all necessary and appropriate action to ad- ter receiving all payments from payors. However, nothing in this section dress the impact on both markets in the future. shall preclude the superintendent from making a distribution prior to (b)(1) The superintendent anticipates that the federal risk adjustment receiving all payments from payors. program will adversely impact the small group health insurance market in (f) The superintendent may modify the amounts determined in subdivi- this State in 2017 to such a degree as to require a remedy. Several factors sion (e) of this section to reflect any adjustments resulting from audits are expected to cause the adverse impact, including: required under 45 CFR section 153.630. (i) the federal risk adjustment program results in inflated risk scores (g) In the event the payments received by the superintendent pursuant and payment transfers in this State because the calculation is based in to subdivision (e)(1) of this section are less than the amounts payable pur- part upon a medical loss ratio computation that includes administrative suant to subdivision (e)(2) of this section, the amount payable to each car- expenses, profits and claims rather than only using claims; and rier pursuant to this section shall be reduced proportionally to match the (ii) the federal risk adjustment program results in inflated risk funds available in the pool. scores and payment transfers in this State because the program does not appropriately address this State’s rating tier structure. For this State, the This notice is intended to serve only as a notice of emergency adoption. federal risk adjustment program alters the definition of billable member This agency intends to adopt the provisions of this emergency rule as a months to include a maximum of one child per contract in the billable permanent rule, having previously submitted to the Department of State a member month count. This understatement of billable member month notice of proposed rule making, I.D. No. DFS-18-17-00020-P, Issue of counts: (a) lowers the denominator of the calculation used to determine May 3, 2017. The emergency rule will expire November 26, 2017. the statewide average premium and plan liability risk scores; (b) results in Text of rule and any required statements and analyses may be obtained the artificial inflation of both the statewide average premium and plan li- from: Laura Evangelista, NYS Department of Financial Services, One ability risk scores; and (c) further results in inflated payments transfers State Street, New York, NY 10004, (212) 480-4738, email: through the federal risk adjustment program. [email protected] (2) Accordingly, if, for the 2017 plan year, the superintendent Regulatory Impact Statement determines that the federal risk adjustment program has adversely 1. Statutory authority: Financial Services Law §§ 202 and 302 and In- impacted the small group health insurance market in the State and that surance Law §§ 301, 1109, and 3233. amelioration is necessary, the superintendent shall implement a market Financial Services Law § 202 establishes the office of the Superinten- stabilization pool for carriers participating in the small group health in- dent of Financial Services (“Superintendent”). Financial Services Law surance market, other than for Medicare supplement insurance, pursuant § 302 and Insurance Law § 301, in material part, authorize the Superinten- to subdivision (e) of this section to ameliorate the disproportionate impact dent to effectuate any power accorded to the Superintendent by the that the federal risk adjustment program may have on carriers, to address Financial Services Law, Insurance Law, or any other law, and to prescribe the unique aspects of the small group health insurance market in this State, regulations interpreting the Insurance Law. and to prevent unnecessary instability for carriers participating in the Insurance Law § 1109 subjects health maintenance organizations small group health insurance market in this State, other than for Medicare (“HMOs”) complying with Public Health Law Article 44 to certain sec- supplement insurance. tions of the Insurance Law and authorizes the Superintendent to promul- (c) As used in this section, small group health insurance market means gate regulations effecting the purpose and provisions of the Insurance Law all policies and contracts providing hospital, medical or surgical expense and Public Health Law Article 44. insurance, other than Medicare supplement insurance, covering one to Insurance Law § 3233 requires the Superintendent to promulgate 100 employees. regulations to assure an orderly implementation and ongoing operation of (d) Following the annual release of the federal risk adjustment results the open enrollment and community rating requirements in Insurance Law

9 Rule Making Activities NYS Register/October 18, 2017

§§ 3231 and 4317, which may include mechanisms designed to share risks ability risk scores; and (c) further results in inflated payments transfers or prevent undue variations in insurer claims costs. through the federal risk adjustment program. 2. Legislative objectives: Insurance Law § 3233 requires the Superin- This rule authorizes the Superintendent to implement a market stabiliza- tendent to promulgate regulations to assure an orderly implementation and tion pool for the New York small group health insurance market if, after ongoing operation of the open enrollment and community rating require- reviewing the impact of the federal risk adjustment program on this mar- ments in Insurance Law §§ 3231 and 4317, applicable to small group and ket for the 2017 plan year, the Superintendent determines that a market individual health insurance policies and contracts, including member stabilization mechanism is a necessary amelioration. contracts under Article 44 HMOs and Medicare Supplement policies and The rule requires a carrier designated as a receiver of a payment transfer contracts. The regulations may include mechanisms designed to share from the federal risk adjustment program to remit to the Superintendent an risks or prevent undue variations in claims costs. A risk adjustment amount equal to a uniform percentage of that payment transfer for the program is intended, in part, to reduce or eliminate premium differences market stabilization pool. The Superintendent will determine the uniform between insurers and HMOs (collectively, “carriers”) based solely on percentage based on reasonable actuarial assumptions, which may not expectations of favorable or unfavorable risk selection. exceed 30% of the amount to be received from the federal risk adjustment Pursuant to this mandate, the Superintendent promulgated 11 NYCRR program. Department actuaries considered the fact that (1) the federal risk 361 (Insurance Regulation 146), under which the Department established adjustment program calculates risk scores and payment transfers based in risk adjustment for community rated small group and individual health in- part upon a medical loss ratio computation that includes administrative ex- surance and Medicare Supplement policies and contracts. Subsequently, penses, profits, and claims, and (2) it does not appear to fully address New the federal Affordable Care Act (“ACA”) required the Center for Medicare York’s rating tier structure. The actuaries determined that up to 30% of the and Medicaid Services (“CMS”) to administer a risk adjustment program amount to be received from the federal risk adjustment program is the for the individual and small group health insurance markets, but not for maximum amount that would be necessary for a payment transfer under Medicare Supplement policies and contracts. A state may establish its own this rule. risk adjustment program pursuant to 45 C.F.R. § 153.310(a)(1). In addi- The market stabilization mechanism under the rule is distinct from the tion, a U.S. Health and Human Services (“HHS”) interim final rule, dated federal risk adjustment and will provide a more accurate representation of May 11, 2016, invites states to examine local approaches under state legal the state’s market. The state mechanism would merely fine-tune the federal authority to help ease the transition to new health insurance markets. See mechanism to address the needs of the New York market, not serve to 81 Fed. Reg. at 29152. Starting with policy year 2014, the Superintendent undo the federal mechanism. It would not hinder or impede the ACA’s suspended New York’s risk adjustment program for individual and small implementation because the federal risk adjustment still would be group health insurance markets because of the ACA, and New York’s indi- performed. A carrier is able to comply with both the federal risk adjust- vidual and small group health insurance markets since have been subject ment program and this state’s market stabilization mechanism because the only to the federal program. state risk adjustment would be implemented after the federal risk This rule accords with the public policy objectives that the Legislature adjustment. sought to advance in Insurance Law § 3233 by establishing market 4. Costs: This rule imposes compliance costs on carriers that elect to is- stabilization pools for the small group health insurance market for the sue policies or contracts subject to the rule. The costs are difficult to 2017 plan year to ameliorate a possible disproportionate impact that estimate and will vary from carrier to carrier depending on the impact of federal risk adjustment may have on carriers, address the unique aspects the federal risk adjustment program on the market, including federal pay- of the small group health insurance market in New York, and prevent un- ment transfers, statewide average premiums, and the ratio of claims to necessary instability in the health insurance market. premiums. 3. Needs and benefits: In the early 1990s, the New York Legislature The Department will incur costs for the implementation and continua- enacted Insurance Law § 3233 because it recognized the need for a mech- tion of this rule. Department staff are needed to review the impact that the anism to stabilize the health insurance markets and premium rates in New federal risk adjustment program will have on the market. Furthermore, if York so that premiums do not unduly fluctuate and carriers are reasonably the Superintendent implements a market stabilization pool, the Depart- protected against unexpected significant shifts in the number of insureds. ment must then send a billing invoice to each carrier required to make a More recently, the federal government recognized in the ACA that a payment into the pool, collect the payments, notify each carrier of the federal risk adjustment mechanism would help provide affordable health amount the carrier will receive from the market stabilization pool, and dis- insurance, reduce incentives for carriers to avoid enrolling less healthy tribute the payments from the pool. However, the Department should be people, and stabilize premiums in the individual and small group health able to absorb these costs in its ordinary budget. Under § 361.7 of the insurance markets. existing rule, the Superintendent also could hire a firm to administer the Prior to implementation of the ACA in 2014, the New York Department pool. The cost necessary to hire such a firm would have to be determined. of Financial Services (“Department”), after consultation with carriers, This rule does not impose compliance costs on state or local concluded New York should use the federal risk adjustment program and governments. the Superintendent suspended New York’s risk adjustment program for the 5. Local government mandates: This rule does not impose any program, individual and small group health insurance markets. CMS conducted risk service, duty, or responsibility upon a county, city, town, village, school adjustment in 2014 and announced preliminary risk adjustment results for district, fire district, or other special district. plan year 2015 in April 2016. These results have had a disproportionate 6. Paperwork: This rule requires carriers designated as receivers of a impact on certain carriers in the New York market as a whole. payment transfer from the federal risk adjustment program to remit a CMS has proposed changes to its programs and may make additional uniform percentage of that payment transfer to the Superintendent as changes. The Superintendent will continue to work with CMS and hopes determined by the Superintendent. The rule also requires the Superinten- that by the 2018 plan year the federal risk adjustment program will be dent to send a billing invoice to each carrier required to make a payment, improved to better accomplish its intended purposes. However, the federal collect the payments, notify each carrier of the amount the carrier will risk adjustment methodology does not yet adequately address the impact receive from the market stabilization pool, and make distributions from of administrative costs or profit of the carriers, or the manner in which the pool to the carriers. New York counts children in certain calculations. These factors are 7. Duplication: This rule does not duplicate or conflict with any existing identifiable, quantifiable and remediable for the 2017 plan year. The Su- state or federal rules or other legal requirements. The rule supplements the perintendent anticipates that the federal risk adjustment program will federal risk adjustment mechanism under the ACA and merely serves to adversely impact the small group health insurance market in this State in fine-tune that risk adjustment to meet the needs of the New York market. 2017 to such a degree as to require a remedy. Many factors are expected to 8. Alternatives: The Department considered not establishing a market cause the adverse impact, including: stabilization pool for the small group health insurance market for the 2017 (1) the federal risk adjustment program results in inflated risk scores plan year. However, the Department is concerned about the disproportion- and payment transfers in this State because the calculation is based in part ate impact that federal risk adjustment may have on carriers in the New upon a medical loss ratio computation that includes administrative expen- York market and possible unnecessary instability in the health insurance ses, profits and claims rather than only using claims; and market that would adversely impact insureds. As a result, the Department (2) the federal risk adjustment program results in inflated risk scores determined that it is necessary to establish a market stabilization pool for and payment transfers in this State because the program does not ap- the small group health insurance market. propriately address this State’s rating tier structure. For New York, the The Department also considered a cap of other than 30% of the amount federal risk adjustment program alters the definition of billable member to be received from the federal risk program, with regard to the uniform months to include a maximum of one child per contract in the billable percentage of the payment transfer for the market stabilization pool under member month count. This understatement of billable member month this rule. However, Department actuaries considered the fact that (1) the counts: (a) lowers the denominator of the calculation used to determine federal risk adjustment program calculates risk scores and payments the statewide average premium and plan liability risk scores; (b) results in transfers based in part upon a medical loss ratio computation that includes the artificial inflation of both the statewide average premium and plan li- administrative expenses, profits, and claims, and (2) it does not appear to

10 NYS Register/October 18, 2017 Rule Making Activities fully address New York’s rating tier structure. The actuaries determined NOTICE OF ADOPTION that up to 30% of the amount to be received from the federal risk adjustment program is the maximum amount that would be necessary for a pay- Title Insurance Rates, Expenses and Charges ment transfer under this rule. 9. Federal standards: The rule does not exceed any minimum standards I.D. No. DFS-18-17-00021-A of the federal government for the same or similar subject areas. Rather, the Filing No. 829 amendment to the rule complements the federal risk adjustment program. Filing Date: 2017-10-02 10. Compliance schedule: The Department is promulgating this rule on Effective Date: 2017-12-18 an emergency basis so that the Superintendent may establish a New York risk adjustment pool for plan year 2017 if the Superintendent determines PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- that it will be necessary following CMS’s annual release of the federal risk cedure Act, NOTICE is hereby given of the following action: adjustment results for the 2017 plan year. If the Superintendent does es- Action taken: Addition of Part 228 (Regulation 208) to Title 11 NYCRR. tablish the pool, carriers will have to comply in 2018. Statutory authority: Financial Services Law, sections 202, 301 and 302; Regulatory Flexibility Analysis Insurance Law, sections 301, 2110, 2119, 2303, 2304, 2306, 2315, 6409 Small businesses: The Department of Financial Services finds that this and art. 23 rule will not impose any adverse economic impact on small businesses Subject: Title Insurance Rates, Expenses and Charges. and will not impose any reporting, recordkeeping, or other compliance requirements on small businesses. The basis for this finding is that this Purpose: To ensure proper, non-excessive rates, compliance with Insur- rule is directed at insurers and health maintenance organizations (“HMOs”) ance Law 6409(d), and reasonable charges for ancillary services. that elect to issue policies or contracts subject to the rule. Such insurers Substance of final rule: This rule interprets and implements Insurance and HMOs do not fall within the definition of “small business” as defined Law section 6409(d) by clarifying what constitutes an inducement when by State Administrative Procedure Act § 102(8), because in general they provided by title insurance corporations or title insurance agents for title are not independently owned and do not have fewer than 100 employees. insurance business. The rule mandates new reporting requirements to Local governments: The rule does not impose any impact, including exclude all improper expenditures from the rates, thereby ensuring that any adverse impact, or reporting, recordkeeping, or other compliance these expenditures do not contribute to excessive rates. The rule further requirements on any local governments. The basis for this finding is that sets parameters with respect to ancillary charges, ensuring that title insur- this rule is directed at insurers and HMOs that elect to issue policies or ance corporations and title insurance agents do not charge consumers in contracts subject to the rule. New York improper and excessive closing costs. Rural Area Flexibility Analysis Section 228.0 sets forth the purpose of the rule. 1. Types and estimated numbers of rural areas: Insurers and health main- Section 228.1 provides definitions applicable to the rule. tenance organizations (“HMOs”) (collectively, “carriers”) affected by this Section 228.2 sets forth that an inducement prohibited by Insurance rule operate in every county in this state, including rural areas as defined Law section 6409(d) includes providing any consideration or thing of by State Administrative Procedure Act § 102(10). value to a person or entity for title insurance business including for the 2. Reporting, recordkeeping and other compliance requirements; and purpose of maintaining existing business or obtaining future title insur- professional services: The rule imposes additional reporting, recordkeep- ance business, regardless of whether it is provided as a quid pro quo for ing, and other compliance requirements by requiring carriers, including specific business. It includes a list of expenses that are prohibited under carriers located in rural areas, designated as receivers of a payment transfer section 6409(d) and a list of types of expenses that are permitted. from the federal risk adjustment program, to remit a uniform percentage Section 228.3 provides a framework for reporting expenses so that only of that payment transfer to the Superintendent of Financial Services (“Su- proper expenditures are included in the title insurance rate. This section perintendent”) as determined by the Superintendent. However, no carrier, also requires all licensed title insurance corporations to provide to its ap- including carriers in rural areas, should need to retain professional ser- pointed title insurance agents, revenue and expenses schedules in connec- vices to comply with this rule. tion with the annual data call. It requires all licensed title insurance agents, 3. Costs: This rule imposes compliance costs on carriers that elect to is- unless their revenue and expenses are reported by an employer or affili- sue policies or contracts subject to the rule, including carriers in rural ated entity, to submit revenue and expense schedules in connection with areas. The costs are difficult to estimate and will vary from carrier to car- the annual data call, and ensure that prohibited expenditures are excluded. rier depending on the impact of the federal risk adjustment program on the It further requires the title insurance corporations to compile the schedules market, including federal payment transfers, statewide average premiums, and submit them to the statistical agent. In addition, the section requires and the ratio of claims to premiums. However, any additional costs to car- each licensed title insurance corporation to file with the Superintendent in- riers in rural areas should be the same as for carriers in non-rural areas. dividual annual premium and expense reports. 4. Minimizing adverse impact: This rule uniformly affects carriers that Section 228.4 provides that expenses allocated by a title insurance are located in both rural and non-rural areas of New York State. The rule corporation to New York may not exceed the percent of premium written should not have an adverse impact on rural areas. in New York by that insurer, compared to nationwide premiums written, 5. Rural area participation: The Department of Financial Services and that improper expenditures may not be allocated to New York. (“Department”) is promulgating this rule on an emergency basis because Section 228.5 provides parameters for ancillary closing costs charged in carriers soon will begin binding coverage for policies written outside of residential transactions including maximum charges for Patriot, bank- the health exchange. In addition, the New York State of Health, the official ruptcy, and municipal searches. The regulation provides for a flat fee that health insurance marketplace, has set September 9, 2016 as the date by may be charged for certain services, including escrow services and record- which carriers must commit to selling certain policies or contracts on the ing of closing documents. The regulation also provides that every title in- health exchange. In order to implement the rule for the 2017 plan year and surance corporation and title insurance agent shall pay the title insurance to minimize market issues, it is imperative that this rule be promulgated closer for closing services and prohibit a closer from receiving any on an emergency basis. Carriers in rural areas will have an opportunity to compensation from the applicant. It permits the title insurance closer to participate in the rule making process when the proposed rule is published charge a reasonable fee for remitting a loan payoff. in the State Register and posted on the Department’s website. Section 228.6 requires that at least once every four years a filing must be made demonstrating that the title insurance corporation’s or rate service Job Impact Statement organization’s title insurance rates comply with Article 23 (i.e., they are This rule should not adversely impact jobs or employment opportunities in not excessive, inadequate or discriminatory). New York State. This rule authorizes the Superintendent of Financial Ser- Final rule as compared with last published rule: Nonsubstantive changes vices (“Superintendent”) to implement a market stabilization pool for the were made in sections 228.0, 228.1, 228.2, 228.3, 228.4 and 228.5. small group health insurance market if, after reviewing the impact of the federal risk adjustment program on this market, the Superintendent Text of rule and any required statements and analyses may be obtained determines that a market stabilization mechanism is a necessary from: Ellen Buxbaum, New York State Department of Financial Services, One State Street, New York, NY 10004, (212) 480-5383, email: amelioration. This rule prudently ameliorates a possible disproportionate [email protected] impact that federal risk adjustment may have on insurers and health maintenance organizations, addresses the needs of the small group health insur- Summary of Revised Regulatory Impact Statement ance market in New York, and prevents unnecessary instability in the 1. Statutory authority: Financial Services Law (“FSL”) sections 202, 301, and 302 and Insurance Law sections 301, 2110, 2119, 2303, 2304, health insurance market. 2306, 2315, and 6409 and Articles 23 and 24. Assessment of Public Comment 2. Legislative objectives: To address excessive rates, unfair methods of The agency received no public comment. competition and improper inducements.

11 Rule Making Activities NYS Register/October 18, 2017

3. Needs and benefits: The Department’s investigation revealed substantive revisions to the regulation do not require a change to the previ- industry-wide practices that violate Insurance Law section 6409(d), con- ously published JIS. tribute to excessive rates, and constitute untrustworthiness and deceptive Initial Review of Rule acts and practices. This rule provides consumers with additional protection against excessive rates and unreasonable closing costs and helps to As a rule that requires a RFA, RAFA or JIS, this rule will be initially ensure that (a) title insurance corporations and agents comply with the In- reviewed in the calendar year 2020, which is no later than the 3rd year af- surance Law, (b) selection of a title insurance corporation or agent is not ter the year in which this rule is being adopted. based on which entity can provide the most lavish inducements, (c) rates Assessment of Public Comment are not excessive, and (d) unreasonable and excessive markups of ancil- The Department of Financial Services (“Department”) originally lary charges are eliminated. published a proposal to clarify what constitutes an inducement for title in- The rule provides guidance, by clarifying unequivocally that nothing of surance business pursuant to Insurance Law section 6409(d), to provide value may be given as an inducement for title insurance business, includ- guidance with respect to expense reporting and allocation of expenses, ing maintaining current business or obtaining future business, and that a and to impose limits on ancillary searches and services, including the pay- quid pro quo is not necessary for an inducement to exist. It also provides ment to title insurance closers on May 6, 2015. The Department received lists of specific expenditures that are prohibited to be made to or on behalf more than 1,000 written comments and met with industry representatives of those persons specified in Insurance Law section 6409(d), and lists of with regard to the proposed regulation. A revised version of the initial pro- specific expenditures that are permitted. posal was newly proposed on May 3, 2017. The summary of comments 4. Costs: The rule requires title insurance corporations to restate any herein address that proposal. expense schedule submitted in the past six years that includes improper The Department received almost 300 written comments from many expenditures, which will impose a cost. To reduce costs to regulated par- interested parties in response to its publication of the rule in the New York ties, the rule permits the option of filing a request for a five percent rate State Register, including from title insurance corporations, title insurance reduction, which may be submitted by a title insurance corporation or a agents, title insurance closers, attorneys, trade associations, a rate service rate service organization on behalf of its members that adopt the filing. organization, and public officials. The Department met with several Compliance with the rule’s reporting requirements should not cause any stakeholders, industry representatives and interested parties to listen to title insurance agent to incur substantial costs, the majority of which have their concerns. reported expenses since 2010, are familiar with the schedules, and have al- Comments were made with respect to 11 NYCRR 228 sections 228.1 ready incurred any necessary set-up cost. The rule does not require title in- (definitions); 228.2 (regarding prohibitions on inducements for future title surance agents to restate expense schedules. insurance business); 228.3 (regarding expense reporting and rate filings); The rule imposes maximum charges for ancillary services in connection and 228.5 (regarding ancillary charges, including payment to title insur- with residential transactions, and requires title closers to be compensated ance closers). by the title insurance corporation or agent that engaged their services for The Department addresses each of the comments in full in the complete the services provided on their behalf at the closing, which will impact version of the assessment of public comments, which will be posted on the revenue. However, closers will be permitted to charge for the remittance Department’s website. Where appropriate, the Department made certain of a loan payoff, which will provide revenue to closers. non-substantive revisions, as discussed in the complete version of the The rule also requires that at least once every four years, the title insur- assessment. ance corporation or rate service organization submit a filing to the Super- intendent demonstrating that title insurance rates comply with Article 23. NOTICE OF ADOPTION The cost of making the filings will vary, depending upon the amount of premium written and the amount of work required to prepare the Title Insurance Agents, Affiliated Relationships, and Title submission. Insurance Business 5. Local government mandates: The rule imposes no new programs, services, duties or responsibilities on any county, city, town, village, school I.D. No. DFS-18-17-00022-A district, fire district or other special district. Filing No. 828 6. Paperwork: The rule requires a one-time restatement of certain expense schedules and requires title insurance corporations and agents to Filing Date: 2017-10-02 submit certain schedules in response to the annual agent data call. The rule Effective Date: 2017-10-18 also requires title insurance corporations or a rate service organization to report compliance with Article 23 to the Superintendent every four years. PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- 7. Duplication: This rule does not duplicate or conflict with any other cedure Act, NOTICE is hereby given of the following action: existing state or federal rule, or other legal requirement. 8. Alternatives: The Department proposed a similar rule on May 6, Action taken: Amendment of Parts 20 (Regulations 9, 18, 29), 29 (Regula- 2015, to which the Department received more than 1,000 written tion 87), 30 (Regulation 194), 34 (Regultion 125); and addition of Part 35 comments. The Department considered a number of alternatives and sug- (Regulation 206) to Title 11 NYCRR. gestions from the industry and has significantly revised the earlier pro- Statutory authority: Financial Services Law, sections 202 and 302; Insur- posal but believes that there is no other viable alternative to address abuses ance Law, sections 107(a)(54), 301, 2101(k), 2109, 2112, 2113, 2119, in the title insurance industry, particularly in connection with violations of 2120, 2122, 2128, 2129, 2132, 2139, 2314 and 6409 Insurance Law section 6409(d). Subject: Title insurance agents, affiliated relationships, and title insurance 9. Federal standards: The Real Estate Settlement Procedures Act business. (“RESPA”), 12 USC § 2607, provides little guidance regarding the type of Purpose: To implement requirements of chapter 57 of Laws of NY 2014 expenditures considered to be inducements for referring business. This regarding title insurance agents and placement of title insurance business. rule is more inclusive than RESPA, thereby providing greater protection to consumers. As such, this rule is not inconsistent with RESPA. Substance of final rule: The following sections are amended: 10. Compliance schedule: The provisions relating to prohibited Section 20.1, which specifies forms for temporary licenses, is amended expenditures and caps on ancillary charges go into effect as soon as the to make technical changes and to add references to title insurance agents. regulation is effective. The reporting requirements go into effect 120 - 180 Section 20.2, which specifies forms of notice for termination of agents, days after the effective date of the rule. is amended to make technical changes and to add references to title insurance agents. Revised Regulatory Flexibility Analysis Section 20.3, which governs fiduciary responsibility of insurance agents A revised Regulatory Flexibility Analysis for Small Businesses and Local and brokers, including maintenance of premium accounts, is amended to Governments (“RFA”) is not required for the adoption of new 11 NYCRR make technical changes, add references to title insurance agents, and 218 (Insurance Regulation 208) because the non-substantive revisions to permit other withdrawals and transfers from premium accounts. the regulation do not require a change to the previously published RFA. Section 20.4, which governs insurance agent and broker recordkeeping Revised Rural Area Flexibility Analysis requirements for fiduciary accounts, is amended to make technical changes A revised Rural Area Flexibility Analysis (“RAFA”) is not required for the and to add references to title insurance agents. adoption of new 11 NYCRR 218 (Insurance Regulation 208) because the Section 20.6 is amended by adding new language that clarifies (1) the non-substantive revisions to the regulation do not require a change to the manner in which an insurance agent, title insurance agent, insurance broker, insurance consultant or a life settlement broker may charge or collect previously published RAFA. compensation from an insured through the use of a written memorandum Revised Job Impact Statement pursuant to Insurance Law section 2119, and (2) that an insurance agent, A revised Job Impact Statement (“JIS”) is not required for the adoption of title insurance agent, or insurance broker must segregate or promptly new 11 NYCRR 218 (Insurance Regulation 208) because the non- withdraw compensation from fiduciary funds.

12 NYS Register/October 18, 2017 Rule Making Activities

Section 29.5, which implements Insurance Law section 2128, govern- sociation of real estate providers from all segments of the residential home ing placement of insurance business by licensees with governmental enti- buying and financing industry; an association of realtors; title insurance ties, is amended to make technical changes and to conform to amendments corporations; and numerous title insurance agents and other interested to section 2128, with respect to title insurance agents. parties. The Department met with several stakeholders, industry represen- Section 29.6 is amended for technical changes and to remove language tatives and interested parties to listen to their concerns. regarding return of disclosure statements. Comments were made with respect to 11 NYCRR sections 20.3 (regard- Section 30.3, which governs notices by insurance producers regarding ing funds maintained in a premium account); 20.4 (regarding application the amount and extent of their compensation, is amended by adding a new process); 20.6 (regarding defining compensation and commission); 35.1 subdivision that modifies the requirements of the section with respect to (regarding creating an affiliate; defining affiliated person; requiring title insurance agents, in order to conform to new Insurance Law section operational control; defining core title services); 35.4 (regarding affiliated 2113(b). business relationships); 35.5 (regarding required disclosures; calculating Section 34.1(a) and (b) are amended for technical purposes and to add return on investments for affiliates and amount an affiliate may receive reference to title insurance agents. from a transaction); 35.6 (regarding posting of charges on website or place Section 34.2, which governs satellite offices for insurance producers, is of business); and 35.8 (regarding use of title insurance closer). amended by adding a new subdivision that exempts from certain provi- The Department addresses each of the comments in full in the complete sions of that section a title insurance agent that is a licensed attorney trans- version of the assessment of public comments, which will be posted on the acting title insurance business from the agent’s law office. Department’s website. Where appropriate, the Department made certain A new Part 35 is added governing the activities of title insurance agents non-substantive revisions, as discussed in the complete version of the and the placement of title insurance business. The new sections are: assessment. Section 35.1, containing definitions for new Part 35; Section 35.2, specifying forms for title insurance agent licensing ap- NOTICE OF EXPIRATION plications; The following notice has expired and cannot be reconsidered un- Section 35.3, specifying change of contact information required to be less the Department of Financial Services publishes a new notice of filed with the Department; proposed rule making in the NYS Register. Section 35.4, addressing affiliated business relationships and certain prohibited transactions; Charges for Professional Health Services Section 35.5, addressing referrals by affiliated persons and the required disclosures in such circumstances; I.D. No. Proposed Expiration Date Section 35.6, addressing minimum disclosure requirements for title in- DFS-39-16-00007-RP September 28, 2016 September 28, 2017 surance corporations and title insurance agents with respect to fees charged by such corporation or agent, including discretionary or ancillary fees; Section 35.7, providing certain other minimum disclosure requirements; Section 35.8, governing the use of title closers by title insurance agents Department of Health and title insurance corporations; and Section 35.9, establishing record retention requirements for title insurance agents. EMERGENCY Final rule as compared with last published rule: Nonsubstantive changes were made in sections 20.6, 35.1, 35.4, 35.6 and 35.8. RULE MAKING Text of rule and any required statements and analyses may be obtained from: Paul Zuckerman, New York State Department of Financial Ser- Lead Testing in School Drinking Water vices, One State Street, New York, NY 10004, (212) 480-5286, email: I.D. No. HLT-20-17-00013-E [email protected] Filing No. 821 Revised Regulatory Impact Statement, Regulatory Flexibility Analysis, Filing Date: Rural Area Flexibility Analysis and Job Impact Statement 2017-09-28 A revised summary of the Regulatory Impact Statement (“RIS summary”), Effective Date: 2017-09-28 Regulatory Flexibility Analysis, Rural Area Flexibility Analysis and Job Impact Statement is not required for the adoption of this consolidated PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- rulemaking because the non-substantive revisions to sections 20.6, 35.1, cedure Act, NOTICE is hereby given of the following action: 35.4, 35.6 and 35.8 do not require a change to the previously published Action taken: Addition of Subpart 67-4 to Title 10 NYCRR. Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural Area Statutory authority: Public Health Law, sections 1370-a and 1110 Flexibility Analysis and Job Impact Statement summary. Finding of necessity for emergency rule: Preservation of public health, Initial Review of Rule public safety and general welfare. As a rule that requires a RFA, RAFA or JIS, this rule will be initially Specific reasons underlying the finding of necessity: Lead exposure is as- reviewed in the calendar year 2020, which is no later than the 3rd year af- sociated with impaired cognitive development in children. The known ter the year in which this rule is being adopted. adverse health effects for children from lead exposure include reduced IQ Assessment of Public Comment and attention span, learning disabilities, poor classroom performance, The consolidated rulemaking implements Part V of Chapter 57 of the hyperactivity, behavioral problems, and impaired growth. Although Laws of 2014, which required title insurance agents to become licensed in measures can be taken to help children overcome any potential impair- New York. The Department of Financial Services (“Department”) ments on cognition, the effects are considered irreversible. originally published a proposal to amend the rules and add a new rule on Lead can enter drinking water from the corrosion of plumbing materials. July 23, 2014. The Department promulgated a revised version of the pro- Facilities such as schools, which have intermittent water use patterns, may posal on an emergency basis on September 27, 2014 and without any have elevated lead concentration due to prolonged water contact with substantive change from the September 27, 2014 version, readopted the plumbing material. This source is increasingly being recognized as an revised version on an emergency basis on December 23, 2014, February important relative contribution to a child’s overall lead exposure. Recent 20, 2015, April 20, 2015, June 11, 2015, August 13, 2015, November 10, voluntary testing by school districts in New York State and other jurisdic- 2015, February 5, 2016, May 4, 2016, August 1, 2016, October 28, 2016, tions demonstrate the need to provide clear direction to schools on the January 25, 2017, April 24, 2017, June 22, 2017 and August 18, 2017. The requirements and procedures to sample drinking water for lead. emergency rulemaking addressed some of the comments that the Depart- Every school should supply drinking water to students that meets or ment had received on the initial proposed rulemaking that needed to be exceeds federal and state standards and guidelines. Although the federal immediately made while the Department considered other changes. The Environmental Protection Agency (“EPA”) has established a voluntary July 23, 2014 proposal expired and a revised version of the initial proposal testing program—known as the “3Ts for Reducing Lead in Drinking Wa- was proposed on May 3, 2017. The summary of comments herein address ter in Schools”—there is no federal law that requires schools to test their the current proposal. drinking water for lead or that requires an appropriate response, if lead is The Department received written comments from many interested par- determined to be present in school drinking water. ties in response to its publication of the rule in the New York State Regis- To help ensure that children are protected from lead exposure while in ter, including from several New York State legislators; an association school, the Commissioner of Health has determined it necessary to file representing the title insurance industry; an association representing New these regulations on an emergency basis. State Administrative Procedure York banks; the real property law section of a state bar association; an as- Act § 202(6) empowers the Commissioner to adopt emergency regulations

13 Rule Making Activities NYS Register/October 18, 2017 when necessary for the preservation of the public health, safety or general (2) test results indicate that the lead levels are at or below the action welfare and that compliance with routine administrative procedures would level; be contrary to the public interest. (b) provide building occupants with an adequate supply of potable wa- Subject: Lead Testing in School Drinking Water. ter for drinking and cooking until remediation is performed; (c) report the test results to the local health department as soon as Purpose: Requires lead testing and remediation of potable drinking water practicable, but no more than 1 business day after the school received the in schools. laboratory report; and Text of emergency rule: Pursuant to the authority vested in the Commis- (d) notify all staff and all persons in parental relation to students of the sioner of Health by Public Health Law sections 1370-a and 1110, Subpart test results, in writing, as soon as practicable but no more than 10 busi- 67-4 of Title 10 (Health) of the Official Compilation of Codes, Rules and ness days after the school received the laboratory report; and, for results Regulations of the State of New York is added, to be effective upon filing of tests performed prior to the effective date of this Subpart, within 10 with the Secretary of State, to read as follows: business days of this regulation’s effective date, unless such written SUBPART 67-4: Lead Testing in School Drinking Water Section 67-4.1 Purpose. notification has already occurred. This Subpart requires all school districts and boards of cooperative Section 67-4.5 Public Notification. educational services, including those already classified as a public water (a) List of lead-free buildings. By October 31, 2016, the school shall system under 10 NYCRR Subpart 5-1, to test potable water for lead make available on its website a list of all buildings that are determined to contamination and to develop and implement a lead remediation plan, be lead-free, as defined in section 1417 of the Federal Safe Drinking Wa- where applicable. ter Act. Section 67-4.2 Definitions. (b) Public notification of testing results and remediation plans. As used in this Subpart, the following terms shall have the stated (1) The school shall make available, on the school’s website, the meanings: results of all lead testing performed and lead remediation plans imple- (a) Action level means 15 micrograms per liter (µg/L) or parts per bil- mented pursuant to this Subpart, as soon as practicable, but no more than lion (ppb). Exceedance of the action level requires a response, as set forth 6 weeks after the school received the laboratory reports. in this Subpart. (2) For schools that received lead testing results and implemented (b) Building means any structure, facility, addition, or wing of a school lead remediation plans in a manner consistent with this Subpart, but prior that may be occupied by children or students. The terms shall not include to the effective date of this Subpart, the school shall make available such any structure, facility, addition, or wing of a school that is lead-free, as information, on the school’s website, as soon as practicable, but no more defined in section 1417 of the Federal Safe Drinking Water Act. than 6 weeks after the effective date of this Subpart. (c) Commissioner means the State Commissioner of Health. Section 67-4.6 Reporting. (d) Department means the New York State Department of Health. (a) As soon as practicable but no later than November 11, 2016, the (e) Outlet means a potable water fixture currently or potentially used school shall report to the Department, local health department, and State for drinking or cooking purposes, including but not limited to a bubbler, Education Department, through the Department’s designated statewide drinking fountain, or faucets. electronic reporting system: (f) Potable water means water that meets the requirements of 10 NYCRR (1) completion of all required first-draw sampling; Subpart 5-1. (2) for any outlets that were tested prior to the effective date of this (g) School means any school district or board of cooperative educa- regulation, and for which the school wishes to assert that such testing was tional services (BOCES). in substantial compliance with this Subpart, an attestation that: Section 67-4.3 Monitoring. (i) the school conducted testing that substantially complied with (a) All schools shall test potable water for lead contamination as the testing requirements of this Subpart, consistent with guidance issued required in this Subpart. by the Department; (b) First-draw samples shall be collected from all outlets, as defined in (ii) any needed remediation, including re-testing, has been per- this Subpart. A first-draw sample volume shall be 250 milliliters (mL), col- formed; lected from a cold water outlet before any water is used. The water shall (iii) the lead level in the potable water of the applicable build- be motionless in the pipes for a minimum of 8 hours, but not more than 18 ing(s) is currently below the action level; and hours, before sample collection. First-draw samples shall be collected (iv) the school has submitted a waiver request to the local health pursuant to such other specifications as the Department may determine department, in accordance with Section 67-4.8 of this Subpart; and appropriate. (3) a list of all buildings that are determined to be lead-free, as (c) Initial first-draw samples. defined in section 1417 of the Federal Safe Drinking Water Act. (1) For existing buildings in service as of the effective date of this (b) As soon as practicable, but no more than 10 business days after the regulation, schools shall complete collection of initial first-draw samples school received the laboratory reports, the school shall report data relat- according to the following schedule: ing to test results to the Department, local health department, and State (i) for any school serving children in any of the levels prekinder- Education Department, through the Department’s designated statewide garten through grade five, collection of samples is to be completed by electronic reporting system. September 30, 2016; Section 67-4.7 Recordkeeping. (ii) for any school serving children in any of the levels grades six The school shall retain all records of test results, lead remediation through twelve that are not also serving students in any of the levels pre- plans, determinations that a building is lead-free, and waiver requests, for kindergarten through grade five, and all other applicable buildings, col- ten years following the creation of such documentation. Copies of such lection of samples is to be completed by October 31, 2016. documentation shall be immediately provided to the Department, local (2) For buildings put into service after the effective date of this health department, or State Education Department, upon request. regulation, initial first-draw samples shall be performed prior to oc- Section 67-4.8 Waivers. cupancy; provided that if the building is put into service between the effec- (a) A school may apply to the local health department for a waiver from tive date of this regulation but before October 31, 2016, the school shall the testing requirements of this Subpart, for a specific school, building, or have 30 days to perform first-draw sampling. buildings, by demonstrating in a manner and pursuant to standards (3) Any first-draw sampling conducted consistent with this Subpart determined by the Department, that: that occurred after January 1, 2015 shall satisfy the initial first-draw (1) prior to the publication date of these regulations, the school sampling requirement. conducted testing that substantially complied with the testing require- (d) Continued monitoring. Schools shall collect first-draw samples in ments of this Subpart; accordance with subdivision (b) of this section again in 2020 or at an (2) any needed remediation, including re-testing, has been performed; earlier time as determined by the commissioner. Schools shall continue to and collect first-draw samples at least every 5 years thereafter or at an earlier (3) the lead level in the potable water of the applicable building(s) is time as determined by the commissioner. currently below the action level. (e) All first-draw samples shall be analyzed by a laboratory approved to (b) Local health departments shall review applications for waivers for perform such analyses by the Department’s Environmental Laboratory compliance with the standards determined by the Department. If the local Approval Program (ELAP). health department recommends approval of the waiver, the local health Section 67-4.4 Response. department shall send its recommendation to the Department, and the If the lead concentration of water at an outlet exceeds the action level, Department shall determine whether the waiver shall be issued. the school shall: Section 67-4.9 Enforcement. (a) prohibit use of the outlet until: (a) Upon reasonable notice to the school, an officer or employee of the (1) a lead remediation plan is implemented to mitigate the lead level Department or local health department may enter any building for the of such outlet; and purposes of determining compliance with this Subpart.

14 NYS Register/October 18, 2017 Rule Making Activities

(b) Where a school does not comply with the requirements of this government. There are approximately 733 school districts and 37 BOCES Subpart, the Department or local health department may take any action in New York State, which include over 5,000 school buildings that will be authorized by law, including but not limited to assessment of civil penal- subject to this regulation. ties as provided by law. The regulations require schools to test each potable water outlet for This notice is intended to serve only as a notice of emergency adoption. lead, in each school building occupied by children, unless the building is This agency intends to adopt the provisions of this emergency rule as a determined to be lead-free pursuant to federal standards. The cost for a permanent rule, having previously submitted to the Department of State a single lead analysis ranges from $20 - $75 per sample. Initial monitoring requires one sample per outlet. The number of outlets will vary from build- notice of proposed rule making, I.D. No. HLT-20-17-00013-P, Issue of ing to building. May 17, 2017. The emergency rule will expire November 26, 2017. If lead is detected above 15 ppb at any potable water outlet, the outlet Text of rule and any required statements and analyses may be obtained must be taken out of service and a remedial action plan must be developed from: Katherine Ceroalo, DOH, Bureau of House Counsel, Reg. Affairs to mitigate the lead contamination, at the school’s initial expense. Unit, Room 2438, ESP Tower Building, Albany, NY 12237, (518) 473- Remediation costs can vary significantly depending on the plumbing 7488, email: [email protected] configuration and source of lead. The school will also incur minor costs Regulatory Impact Statement for notification of the school community and local health department, Statutory Authority: posting the information on their website, and reporting electronically to The statutory authorities for the proposed regulation are set forth in the Department. Recently enacted legislation authorizes schools to receive Public Health Law (PHL) §§ 1110 and 1370-a. Section 1110 of the PHL State Aid through the State Education Department (“SED”) to defray these directs the Department of Health (Department) to promulgate regulations costs. regarding the testing of potable water provided by school districts and Local health departments will also incur some administrative costs re- boards of cooperative education services (BOCES) (collectively, lated to tracking local implementation, reviewing waiver applications, and “schools”) for lead contamination. Section 1370-a of the PHL authorizes compliance oversight. These activities will be eligible for State Aid the Department to establish programs and coordinate activities to prevent through the Department’s General Public Health Work program. lead poisoning and to minimize the risk of exposure to lead. Local Government Mandates: Legislative Objective: Schools, as a form of local government, are required to comply with the The legislative objective of PHL § 1110 is to protect children by requir- regulations, as detailed above. ing schools to test their potable water systems for lead contamination. Paperwork: Similarly, PHL § 1370-a authorizes the Department to establish programs The regulation imposes recordkeeping requirements related to: moni- and coordinate activities to prevent lead poisoning and to minimize the toring of potable water outlets; notifications to the public and local health risk of exposure to lead. Consistent with these objectives, this regulation department; and electronic reporting to the Department. adds a new Subpart 67-4 to Title 10 of the New York Codes, Rules, and Duplication: Regulations, establishing requirements for schools to test their potable There will be no duplication of existing State or Federal regulations. water outlets for lead contamination. Alternatives: Needs and Benefits: There are no significant alternatives to these regulations, which are be- Lead is a toxic material that is harmful to human health if ingested or ing promulgated pursuant to recent legislation. inhaled. Children and pregnant women are at the greatest risk from lead Federal Standards: exposure. Scientists have linked lead exposure with lowered IQ and There are no federal statutes or regulations pertaining to this matter. behavior problems in children. It is also possible for lead to be stored in However, the Department’s regulations are consistent with the Unites bones and it can be released into the bloodstream later in life, including States Environmental Protection Agency’s guidance document titled 3Ts during pregnancy. Further, during pregnancy, lead in the mother’s for Reducing Lead in Drinking Water in Schools, Revised Technical Guid- bloodstream can cross the placenta, which can result in premature birth ance (available at: https://www.epa.gov/sites/production/files/2015-09/ and low birth weight, as well as problems with brain, kidney, or nervous documents/toolkit_leadschools_guide_3ts_leadschools.pdf). EPA’s docu- system development, and learning and behavior problems. Studies have ment will serve as guidance to schools for implementing the program. also shown that low levels of lead can negatively affect adults, leading to Compliance Schedule: heart and kidney problems, as well as high blood pressure and nervous For existing buildings put into service as of the effective date of this system disorders. regulation, all sampling shall be performed according to the following Lead is a common metal found in the environment. The primary source schedule: of lead exposure for most children is lead-based paint. However, drinking (i) for any school serving children in any of the levels prekindergarten water is another source of lead exposure due to the lead content of certain through grade five, collection of samples is to be completed by September plumbing materials and source water. 30, 2016; Laws now limit the amount of lead in new plumbing materials. (ii) for any school serving children in any of the levels grades six However, plumbing materials installed prior to 1986 may contain signifi- through twelve that are not also serving students in any of the levels pre- cant amounts of lead. In 1986, the federal government required that only kindergarten through grade five, and all other applicable buildings, collec- “lead-free” materials be used in new plumbing and plumbing fixtures. Al- tion of samples is to be completed by October 31, 2016. though this was a vast improvement, the law still allowed certain fixtures For buildings put into service after the effective date of this regulation, with up to 8 percent lead to be labeled as “lead free.” In 2011, amend- sampling shall be performed prior to occupancy. ments to the Safe Drinking Water Act appropriately re-defined the defini- Regulatory Flexibility Analysis tion of “lead-free.” Although federal law now appropriately defines “lead- Effect on Small Business and Local Governments: free,” some older fixtures can still leach lead into drinking water. This regulation applies to schools, which are a form of local Elevated lead levels are commonly found in the drinking water of school government. As explained in the Regulatory Impact Statement, the new buildings, due to older plumbing and fixtures and intermittent water use regulations: establish an action level of 15 micrograms per liter (equiva- patterns. Currently, only schools that have their own public water systems lent to parts per billion, or ppb) for lead in the drinking water of school are required to test for lead contamination in drinking water. buildings; establish initial and future monitoring requirements; require In the absence of federal regulations governing all schools, the schools to develop remedial action plans if the action level is exceeded at Department’s regulations require all schools to monitor their potable drink- any potable water outlet; conduct public notification of results to the school ing water for lead. The new regulations: establish an action level of 15 community; and report results to the Department. The Environmental micrograms per liter (equivalent to parts per billion, or ppb) for lead in the Protection Agency’s 3Ts for Reducing Lead in Drinking Water in Schools, drinking water of school buildings; establish initial and future monitoring Revised Technical Guidance will be used as a technical reference for requirements; require schools to develop remedial action plans if the ac- implementation of the regulation. Local health departments will also incur tion level is exceeded at any potable water outlet; conduct public notifica- some administrative costs related to tracking local implementation and tion of results to the school community; and report results to the oversight of the regulation. Department. The Environmental Protection Agency’s “3Ts for Reducing Additionally, the regulations require the services of a laboratory certi- Lead in Drinking Water in Schools, Revised Technical Guidance” will be fied by the Department under its Environmental Laboratory Approval used as a technical reference for implementation of the regulation. Program (ELAP). Some schools may also wish to hire environmental Costs: consultants to assist with compliance. Some labs and environmental Costs to Private Regulated Parties: consultants qualify as small businesses and, at least initially, their services These regulations only applies to public schools. No private schools are will be in greater demand due to the new regulation. affected. Compliance Requirements: Costs to State Government and Local Government: As noted above, the new regulations: establish an action level of 15 These regulations applies to schools, which are a form of local micrograms per liter (equivalent to parts per billion, or ppb) for lead in the

15 Rule Making Activities NYS Register/October 18, 2017 drinking water in school buildings; establish initial and future monitoring Regions of Adverse Impact: requirements; require schools to develop remedial action plans if the ac- The Department anticipates no negative impact on jobs or employment tion level is exceeded at any potable water outlet; conduct public notifica- opportunities in any particular region of the state. tion of results to the school community; and requiring reporting of results Minimizing Adverse Impact: to the Department. Not applicable. Reporting and Recordkeeping: Assessment of Public Comment The regulation will impose new monitoring, reporting, and public The agency received no public comment. notification requirements for schools. Professional Services: EMERGENCY As noted above, the regulations require the services of a laboratory certified by the Department under its Environmental Laboratory Approval RULE MAKING Program (ELAP). Some schools may also wish to hire environmental consultants to assist with compliance. Physician and Pharmacies; Prescribing, Administering and Compliance Costs: The regulation will require schools to test each potable water outlet for Dispensing for the Treatment of Narcotic Addiction lead, in each school building occupied by children. The cost for a single I.D. No. HLT-21-17-00001-E lead analysis ranges from $20 - $75 per sample. Initial monitoring requires one sample per outlet. The number of outlets will vary from building to Filing No. 822 building. Filing Date: 2017-09-28 If lead is detected above 15 ppb at any potable water outlet, the outlet Effective Date: 2017-09-28 must be taken out of service and a remedial action plan must be developed to mitigate the lead contamination, at the school’s expense. Remediation costs can vary significantly depending on the plumbing configuration and PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- source of lead. The school will also incur minor costs for notification of cedure Act, NOTICE is hereby given of the following action: the school community and local health department, posting the information on their website, and reporting electronically to the Department. Action taken: Amendment of section 80.84 of Title 10 NYCRR. Recently enacted legislation authorizes schools to receive State Aid Statutory authority: Public Health Law, section 3308(2) through the State Education Department (“SED”) to defray these costs. Finding of necessity for emergency rule: Preservation of public health, Local health departments will also incur some administrative costs republic safety and general welfare. lated to tracking local implementation, reviewing waiver applications, and Specific reasons underlying the finding of necessity: Drug addiction and compliance oversight. These activities will be eligible for State Aid accidental overdoses due to opioid prescription medication and heroin are through the Department’s General Public Health Work program. at an all-time high in New York State and across the nation. The Drug Ad- Cost to Private Parties: diction Treatment Act of 2000 (DATA 2000) and New York State regula- There are no costs to private parties. tions currently permit qualified physicians to prescribe or dispense Economic and Technological Feasibility: buprenorphine for the treatment of individuals with substance use disorder The technology for lead testing of drinking water is well-established. (SUD). Buprenorphine has been shown to be an effective treatment option With respect to schools’ costs of compliance, State Aid will be available for opioid dependence, providing a safe, controlled level of medication to through the State Education Department to ensure that compliance is overcome the use of a problem opioid. Recently enacted federal law and feasible. Local health department activities will be eligible for State Aid regulations allow for the expanded access to buprenorphine. However, to through the Department’s General Public Health Work program. implement this in New York State, the Department’s regulations must be Minimizing Adverse Impact: amended. Any school that has already performed testing in compliance with these In September 2016, the federal Substance Abuse and Mental Health regulations, as far back as January 1, 2015, does not need to perform Services Administration (SAMHSA) adopted a new rule that increased the sampling again. Further, consistent with the requirements of PHL § 1110, number of patients that a practitioner can treat for opioid addiction in an if a school has performed testing that substantially complies with the office-based practice setting. Further, on July 22, 2016, the Comprehensive regulations, the school may apply to the Department for a waiver, so that Addiction and Recovery Act of 2016 (CARA) was signed into law by additional testing is not required. In either case, the requirement to report President Obama, extending prescribing privileges to nurse practitioners sample results, and other requirements, remain in place. and physician assistants to treat patients for opioid addiction with School buildings that are determined to be “lead-free,” as defined in buprenorphine. Regulations in 10 NYCRR Part 80 are now outdated section 1417 of the Federal Safe Drinking Water Act, do not need to test because they refer to a patient limit of thirty and restrict prescribing privi- their outlets. School will be required to make available on their website a leges to physicians. list of all buildings that are determined to be lead-free. According to the New York State Office of Alcohol and Substance Small Business and Local Government Participation: Abuse Services (OASAS) data, more than 107,000 people were treated for Although small businesses were not consulted on these specific regula- opioid addiction in 2015, with approximately 1,540 physicians certified to tions, the dangers of lead in school drinking water has garnered significant prescribe buprenorphine. It is clear that increased access to treatment is local, state, and national attention. The New York State School Board As- necessary, based upon the ratio of certified physicians to patients suffering sociation (NYSSBA) requested a meeting with the Department to discuss from SUD. Expanding the authority to treat patients with SUD to physi- the impacts of the enabling legislation. NYSSBA provided feedback on cian assistants (PAs) and nurse practitioners (NPs), will greatly improve testing, prior monitoring, and other matters. The Department took this access for thousands of individuals across the state. feedback into consideration when drafting the regulation. The Department To ensure that individuals addicted to opioids have immediate access to will also conduct public outreach, and there will be an opportunity to com- treatment from authorized providers, including PAs and NPs, the Com- ment on the proposed permanent regulations. The Department will review missioner of Health has determined it necessary to file these regulations all public comments received. on an emergency basis. State Administrative Procedure Act § 202(6) Rural Area Flexibility Analysis empowers the Commissioner to adopt emergency regulations when neces- Pursuant to Section 202-bb of the State Administrative Procedure Act sary for the preservation of the public health, safety or general welfare and (SAPA), a rural area flexibility analysis is not required. These provisions that compliance with routine administrative procedures would be contrary apply uniformly throughout New York State, including all rural areas. The to the public interest. Removing the outdated legal obstacles in the current proposed rule will not impose an adverse economic impact on rural areas, regulations would immediately allow experienced practitioners to treat nor will it impose any disproportionate reporting, recordkeeping or other addiction. compliance requirements on the regulated entities in rural areas. Subject: Physician and Pharmacies; Prescribing, Administering and Job Impact Statement Dispensing for the Treatment of Narcotic Addiction. The Department expects there to be a positive impact on jobs or employ- Purpose: To allow any authorized practitioner to prescribe, administer and ment opportunities. Some school districts will likely hire firms or individu- dispense buprenorphine for the treatment of narcotic addiction. als to assist with regulatory compliance. Schools impacted by this amend- Text of emergency rule: Section 80.84 is amended as follows: ment will require the professional services of a certified laboratory to Section 80.84 [Physicians] Practitioners and pharmacies; prescribing, perform the analyses for lead, which will create a need for additional labo- administering and dispensing for the treatment of narcotic addiction. ratory capacity. Pursuant to the provisions of the federal Drug Addiction Treatment Act Categories and Numbers Affected: of 2000 (DATA 2000) (106 P.L. 310, Div. B, Title XXXV, Section 3502(a)), The Department anticipates no negative impact on jobs or employment an authorized [physician] practitioner may prescribe, administer or opportunities as a result of the proposed regulations. dispense an approved controlled substance, and a licensed registered

16 NYS Register/October 18, 2017 Rule Making Activities pharmacist may dispense an approved controlled substance, to a patient Under the federal Drug Addiction Treatment Act of 2000 (DATA 2000), participating in an authorized controlled substance maintenance program qualified physicians are authorized to treat patients with opioid depen- approved pursuant to Article 32 of the Mental Hygiene Law for the treat- dency, including heroin, with buprenorphine. Prior to the legislation the ment of narcotic addiction. only treatment option for patients dependent on opioids was in a metha- (a) An approved controlled substance shall mean the following con- done treatment clinic. DATA 2000 increased the accessibility of treatment trolled substance which has been approved by the Food and Drug for opioid use disorder, or more commonly referred to as, opiate addiction, Administration (FDA), or its successor agency, and the New York State in a community setting. Department of Health for the treatment of narcotic addiction: Many patients with substance use disorders, especially those living in (1) buprenorphine rural areas, are underserved due to the lack of authorized physicians under (b) An authorized [physician] practitioner is a [physician] practitioner DATA 2000. In July 2016, to address this issue, President Obama signed specifically registered with the Drug Enforcement Administration to pre- the Comprehensive Addiction and Recovery Act of 2016 (CARA) into scribe, administer or dispense an approved controlled substance for the law. CARA allows nurse practitioners and physician assistants to treat treatment of narcotic addiction, and approved for such purpose pursuant to patients dependent on opioids with buprenorphine in an office-based the provisions of Article 32 of the Mental Hygiene Law. setting. (See P.L. 114-198.) However, the Department’s regulations, which (1) The total number of such patients of an authorized [physician] were drafted in 2004, do not currently allow for this expanded field of practitioner at any one time shall not exceed [30] the limit established by providers and should be amended. DATA 2000 and the Department of Health and Human Services (HHS) Further, to address the rapidly growing need to treat opioid use disorder Substance Abuse and Mental Health Services Administration (SAMHSA), in the office-based setting nationwide, the Department of Health and Hu- or its successor agency. man Services (HHS) recently adopted a rule to lift the limits on the number (2) An authorized [physician] practitioner prescribing an approved of patients doctors can treat with buprenorphine from 100 to 275. The rule controlled substance for the treatment of narcotic addiction, in addition to increased access to medication-assisted treatment (MAT), which includes preparing and signing an official New York State prescription or an opioid treatment programs (OTPs). (See 81 FR 44711.) MAT combines electronic prescription in accordance with Section 3332 of the Public medications, such as buprenorphine, and behavioral therapy to treat Health Law and Section 80.69 of this Part, shall also include his/her unique substance use disorders. With the adoption of this new federal rule, the DEA identification number on the prescription. Department’s regulations refer to the now outdated prescribing limits. (3) An authorized practitioner may dispense an approved controlled The Department is proposing amendments to Section 80.84 to ensure substance for the treatment of narcotic addiction in accordance with Sec- consistency with these federal laws and regulations. tion 3331 of the Public Health Law and Section 80.71 of this Part. Costs: Costs to Regulated Parties: (c) A pharmacist may dispense an approved controlled substance for the The amendment would not impose costs to regulated parties. The treatment of narcotic addiction pursuant to a prescription issued by an au- regulations simply increase access to treatment for persons addicted to thorized [physician] practitioner. Such dispensing shall be in accordance opioids. with Section 3333 of the Public Health Law and Section 80.74 of this Part. Costs to State Government: This notice is intended to serve only as a notice of emergency adoption. There will be no additional costs to state government as a result of the This agency intends to adopt the provisions of this emergency rule as a proposed amendment. permanent rule, having previously submitted to the Department of State a Costs to Local Governments: notice of proposed rule making, I.D. No. HLT-21-17-00001-P, Issue of There will be no additional costs to local government as a result of the May 24, 2017. The emergency rule will expire November 26, 2017. proposed amendment. Text of rule and any required statements and analyses may be obtained Costs to the Department of Health: from: Katherine Ceroalo, DOH, Bureau of House Counsel, Reg. Affairs There will be no additional costs to the Department. Unit, Room 2438, ESP Tower Building, Albany, NY 12237, (518) 473- Local Government Mandates: 7488, email: [email protected] This amendment will not impose any program, service, duty, additional Regulatory Impact Statement cost, or responsibility on any county, city, town, village, school district, Statutory Authority: fire district, or other special district. Section 3308(2) of the Public Health law authorizes and empowers the Paperwork: Commissioner to make any regulations necessary to supplement the provi- The proposed amendments would not increase paperwork requirements. sion of Article 33 of the Public Health Law in order to effectuate their Duplication: purpose and intent. There are no duplicative or conflicting rules identified. Legislative Objectives: Alternatives: The legislative purpose of Article 33, and its associated regulations, is The Department could choose to retain existing standards. This option to combat illegal use of and trade in controlled substances and to allow le- was rejected because the discrepancy between federal and State standards gitimate use of controlled substances in health care authorized by the would confuse practitioners and defeat the purpose of CARA, which is to article or other law. This amendment will provide for increased access to expand access to treatment of people addicted to opioids. treatment for persons addicted to opioids. Federal Standards: Needs and Benefits: The regulatory amendment does not exceed any minimum standards of The rise of heroin and pharmaceutical opioid use has increased the need the federal government. and demand for treatment throughout New York State. Deaths in New Compliance Schedule: York have risen 50 percent in the last five years due to opioid overdose. This regulation will become effective upon filing with the Secretary of Many of these deaths can be attributed to untreated opioid use disorder. State. Statistics published in the “2015 New York State Opioid Poisoning, Regulatory Flexibility Analysis Overdose and Prevention Report to Governor Cuomo and the NYS No regulatory flexibility analysis is required pursuant to section 202- Legislature” provide significant information of the widespread epidemic b(3)(a) of the State Administrative Procedure Act. The proposed amend- that has reached this state. According to the Report: ment does not impose an adverse economic impact on small businesses or In 2009, there were 1,538 reported deaths from unintentional drug local governments, and it does not impose reporting, record keeping or poisonings in NYS. Toxicology tests identified heroin in 242 (16 percent) other compliance requirements on small businesses or local governments. of these deaths and opioid analgesics in 735 (48 percent). In 2013, the lat- est full year for which data are available, the number of reported drug Rural Area Flexibility Analysis overdose deaths increased to 2,175, a 41 percent increase from 2009. The No rural area flexibility analysis is required pursuant to section 202- number of heroin-related deaths increased in 2013 to 637, and opioid bb(4)(a) of the State Administrative Procedure Act. The proposed amend- analgesics related deaths rose to 952, increases of 163 percent and 30 ment does not impose an adverse impact or significant reporting, record percent from 2009, respectively. Opioid-related emergency department keeping or other compliance requirements on public or private entities in visits increased 73 percent from 2010 to 2014, 75,110 opioid-related rural areas. There are no other compliance costs imposed on public or inpatient hospital admissions were reported in 2014, an increase of 3 private entities in rural areas as a result of the amendments. percent from 2010, and 118,875 (42 percent) of the 281,800 admissions to Job Impact Statement NYS certified substance abuse treatment programs in 2014 included “any No job impact statement is required pursuant to section 201-a(2)(a) of the opioid” as the primary, secondary or tertiary drug problem, up 19 percent State Administrative Procedure Act. It is apparent, from the nature of the from 2010 (100,004). (See 2015 New York State Opioid Poisoning, Overdose and Prevention proposed amendment, that it will not have an adverse impact on jobs and Report to Governor Cuomo and the NYS Legislature, page 1, available at: employment opportunities. https://www.health.ny.gov/diseases/aids/general/ Assessment of Public Comment opioid_overdose_prevention/docs/annual_report2015.pdf) The agency received no public comment.

17 Rule Making Activities NYS Register/October 18, 2017

c. cost information is based on the fact that there will be minimal costs to regulated parties and state agencies as the regulation merely adds a right New York State Joint Commission of appeal to an existing regulatory process. The cost to the agency is based on the estimated slight increase in staff resources to implement the on Public Ethics regulations. 5. Local government mandate: The proposed regulation imposes no new programs, services, duties or responsibilities upon any county, city, PROPOSED RULE MAKING town, village, school district, fire district, or other special district. 6. Paperwork: This regulation may require the preparation of additional NO HEARING(S) SCHEDULED forms or paperwork. Such additional paperwork is expected to be minimal. 7. Duplication: This regulation does not duplicate any existing federal, Financial Disclosure Statements state, or local regulations. 8. Alternatives: JCOPE could promulgate a resolution or guidance to I.D. No. JPE-42-17-00003-P incorporate a right of appeal. However, amending the existing financial disclosure exemption regulations through the formal rulemaking process PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- provides more clarity to affected parties. cedure Act, NOTICE is hereby given of the following proposed rule: 9. Federal standards: These regulations do not exceed any federal mini- Proposed Action: Amendment of Parts 935, 936, 941 and 942 of Title 19 mum standard with regard to a similar subject area. NYCRR. 10. Compliance schedule: Compliance will take effect upon adoption. Statutory authority: Executive Law, sections 94(9)(c), (k), (i-1), (14); Regulatory Flexibility Analysis Public Officers Law, sections 73-a(8)(b-1), (b-2) and (c) A Regulatory Flexibility Analysis for Small Businesses and Local Govern- Subject: Financial disclosure statements. ments is not submitted with this Notice of Proposed Rule Making because the proposed rulemaking will not impose any adverse economic impact on Purpose: To add a right of appeal to provisions governing exemptions re- small businesses or local governments, nor will it require or impose any lated to filing a financial disclosure statement. reporting, record-keeping, or other affirmative acts on the part of these Substance of proposed rule (Full text is posted at the following State entities for compliance purposes. The New York State Joint Commission website: http://www.jcope.ny.gov/advice/proposed %20regs.html): Parts on Public Ethics notes that this regulation only adds a right of appeal in 935 and 942 are amended to provide that applications for exemption from cases where an individual’s request to be exempted from filing a financial filing a financial disclosure statement or from disclosing client informa- disclosure statement or from disclosing client information in a financial tion in a financial disclosure statement are decided in the initial instance by the Executive Director, and a denial by the Executive Director may be disclosure statement has been denied, and does not impose record-keeping appealed to the Commission pursuant to the provisions in Part 941. Part requirements or other adverse economic impact on small businesses and 941 is amended to provide a procedure by which the Executive Director’s local governments. denial of an application under Part 935 or 942 is appealed to the Rural Area Flexibility Analysis Commission. Part 936 is amended for a technical change, and includes no A Rural Area Flexibility Analysis is not submitted with this Notice of substantive amendments. Proposed Rule Making because the proposed rulemaking will not impose Text of proposed rule and any required statements and analyses may be any adverse economic impact on rural areas, nor will compliance require obtained from: Martin Levine, Deputy General Counsel, Joint Commis- or impose any reporting, record-keeping, or other affirmative acts on the sion on Public Ethics, 540 Broadway, Albany, NY 12207, (518) 408-3976, part of rural areas. The Joint Commission on Public Ethics makes these email: [email protected] findings based on the fact that the financial disclosure statement regula- Data, views or arguments may be submitted to: Same as above. tions govern the process by which certain state officers or employees seek Public comment will be received until: 45 days after publication of this an exemption from filing a financial disclosure statement or from disclos- notice. ing client information on a financial disclosure statement during the period Regulatory Impact Statement of their State service. Rural areas are not affected in any way. 1. Statutory authority: Executive Law section 94(9)(c) generally directs Job Impact Statement the Joint Commission on Public Ethics (“JCOPE”) to adopt, amend, and A Job Impact Statement is not submitted with this Notice of Proposed rescind rules and regulations to govern JCOPE’s various procedures, Rule Making because the proposed rulemaking will have a limited impact including the procedure for requesting a extension of time to file a financial on jobs or employment opportunities. The Joint Commission on Public disclosure statement required pursuant to Public Officers Law section 73-a Ethics makes these findings based on the fact that the regulations apply (“FDS”). only to limited state officers and employees during the period of their Executive Law section 94(9)(k) directs JCOPE to promulgate rules and State service. regulations to permit certain individuals to request an exemption from filing an FDS. Executive Law section 94(14) authorizes JCOPE to adopt rules and regulations relating to adjudicatory proceedings and appeals for matters arising under the Commission’s jurisdiction. Long Island Power Authority Executive Law section 94(9)(i-1) and Public Officers Law sections 73- a(8)(b-1); 73-a(8)(b-2); and 73-a(8)(c) authorize JCOPE to receive, and to adopt rules and regulations relating to, requests for exemptions from NOTICE OF ADOPTION certain disclosure requirements with respect to FDSs. 2. Legislative objectives: To provide procedures regarding the right to Low-Income Customer Discounts in the Authority’s Tariff appeal a determination of the Executive Director on a request for an exemption from filing an FDS or from disclosing client information on an I.D. No. LPA-28-17-00010-A FDS, and to address certain technical issues in an existing rule. Filing Date: 2017-10-03 3. Needs and benefits: JCOPE’s and its predecessor agencies created Effective Date: 2017-10-18 regulations regarding procedures for requesting an exemption from filing an FDS, or disclosing client information on an FDS. The proposed rulemaking will clarify that these requests are decided in the initial PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- instance by the Executive Director and that a filer may seek an appeal of a cedure Act, NOTICE is hereby given of the following action: denial by the Executive Director to the Commission for a ruling on Action taken: The Long Island Power Authority adopted modifications to whether the Executive Director made an erroneous determination. The the Authority’s Tariff for Electric Service to update provisions regarding proposed rulemaking also will effect a technical change to the existing the Authority’s discounts for low income customers. regulation on requesting an extension of time to file an FDS for justifiable Statutory authority: Public Authorities Law, section 1020-f(u) and (z) cause or undue hardship (Part 936). 4. Costs: Subject: Low-income customer discounts in the Authority’s tariff. a. costs to regulated parties for implementation and compliance: Purpose: To expand the Authority’s low income customer discounts con- Minimal. sistent with New York state policy. b. costs to the agency, state and local government: Minimal costs to the Text or summary was published in the July 12, 2017 issue of the Register, agency. I.D. No. LPA-28-17-00010-P.

18 NYS Register/October 18, 2017 Rule Making Activities

Final rule as compared with last published rule: No changes. received a total of 2 comments from 2 individuals representing the Text of rule and any required statements and analyses may be obtained developmental disability provider community. from: Justin Bell, Long Island Power Authority, 333 Earle Ovington Blvd, COMMENT: Commenter asked if the regulations will change incident Suite 403, Uniondale, NY 11553, (516) 719-9886, email: reporting for voluntary providers of developmental disability services, and [email protected] if voluntary providers will be required to report all Reportable Abuse Ne- glect or Reportable Significant Incidents to the Justice Center. Revised Regulatory Impact Statement RESPONSE: There was no intention to expand Justice Center require- A revised regulatory impact statement is not submitted with this notice ments when OPWDD began certifying HCBS waiver services. Justice because the rule is within the definition contained in section 102(2)(a)(ii) Center reporting requirements apply to voluntary-operated certified facili- of the State Administrative Procedure Act. ties only. Revised Regulatory Flexibility Analysis COMMENT: Commenter asked if the regulations require an out of state A revised regulatory flexibility analysis is not submitted with this notice provider under OPWDD to obtain an operating certificate, when obtaining because the rule is within the definition contained in section 102(2)(a)(ii) an operating certificate was not a part of the provider’s contract with of the State Administrative Procedure Act. OPWDD. REPONSE: The new regulations in Part 619 were developed to update Revised Rural Area Flexibility Analysis existing Department of Mental Hygiene certification regulations in Part 70 A revised rural area flexibility analysis is not submitted with this notice that have always applied to certification of OPWDD state-operated and because the rule is within the definition contained in section 102(2)(a)(ii) voluntary-operated agencies serving individuals with developmental dis- of the State Administrative Procedure Act. abilities in New York State. Revised Job Impact Statement A revised job impact statement is not submitted with this notice because the rule is within the definition contained in section 102(2)(a)(ii) of the State Administrative Procedure Act. Public Service Commission Assessment of Public Comment An assessment of public comment is not submitted with this notice because PROPOSED RULE MAKING the rule is within the definition contained in section 102(2)(a)(ii) of the State Administrative Procedure Act. HEARING(S) SCHEDULED Complaint for Review of Rates Charged for Water Service to Commercial and Residential Customers of Water Works Office for People with Corporation Developmental Disabilities I.D. No. PSC-42-17-00005-P PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- cedure Act, NOTICE is hereby given of the following proposed rule: NOTICE OF ADOPTION Proposed Action: The Commission is considering a complaint by customers of Bristol Water Works Corporation (Bristol) requesting review of the Certification of Facilities and Home and Community Based rates charged by Bristol for water service to commercial and residential Services (HCBS) customers. I.D. No. PDD-08-17-00006-A Statutory authority: Public Service Law, sections 5, 89-c, 89-i and 89-j Subject: Complaint for review of rates charged for water service to com- Filing No. 831 mercial and residential customers of water works corporation. Filing Date: 2017-10-03 Purpose: To consider the complaint filed on January 3, 2017 by Bristol Effective Date: 2017-10-18 customers. Public hearing(s) will be held at: 10:30 a.m., December 6, 2017 and daily PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- on succeeding business days as needed at Department of Public Service, Agency Bldg. 3, 3rd Fl. Hearing Rm., Albany, NY. (Evidentiary Hearing)* cedure Act, NOTICE is hereby given of the following action: *On occasion, there are requests to reschedule or postpone evidentiary Action taken: Amendment of Parts 633, 635, 671, 679, 681, 686 and 690; hearing dates. If such a request is granted, notification of any subsequent addition of Part 619 to Title 14 NYCRR. scheduling changes will be available at the DPS website (www.dps.ny.gov) Statutory authority: Mental Hygiene Law, sections 13.07, 13.09(b) and under Case 17-W-0049. 16.00 Interpreter Service: Interpreter services will be made available to hearing Subject: Certification of Facilities and Home and Community Based Ser- impaired persons, at no charge, upon written request submitted within reasonable time prior to the scheduled public hearing. The written request vices (HCBS). must be addressed to the agency representative designated in the paragraph Purpose: To update, reorganize, and relocate existing requirements for below. certification of programs and services in OPWDD’s system. Accessibility: All public hearings have been scheduled at places reason- Text or summary was published in the February 22, 2017 issue of the ably accessible to persons with a mobility impairment. Register, I.D. No. PDD-08-17-00006-P. Substance of proposed rule: On January 3, 2017, the Bristol Harbour Vil- Final rule as compared with last published rule: No changes. lage Association (Association) filed a petition, signed by more than 25 Text of rule and any required statements and analyses may be obtained ratepayers, requesting that the Public Service Commission (PSC) deter- from: Office of Counsel, Bureau of Policy and Regulatory Affairs, Office mine whether the rates of Bristol Water Works Corporation (Bristol) are for People With Developmental Disabilities (OPWDD), 44 Holland Ave- fair and equitable to residential and commercial customers. nue 3rd Floor, Albany, NY 12229, (518) 474-7700, email: Under Public Service Law § 89-I, when a complaint regarding the rates, [email protected] charges or classifications of service is filed by 25 or more ratepayers of a Additional matter required by statute: Pursuant to the requirements of the water utility, the Commission may undertake an investigation of the water State Environmental Quality Review Act, OPWDD, as lead agency, has utility’s plant and books to determine if the water utility is providing safe determined that the action described herein will have no effect on the and adequate service at just and reasonable rates. environment and an E.I.S. is not needed. Pursuant to the Association’s complaint, the Commission is instituting an investigation into the rates and service of Bristol and may take any ac- Initial Review of Rule tion it determines is necessary to ensure just and reasonable rates any may As a rule that requires a RFA, RAFA or JIS, this rule will be initially resolve related matters. The full text of the filing may be reviewed online reviewed in the calendar year 2020, which is no later than the 3rd year af- at the Department of Public Service web page: www.dps.ny.gov. ter the year in which this rule is being adopted. Text of proposed rule and any required statements and analyses may be Assessment of Public Comment obtained by filing a Document Request Form (F-96) located on our Public comments were submitted to the Office for People With Devel- website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John opmental Disabilities (OPWDD) in response to the regulation. The public Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New comment period for this regulation ended on April 10, 2017. The Office York 12223-1350, (518) 486-2655, email: [email protected]

19 Rule Making Activities NYS Register/October 18, 2017

Data, views or arguments may be submitted to: Kathleen H. Burgess, PROPOSED RULE MAKING Secretary, Public Service Commission, 3 Empire State Plaza, Albany, New NO HEARING(S) SCHEDULED York 12223-1350, (518) 474-6530, email: [email protected] Public comment will be received until: Five days after the last scheduled Notice of Intent to Submeter Electricity public hearing. Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural I.D. No. PSC-42-17-00006-P Area Flexibility Analysis and Job Impact Statement Statements and analyses are not submitted with this notice because the PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- proposed rule is within the definition contained in section 102(2)(a)(ii) of cedure Act, NOTICE is hereby given of the following proposed rule: the State Administrative Procedure Act. Proposed Action: The Commission is considering the Notice of Intent of (17-W-0049SP1) 45 John NY LLC, to submeter electricity at 45 John Street, New York, New York. PROPOSED RULE MAKING Statutory authority: Public Service Law, sections 2, 4(1), 30, 32-48, 52, NO HEARING(S) SCHEDULED 53, 65(1), 66(1), (2), (3), (4), (12) and (14) Subject: Notice of Intent to submeter electricity. NYSRC’s Revisions to Its Rules and Measurements Purpose: To consider the Notice of Intent of 45 John NY LLC to submeter electricity at 45 John Street, New York, New York. I.D. No. PSC-42-17-00004-P Substance of proposed rule: The Commission is considering the Notice of Intent of 45 John NY LLC filed on July 31, 2017, to submeter electric- PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- ity at 45 John Street, New York, New York, located in the service territory of Consolidated Edison Company of New York, Inc. (Con Edison). By cedure Act, NOTICE is hereby given of the following proposed rule: stating its intent to submeter electricity, 45 John NY LLC has requested Proposed Action: The Commission is considering revisions to the rules authorization to take electric service from Con Edison and then distribute and measurements of the New York State Reliability Council (NYSRC) and meter that electricity to tenants. Submetering of electricity to residen- contained in Version 41 of the NYSRC’s Reliability Rules. tial tenants is allowed so long as it complies with the protections and Statutory authority: Public Service Law, sections 4(1), 5(2), 65(1), 66(1), requirements of the Commission’s regulations at 16 NYCRR Part 96. The (2), (4) and (5) full text of the Notice of Intent may be reviewed online at the Department of Public Service web page: www.dps.ny.gov under case number 17-E- Subject: NYSRC’s revisions to its rules and measurements. 0465. The Commission may adopt, reject or modify, in whole or in part, Purpose: To consider revisions to various rules and measurements of the the relief requested and may resolve related matters. NYSRC. Text of proposed rule and any required statements and analyses may be Substance of proposed rule: The Public Service Commission (Commis- obtained by filing a Document Request Form (F-96) located on our sion) is considering revisions to the rules and measurements of the New website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John York State Reliability Council (NYSRC) contained in Version 41 of the Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New NYSRC’s Reliability Rules, which were filed with the PSC on September York 12223-1350, (518) 486-2655, email: [email protected] 26, 2017, in Case 05-E-1180. Subsequent to the Commission’s adoption of Data, views or arguments may be submitted to: Kathleen H. Burgess, Version 38 of the NYSRC Reliability Rules, the rules include revised Secretary, Public Service Commission, 3 Empire State Plaza, Albany, New requirements for System Restoration Plans (SRP) and related measures York 12223-1350, (518) 474-6530, email: [email protected] and levels of non-compliance, removal of the reliability rule for coordi- Public comment will be received until: 45 days after publication of this nated SRP training programs and related requirements and compliance notice. elements, new requirements for Loss of Gas Supply – New York City and Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural related measures and levels of non-compliance, and removal of the reli- Area Flexibility Analysis and Job Impact Statement ability rule and related requirements and compliance elements related to Statements and analyses are not submitted with this notice because the Disturbance Recording. The rules also include revisions to define the term proposed rule is within the definition contained in section 102(2)(a)(ii) of “relevant system conditions,” and to clarify compliance with rules for the State Administrative Procedure Act. identifying Eligible Black Start Resources and related measures and levels (17-E-0465SP1) of non-compliance, and revised requirements to clarify the Transmission Data Reliability Rule requiring market participants to apply data screening PROPOSED RULE MAKING guidelines. Further, the revised version includes the retirement of the Reli- ability Rule for Underfrequency Load Shedding and related requirements NO HEARING(S) SCHEDULED and compliance elements, includes a revised introduction to Transmission Planning Rule, and updates several references to the North American Ampersand Kayuta Lake Hyrdo, LLC’s 460 KW Hydroelectric Electric Reliability Corporation and Northeast Power Coordinating Facility in Boonville, New York Council. The full text of the filing and revisions subsequent to the Com- mission’s adoption of Version 38 of the NYSRC Reliability Rules may be I.D. No. PSC-42-17-00007-P reviewed online at the Department of Public Service web page: www.dps.ny.gov. The Commission may adopt, reject, or modify, in whole PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- or in part, the revised rules and measurement, and may resolve other re- cedure Act, NOTICE is hereby given of the following proposed rule: lated matters. Proposed Action: The Commission is considering the request of Amper- Text of proposed rule and any required statements and analyses may be sand Kayuta Lake Hydro, LLC to provide financial support for its 460 kW obtained by filing a Document Request Form (F-96) located on our hydroelectric facility in Boonville, New York, under the Tier 2 ‘‘Mainte- website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John nance Tier’’ Program in the Renewable Energy Standard. Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New Statutory authority: Public Service Law, sections 4(1), 5(1), (2), 66(2); York 12223-1350, (518) 486-2655, email: [email protected] Energy Law, section 6-104(5)(b) Data, views or arguments may be submitted to: Kathleen H. Burgess, Subject: Ampersand Kayuta Lake Hyrdo, LLC’s 460 kW hydroelectric fa- Secretary, Public Service Commission, 3 Empire State Plaza, Albany, New cility in Boonville, New York. York 12223-1350, (518) 474-6530, email: [email protected] Purpose: To promote and maintain renewable electric energy resources. Public comment will be received until: 45 days after publication of this notice. Substance of proposed rule: The Commission is considering a September 28, 2017, petition by Ampersand Kayuta Lake Hydro, LLC. The petition Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural seeks an order authorizing a Tier 2 Maintenance Tier contract offered Area Flexibility Analysis and Job Impact Statement through the Renewable Energy Standard (RES) program to allow the Statements and analyses are not submitted with this notice because the continued operation of a 460kW run-of-the river hydroelectric generating proposed rule is within the definition contained in section 102(2)(a)(ii) of facility located in Boonville, New York. Ampersand Kayuta Lake Hydro, the State Administrative Procedure Act. LLC. Is requesting a maintenance REC contract for 10 years at $17.28/ (05-E-1180SP18) MWh.

20 NYS Register/October 18, 2017 Rule Making Activities

The full text of the petition may be reviewed online at the Department PROPOSED RULE MAKING of Public Service web page: www.dps.ny.gov. The Commission may NO HEARING(S) SCHEDULED adopt, reject, or modify, in whole or in part, the relief proposed and may resolve related matters. To Obtain a Letter of Credit and Increase the Currently Capped Text of proposed rule and any required statements and analyses may be Debt obtained by filing a Document Request Form (F-96) located on our website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John I.D. No. PSC-42-17-00009-P Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New York 12223-1350, (518) 486-2655, email: [email protected] PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- cedure Act, NOTICE is hereby given of the following proposed rule: Data, views or arguments may be submitted to: Kathleen H. Burgess, Secretary, Public Service Commission, 3 Empire State Plaza, Albany, New Proposed Action: The Commission is considering a petition from Rens- York 12223-1350, (518) 474-6530, email: [email protected] selaer Generating LLC and Roseton Generating LLC (Petitioners) seeking approval to obtain a letter of credit and increase the currently capped debt Public comment will be received until: 45 days after publication of this secured by their assets. notice. Statutory authority: Public Service Law, sections 2(12), 13, 5(1)(b), 69 Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural and 70 Area Flexibility Analysis and Job Impact Statement Subject: To obtain a letter of credit and increase the currently capped debt. Statements and analyses are not submitted with this notice because the Purpose: To consider the Petitioner’s request for a letter of credit and proposed rule is within the definition contained in section 102(2)(a)(ii) of increase the currently capped debt. the State Administrative Procedure Act. Substance of proposed rule: The New York State Public Service Com- (17-E-0603SP2) mission (Commission) is considering a petition filed by Rensselaer Generating LLC and Roseton Generating LLC (collectively, the Petition- PROPOSED RULE MAKING ers) requesting that they be authorized to obtain a letter of credit and increase to $375 million the currently capped debt secured by their New NO HEARING(S) SCHEDULED York assets. The assets to be used as security include the approximately 80 MW electric generating facility that Rensselaer Generating LLC owns in Ampersand Chasm Falls Hydro, LLC’s 1.6 MW Hydroelectric Rensselaer, New York, as well as the approximately 1,160 MW electric Facility in Chateaugay, New York generating facility that Roseton Generating LLC owns in Newburgh, New York. The full text of the petition may be reviewed online at the Depart- I.D. No. PSC-42-17-00008-P ment of Public Service web page: www.dps.ny.gov. The Commission may adopt, reject, or modify, in whole or in part, the relief proposed and may resolve related matters. PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- cedure Act, NOTICE is hereby given of the following proposed rule: Text of proposed rule and any required statements and analyses may be obtained by filing a Document Request Form (F-96) located on our Proposed Action: The Commission is considering the request of Amper- website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John sand Chasm Falls Hydro, LLC to provide financial support for its 1.6 MW Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New hydroelectric facility in Chateaugay, New York, under the Tier 2 ‘‘Mainte- York 12223-1350, (518) 486-2655, email: [email protected] nance Tier’’ Program in the Renewable Energy Standard. Data, views or arguments may be submitted to: Kathleen H. Burgess, Statutory authority: Public Service Law, sections 4(1), 5(1), (2), 66(2); Secretary, Public Service Commission, 3 Empire State Plaza, Albany, New Energy Law, section 6-104(5)(b) York 12223-1350, (518) 474-6530, email: [email protected] Public comment will be received until: 45 days after publication of this Subject: Ampersand Chasm Falls Hydro, LLC’s 1.6 MW hydroelectric fa- notice. cility in Chateaugay, New York. Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural Purpose: To promote and maintain renewable electric energy resources. Area Flexibility Analysis and Job Impact Statement Substance of proposed rule: The Commission is considering a September Statements and analyses are not submitted with this notice because the 25, 2017, petition by Ampersand Chasm Falls Hydro, LLC. The petition proposed rule is within the definition contained in section 102(2)(a)(ii) of seeks an order authorizing a Tier 2 Maintenance Tier contract offered the State Administrative Procedure Act. through the Renewable Energy Standard (RES) program to allow the (17-E-0545SP1) continued operation of a 1.6 MW run-of-the river hydroelectric generating facility located in Chateaugay, New York. Ampersand Chasm Falls Hydro, PROPOSED RULE MAKING LLC. Is requesting a maintenance REC contract for 10 years at $10.40/ NO HEARING(S) SCHEDULED MWh. The full text of the petition may be reviewed online at the Department Petition for Rehearing of Negative Revenue Adjustment and of Public Service web page: www.dps.ny.gov. The Commission may Contents of Annual Performance Report adopt, reject, or modify, in whole or in part, the relief proposed and may resolve related matters. I.D. No. PSC-42-17-00010-P

Text of proposed rule and any required statements and analyses may be PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- obtained by filing a Document Request Form (F-96) located on our cedure Act, NOTICE is hereby given of the following proposed rule: website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New Proposed Action: The Commission is considering a petition for rehearing York 12223-1350, (518) 486-2655, email: [email protected] submitted by National Fuel Gas Distribution Corporation (NFGD) of the Commission’s August 28, 2017 Order on Appeal. Data, views or arguments may be submitted to: Kathleen H. Burgess, Statutory authority: Public Service Law, sections 5(1), 22, 65 and 66 Secretary, Public Service Commission, 3 Empire State Plaza, Albany, New Subject: Petition for rehearing of negative revenue adjustment and York 12223-1350, (518) 474-6530, email: [email protected] contents of annual Performance Report. Public comment will be received until: 45 days after publication of this Purpose: To consider NFGD’s petition for rehearing. notice. Substance of proposed rule: The Commission is considering a September Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural 26, 2017, petition for rehearing filed by National Fuel Gas Distribution Area Flexibility Analysis and Job Impact Statement Corporation (NFGD), alleging errors of law and fact in the Commission’s Statements and analyses are not submitted with this notice because the August 28, 2017 Order on Appeal. NFGD’s petition seeks to reverse the Commission’s determinations that three negative revenue adjustments proposed rule is within the definition contained in section 102(2)(a)(ii) of stemming from the Department of Public Service’s annual gas safety the State Administrative Procedure Act. audits should be sustained and that the 2015 Gas Safety Performance (17-E-0603SP1) Report should not be amended in the manner NFGD sought in its initial

21 Rule Making Activities NYS Register/October 18, 2017 appeal. The Commission granted NFGD’s request for reversal of one neg- NOTICE OF ADOPTION ative revenue adjustment. NFGD reiterates its original arguments with respect to each remaining violation – that the violation of 16 NYCRR Distance Learning for Qualifying Real Estate Appraisal Courses § 255.739(a) occurred before the Gas Safety Metric went into effect; that NFGD’s twice-monthly inspection of a known leak meets the requirement I.D. No. DOS-26-17-00002-A that surveillance occur “every two weeks” within the meaning of 16 Filing No. 826 NYCRR § 255.813(c); and that the requirement that gas companies wait Filing Date: 2017-10-02 14 days to perform a follow-up inspection of a repaired leak under 16 Effective Date: 120 days after filing NYCRR § 255.819(a) should be satisfied by NFGD’s follow-up inspection that took place 8 days later, which was scheduled due to the weather. PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- NFGD also seeks rehearing of the August 28, 2017 Order on Appeals’ cedure Act, NOTICE is hereby given of the following action: decision that determined the Department of Public Service’s 2015 annual Action taken: Amendment of sections 1103.2(e) and 1103.3(i); addition Gas Safety Performance Measures Report to the Commission need not be of sections 1103.12, 1103.13, 1103.14, 1103.15, 1107.29, 1107.30, 1107.31 amended to state that NFGD had five, not 25 “High Risk Non- and 1107.32 to Title 19 NYCRR. Compliances” in 2014. NFGD continues to seek to change the Gas Safety Statutory authority: Executive Law, section 160-d Performance Measures Report so that it includes only the five High Risk Subject: Distance learning for qualifying real estate appraisal courses. violations for which the Department assessed a negative revenue adjustment. Purpose: To authorize distance learning for qualifying real estate appraisal The full text of the filing may be reviewed online at the Department of courses. Public Service web page: www.dps.ny.gov. The Commission may adopt, Text or summary was published in the June 28, 2017 issue of the Register, reject, or modify, in whole or in part, the relief proposed and may resolve I.D. No. DOS-26-17-00002-P. related matters. Final rule as compared with last published rule: No changes. Text of proposed rule and any required statements and analyses may be Text of rule and any required statements and analyses may be obtained obtained by filing a Document Request Form (F-96) located on our from: David Mossberg, NYS Dept. of State, 123 William Street, 20th Fl., website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John New York, NY 10038, (212) 417-2063, email: Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New [email protected] York 12223-1350, (518) 486-2655, email: [email protected] Initial Review of Rule Data, views or arguments may be submitted to: Kathleen H. Burgess, As a rule that requires a RFA, RAFA or JIS, this rule will be initially Secretary, Public Service Commission, 3 Empire State Plaza, Albany, New reviewed in the calendar year 2020, which is no later than the 3rd year af- York 12223-1350, (518) 474-6530, email: [email protected] ter the year in which this rule is being adopted. Public comment will be received until: 45 days after publication of this Assessment of Public Comment notice. The agency received no public comment. Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural Area Flexibility Analysis and Job Impact Statement NOTICE OF ADOPTION Statements and analyses are not submitted with this notice because the proposed rule is within the definition contained in section 102(2)(a)(ii) of Electronic Storage of Safety Data Sheets the State Administrative Procedure Act. I.D. No. DOS-28-17-00005-A (13-G-0136SP6) Filing No. 825 Filing Date: 2017-10-02 Department of State Effective Date: 2017-10-18 PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- cedure Act, NOTICE is hereby given of the following action: NOTICE OF ADOPTION Action taken: Amendment of section 160.25(d) of Title 19 NYCRR. Appraiser Experience Log and Qualifications Statutory authority: General Business Law, section 404 Subject: Electronic storage of safety data sheets. I.D. No. DOS-26-17-00001-A Purpose: To permit appearance enhancement licensees to maintain safety Filing No. 824 data sheets electronically. Filing Date: 2017-10-02 Text or summary was published in the July 12, 2017 issue of the Register, Effective Date: 2017-10-18 I.D. No. DOS-28-17-00005-P. Final rule as compared with last published rule: No changes. PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- Text of rule and any required statements and analyses may be obtained cedure Act, NOTICE is hereby given of the following action: from: David Mossberg, NYS Dept. of State, 123 William St., 20th Fl., New York NY 10038, (212) 417-2063, email: [email protected] Action taken: Amendment of section 1102.3 of Title 19 NYCRR. Initial Review of Rule Statutory authority: Executive Law, section 160-d As a rule that requires a RFA, RAFA or JIS, this rule will be initially Subject: Appraiser Experience Log and Qualifications. reviewed in the calendar year 2020, which is no later than the 3rd year af- Purpose: To clarify and update Department of State policy in reviewing ter the year in which this rule is being adopted. appraisal experience. Assessment of Public Comment Text or summary was published in the June 28, 2017 issue of the Register, The agency received no public comment. I.D. No. DOS-26-17-00001-P. Final rule as compared with last published rule: No changes. PROPOSED RULE MAKING Text of rule and any required statements and analyses may be obtained NO HEARING(S) SCHEDULED from: David Mossberg, NYS Dept. of State, 123 William Street, 20th Fl., New York, NY 10038, (212) 417-2063, email: [email protected] Appraisal Standards Initial Review of Rule I.D. No. DOS-42-17-00002-P As a rule that requires a RFA, RAFA or JIS, this rule will be initially reviewed in the calendar year 2020, which is no later than the 3rd year af- PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- ter the year in which this rule is being adopted. cedure Act, NOTICE is hereby given of the following proposed rule: Assessment of Public Comment Proposed Action: This is a consensus rule making to amend section 1106.1 The agency received no public comment. of Title 19 NYCRR.

22 NYS Register/October 18, 2017 Rule Making Activities

Statutory authority: Executive Law, section 160-d(1)(d) tel: 212-417-5747 Subject: Appraisal Standards. Purpose: To adopt the 2018-2019 edition of the Uniform Standards of Division of Licensing Services Professional Appraisal Practice. N.Y.S. Department of State 250 Veterans Memorial Highway Text of proposed rule: Section 1106.1 of Title 19 of the NYCRR is Hauppauge, NY 11788 amended as follows: tel: 631-952-6579 (a) Every appraisal assignment shall be conducted and communicated in accordance with the following provisions and standards set forth in the Text of proposed rule and any required statements and analyses may be [2016-2017] 2018-2019 edition of the Uniform Standards of Professional obtained from: David A. Mossberg, NYS Dept. of State, 123 William St., Appraisal Practice: 20th Fl., New York, NY 10038, (212) 417-2063, email: [(1) Definitions; [email protected] (2) Preamble; Data, views or arguments may be submitted to: Same as above. (3) Ethics rule; Public comment will be received until: 45 days after publication of this (4) Record keeping rule; notice. (5) Competency rule; This rule was not under consideration at the time this agency submitted (6) Scope of work rule; its Regulatory Agenda for publication in the Register. (7) Jurisdictional exception rule; (8) Standard 1—Real Property Appraisal, Development; Consensus Rule Making Determination (9) Standard 2—Real Property Appraisal, Reporting; This rule is being proposed as a consensus rule making. The New York (10) Standard 3—Appraisal Review, Development and Reporting; State Board of Real Estate Appraisal does not expect that any person is (11) Retired; likely to object to its adoption because the proposed rule merely imple- (12) Retired; ments a nondiscretionary statutory direction, i.e., the adoption of these ap- (13) Standard 6—Mass Appraisal, Development and Reporting; praisal standards is mandated by § 160-(d)(1)(d) of the Executive Law. (14) Standard 7—Personal Property Appraisal, Development; Section 160-d(1)(d) of the Executive Law provides, in part, that the (15) Standard 8—Personal Property Appraisal, Reporting; New York State Board of Real Estate Appraisal shall adopt standards for (16) Standard 9—Business Appraisal, Development; and the development and communication of real estate appraisals; provided, (17) Standard 10—Business Appraisal, Reporting.] however, that those standards must, at minimum, conform to the uniform UNIFORM STANDARDS OF PROFESSIONAL APPRAISAL PRAC- standards of professional appraisal promulgated by the Appraisal Stan- TICE dards Board of the Appraisal Foundation. (1) FOREWORD Acting pursuant to Title IX of the Financial Institutions Reform, (2) TABLE OF CONTENTS Recovery and Enforcement Act of 1989 (12 U.S.C.A. §§ 3310-3351), the (3) PREAMBLE Appraisal Standards Board has adopted and, from time to time, amended (4) DEFINITIONS the Uniform Standards of Professional Appraisal Practice, which set forth (5) ETHICS RULE national standards for developing an appraisal and for reporting its results. (6) RECORD KEEPING RULE This proposal will adopt the 2018-2019 edition of the Uniform Stan- (7) COMPETENCY RULE dards of Professional Appraisal Practice relating to real estate appraisals. (8) SCOPE OF WORK RULE Since § 160-d(1)(d) directs that the standards adopted by the State Board (9) JURISDICTIONAL EXCEPTION RULE of Real Estate Appraisal conform, at a minimum, to the standards STANDARDS AND STANDARD RULES promulgated by the Appraisal Standards Board, the State Board does not (10) STANDARD 1: REAL PROPERTY APPRAISAL, DEVELOP- expect that any person is likely to object to the adoption of the 2018-2019 MENT edition of the Uniform Standards of Professional Appraisal Practice. The (11) STANDARD 2: REAL PROPERTY APPRAISAL, REPORTING State Board has previously adopted the 2002, 2003, 2004, 2005, 2006, (12) STANDARD 3: APPRAISAL REVIEW, DEVELOPMENT 2007, 2008-2009, 2010-2011, 2012-2013, 2014-2015, 2016-2017 editions (13) STANDARD 4: APPRAISAL REVIEW, REPORTING of the Uniform Standards of Professional Appraisal Practice without (14) STANDARD 5: MASS APPRAISAL, DEVELOPMENT objection. (15) STANDARD 6: MASS APPRAISAL, REPORTING Job Impact Statement (16) STANDARD 7: PERSONAL PROPERTY APPRAISAL, DEVEL- Licensed and certified real estate appraisers are currently subject to the OPMENT 2016-2017 edition of the Uniform Standards of Professional Appraisal (17) STANDARD 8: PERSONAL PROPERTY APPRAISAL, REPORT- Practice, which will be revised and updated by the 2018-2019 edition. The ING changes, which are required to be adopted, are not anticipated to impact (18) STANDARD 9: BUSINESS APPRAISAL, DEVELOPMENT job opportunities for real estate appraisers. Accordingly, the New York (19) STANDARD 10: BUSINESS APPRAISAL, REPORTING State Board of Real Estate Appraisal does not believe that adoption of the (b) The [2016-2017] 2018-2019 edition of the Uniform Standards of 2018-2019 edition of the Uniform Standards of Professional Appraisal Professional Appraisal Practice is published by the Appraisal Foundation, Practice will have any substantial adverse impact on jobs and employment which is authorized by the United States Congress as the source of ap- opportunities. praisal standards. Copies may be obtained from: The Appraisal Founda- tion 1155 15th Street, NW, Suite 1111, Washington, DC 20005 tel: 202- 347-7722 www.appraisalfoundation.org. The [2016-2017] 2018-2019 edition of the Uniform Standards of Professional Appraisal Practice can be viewed, downloaded and printed from http:// www.appraisalfoundation.org. Copies are also available for inspection and copying at the following offices of the Department of State: Division of Licensing Services N.Y.S. Department of State One Commerce Plaza 99 Washington Avenue, 5th Floor, Albany, NY 12231 tel: 518-473-2728 Division of Licensing Services N.Y.S. Department of State 65 Court Street Buffalo, NY 14202 tel: 716-847-7110

Division of Licensing Services N.Y.S. Department of State 123 William Street New York, NY 10038

23 Rule Making Activities NYS Register/October 18, 2017

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- State Liquor Authority, 317 Lenox Ave., 4th ing requirements, and repeal of license dura- Fl., New York, NY—October 25, 2017, 10:00 tions and whiskey dividend rules a.m. Long Island Power Authority LPA-41-17-00010-P ...... The undergrounding provisions of the H. Lee Dennison Bldg., 100 Veterans Memo- Authority’s Tariff for Electric Service rial Hwy., Hauppauge, NY—November 27, 2017, 10:00 a.m. Long Island Power Authority, 333 Earle Ovington Blvd., 4th Fl., Uniondale, NY— November 27, 2017, 2:00 p.m. LPA-41-17-00011-P ...... The remote meter reading provisions of the H. Lee Dennison Bldg., 100 Veterans Memo- Authority’s Tariff for Electric Service rial Hwy., Hauppauge, NY—November 27, 2017, 10:00 a.m. Long Island Power Authority, 333 Earle Ovington Blvd., 4th Fl., Uniondale, NY— November 27, 2017, 2:00 p.m. LPA-41-17-00012-P ...... The net energy metering provisions of the H. Lee Dennison Bldg., 100 Veterans Memo- Authority’s Tariff for Electric Service rial Hwy., Hauppauge, NY—November 27, 2017, 10:00 a.m. Long Island Power Authority, 333 Earle Ovington Blvd., 4th Fl., Uniondale, NY— November 27, 2017, 2:00 p.m. Public Service Commission PSC-41-17-00006-P ...... Major electric rate filing Department of Public Service, Agency Bldg. 3, 19th Fl. Boardroom, Albany, NY—January 9, 2018, 10:00 a.m. (Evidentiary Hearing)* *On occasion, there are requests to reschedule or postpone evidentiary hearing dates. If such a request is granted, notification of any subsequent scheduling changes will be available at the DPS website (www.dps.ny.gov) under Case 17-E-0459. PSC-41-17-00007-P ...... Major gas rate filing Department of Public Service, Agency Bldg. 3, 19th Fl. Boardroom, Albany, NY—January 9, 2018, 10:00 a.m. (Evidentiary Hearing)* *On occasion, there are requests to reschedule or postpone evidentiary hearing dates. If such a request is granted, notification of any subsequent scheduling changes will be available at the DPS website (www.dps.ny.gov) under Case 17-G-0460. PSC-42-17-00005-P ...... Complaint for review of rates charged for Department of Public Service, Agency Bldg. 3, water service to commercial and residential 3rd Fl. Hearing Rm., Albany, NY—December customers of water works corporation 6, 2017 and daily on succeeding business days as needed, 10:30 a.m. (Evidentiary Hearing)* *On occasion, there are requests to reschedule or postpone evidentiary hearing dates. If such a request is granted, notification of any subsequent scheduling changes will be available at the DPS website (www.dps.ny.gov) under Case 17-W-0049.

24 NYS Register/October 18, 2017 Action Pending Index

ACTION PENDING INDEX

The action pending index is a list of all proposed rules which listed in the action pending index, use the identification number are currently being considered for adoption. A proposed rule is to locate the text of the original notice of proposed rule making. added to the index when the notice of proposed rule making is The identification number contains a code which identifies the first published in the Register. A proposed rule is removed agency, the issue of the Register in which the notice was from the index when any of the following occur: (1) the pro- printed, the year in which the notice was printed and the no- posal is adopted as a permanent rule; (2) the proposal is tice’s serial number. The following diagram shows how to read rejected and withdrawn from consideration; or (3) the propos- identification number codes. al’s notice expires. Most notices expire in approximately 12 months if the agency Agency Issue Year Serial Action does not adopt or reject the proposal within that time. The code number published number Code expiration date is printed in the second column of the action pending index. Some notices, however, never expire. Those AAM 01 12 00001 P notices are identified by the word “exempt” in the second column. Actions pending for one year or more are preceded by Action codes: P — proposed rule making; EP — emergency an asterisk(*). and proposed rule making (expiration date refers to proposed For additional information concerning any of the proposals rule); RP — revised rule making

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

AGING, OFFICE FOR THE

AGE-42-17-00001-P ...... 10/18/18 Administration of the Long Term Care To bring NYSOFA’s rules and regulations Ombudsman Program governing LTCOP into conformance with the Federal Statute and regulations.

ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, OFFICE OF

ASA-24-17-00017-RP ...... 06/14/18 General service standards for chemical Conforms HIV and Hepatitis testing in dependence outpatient (CD-OP) and opioid accordance with the public health law; clariﬁes treatment programs (OTP) the services a peer may provide

ASA-24-17-00018-RP ...... 06/14/18 Residential services Conforms HIV and Hepatitis testing requirements in residential settings with public health law

ASA-41-17-00001-P ...... 10/11/18 Establishment, Incorporation and Certiﬁcation Clariﬁes the obligation to recognize alcohol/ of Providers of Substance Use Disorder substance abuse programs operated by Indian Services Health Services facilities

CHILDREN AND FAMILY SERVICES, OFFICE OF

CFS-32-17-00001-EP ...... 08/09/18 Mandated reporter requirements for To implement mandated reporter requirements employees of residential domestic violence for employees of residential domestic violence programs programs

CFS-36-17-00005-EP ...... 09/06/18 Duty to report incidents involving vulnerable To implement statutory requirement to report persons to the Justice Center’s Vulnerable incidents involving vulnerable persons. Persons’ Central Register.

CIVIL SERVICE, DEPARTMENT OF

CVS-44-16-00001-P ...... 11/02/17 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-44-16-00002-P ...... 11/02/17 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-44-16-00003-P ...... 11/02/17 Jurisdictional Classiﬁcation To classify a position in the exempt class

25 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

CIVIL SERVICE, DEPARTMENT OF

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

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

CVS-44-16-00006-P ...... 11/02/17 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-44-16-00007-P ...... 11/02/17 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-44-16-00008-P ...... 11/02/17 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-44-16-00009-P ...... 11/02/17 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

CVS-46-16-00001-P ...... 11/16/17 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-46-16-00002-P ...... 11/16/17 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

CVS-46-16-00003-P ...... 11/16/17 Jurisdictional Classiﬁcation To classify positions in the exempt class

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

CVS-01-17-00006-P ...... 01/04/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

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

CVS-01-17-00008-P ...... 01/04/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-01-17-00009-P ...... 01/04/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

CVS-01-17-00010-P ...... 01/04/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-01-17-00011-P ...... 01/04/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-01-17-00012-P ...... 01/04/18 Jurisdictional Classiﬁcation To delete a position from and classify a position in the exempt class

CVS-01-17-00013-P ...... 01/04/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-01-17-00014-P ...... 01/04/18 Jurisdictional Classiﬁcation To delete a position from and classify a position in the exempt class

CVS-01-17-00015-P ...... 01/04/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

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

CVS-04-17-00003-P ...... 01/25/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-04-17-00004-P ...... 01/25/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

26 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

CIVIL SERVICE, DEPARTMENT OF

CVS-07-17-00003-P ...... 02/15/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-07-17-00004-P ...... 02/15/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-07-17-00005-P ...... 02/15/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-07-17-00006-P ...... 02/15/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

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

CVS-12-17-00004-P ...... 03/22/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

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

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

CVS-12-17-00007-P ...... 03/22/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-12-17-00008-P ...... 03/22/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-12-17-00009-P ...... 03/22/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

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

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

CVS-18-17-00001-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-18-17-00002-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-18-17-00003-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-18-17-00004-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-18-17-00005-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-18-17-00006-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-18-17-00007-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-18-17-00008-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

CVS-18-17-00009-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

CVS-18-17-00010-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

27 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

CIVIL SERVICE, DEPARTMENT OF

CVS-18-17-00011-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-18-17-00012-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-18-17-00013-P ...... 05/03/18 Jurisdictional Classiﬁcation To delete a position from and classify a position in the exempt class

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

CVS-18-17-00015-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-18-17-00016-P ...... 05/03/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

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

CVS-23-17-00001-P ...... 06/07/18 Jurisdictional Classiﬁcation To delete a position from and classify a position in the exempt class

CVS-23-17-00002-P ...... 06/07/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-23-17-00003-P ...... 06/07/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-23-17-00005-P ...... 06/07/18 Jurisdictional Classiﬁcation To delete positions from and classify positions in the non-competitive class

CVS-23-17-00006-P ...... 06/07/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

CVS-23-17-00007-P ...... 06/07/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-23-17-00008-P ...... 06/07/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-23-17-00009-P ...... 06/07/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-23-17-00010-P ...... 06/07/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-23-17-00011-P ...... 06/07/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-23-17-00012-P ...... 06/07/18 Jurisdictional Classiﬁcation To delete positions from and classify positions in the exempt class

CVS-23-17-00013-P ...... 06/07/18 Jurisdictional Classiﬁcation To delete positions from and classify positions in the exempt class

CVS-23-17-00014-P ...... 06/07/18 Jurisdictional Classiﬁcation To delete positions from and classify positions in the exempt class

CVS-30-17-00006-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-30-17-00007-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-30-17-00008-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

28 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

CIVIL SERVICE, DEPARTMENT OF

CVS-30-17-00009-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-30-17-00010-P ...... 07/26/18 Jurisdictional Classiﬁcation To delete a position from and classify a position in the exempt class

CVS-30-17-00011-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

CVS-30-17-00012-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

CVS-30-17-00013-P ...... 07/26/18 Jurisdictional Classiﬁcation To delete positions from and classify positions in the non-competitive class

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

CVS-30-17-00015-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-30-17-00016-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-30-17-00017-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-30-17-00018-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-30-17-00019-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

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

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

CVS-30-17-00022-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify positions in the exempt class

CVS-30-17-00023-P ...... 07/26/18 Jurisdictional Classiﬁcation To classify positions in the exempt and non- competitive classes

CVS-33-17-00002-P ...... 08/16/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-33-17-00003-P ...... 08/16/18 Jurisdictional Classiﬁcation To classify a position in the exempt class

CVS-33-17-00004-P ...... 08/16/18 Jurisdictional Classiﬁcation To classify positions in the non-competitive class

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

CVS-33-17-00006-P ...... 08/16/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-33-17-00007-P ...... 08/16/18 Jurisdictional Classiﬁcation To classify a position in the non-competitive class

CVS-33-17-00008-P ...... 08/16/18 Jurisdictional Classiﬁcation To classify positions in the exempt and non- competitive classes

29 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

COMMISSIONER OF PILOTS, BOARD OF

COP-41-17-00009-P ...... 10/11/18 Sandy Hook Pilot Apprentices To amend the Sandy Hook pilot apprenticeship program

CORRECTIONS AND COMMUNITY SUPERVISION, DEPARTMENT OF

CCS-35-17-00001-EP ...... 08/30/18 Officials of the Department of Corrections and To designate certain employees of the Community Supervision Department as officials with peace officer status

CCS-39-17-00001-P ...... 09/27/18 Temporary Release Program Rules and To amend current regulations governing the Regulations temporary release program consistent with governing statutes and agency directives.

EDUCATION DEPARTMENT

EDU-21-17-00008-ERP ...... 05/24/18 The education of homeless children and Required by the federal McKinney-Vento youths (McKinney-Vento Homeless Homeless Assistance Act (42 U.S.C. section Assistance Act) 11431 et seq.), as amended by ESSA

EDU-27-17-00006-P ...... 07/05/18 Interstate Compact for Educational To implement Ch. 328 of the Laws of 2014 and Opportunity for Military Children and Physical to provide ﬂexibility in the physical education Education Requirements for a Diploma. diploma requirements.

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

EDU-37-17-00003-P ...... 09/13/18 Requirements for the Educational Leadership Modify the educational requirements for out-of- Service state candidates seeking licensure in New York

EDU-39-17-00006-EP ...... 09/27/18 Conditional initial certiﬁcates for classroom Allow out-of-state teachers obtain a conditional teachers cert. while completing their edTPA req. during their 1st year of employ in NY

EDU-39-17-00012-P ...... 09/27/18 Eligibility for Tuition Assistance Program Amend deﬁnition of full-time study for students in their last year of high school

EDU-39-17-00013-P ...... 09/27/18 Principal Preparation Programs and Annual Establishes new professional practice Professional Performance Reviews guidelines and expectations for principals

ELECTIONS, STATE BOARD OF

SBE-21-17-00005-RP ...... 05/24/18 Designation of treasurer removal committee To implement the process of treasurer removal and related procedures provided for by Part C of Chapter 286 of the Laws of 2016

SBE-28-17-00004-P ...... 07/12/18 Use of independent automated audit tools To implement the amendment to Election Law 9-211 permitting use of independent automated audit tools

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

*ENV-31-16-00003-P ...... 09/30/17 Waste Fuels Update permit references, rule citations, monitoring, record keeping, reporting requirements, and incorporate federal standards

30 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

*ENV-36-16-00002-P ...... 11/02/17 Lake Champlain drainage basin To reclassify certain surface waters in Lake Champlain Drainage Basin, in Clinton, Essex, Franklin, Warren, Washington counties

ENV-06-17-00001-P ...... 03/31/18 Amendments to 6 NYCRR Part 617 (which The purpose of the rule making is to streamline implement the State Environmental Quality the SEQR process without sacriﬁcing Review Act [Article 8 of the ECL]) meaningful environmental review

ENV-14-17-00001-P ...... 05/25/18 Prevention and Control of Environmental To amend regulations pertaining to disposal Pollution by Radioactive Materials and release of radioactive materials to the environment

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

ENV-19-17-00003-P ...... 06/30/18 Part 232 regulates entities that operate dry Repeal and replace Part 232 to reduce cleaning machines. alternative solvent and perc emissions.

ENV-22-17-00001-EP ...... 05/31/18 Regulations governing the recreational To revise regulations concerning the harvest of summer ﬂounder recreational harvest of summer ﬂounder in New York State

ENV-27-17-00007-P ...... 07/05/18 Repeal 6 NYCRR Part 500 and Amend/ To correct or remove outdated references in Repeal references to Parts 750-758 the Department’s regulations.

ENV-28-17-00003-P ...... 07/12/18 Management of crustaceans, horseshoe Modify rules on terrapin excluder device, HSC crabs (HSC) and whelk; protection of terrapin harvest limit and whelk reporting

FINANCIAL SERVICES, DEPARTMENT OF

*DFS-17-16-00003-P ...... exempt Plan of Conversion by Commercial Travelers To convert a mutual accident and health Mutual Insurance Company insurance company to a stock accident and health insurance company

*DFS-39-16-00007-RP ...... 09/28/17 Charges for Professional Health Services Limit reimbursement of no-fault health care services provided outside NYS to highest fees in fee schedule for services in NYS

DFS-11-17-00003-P ...... 03/15/18 Continuing Care Retirement Communities Amend rules related to permitted investments, ﬁnancial transactions, reporting requirements and add new optional contract type

DFS-18-17-00020-P ...... 05/03/18 Establishment And Operation Of Market To allow for the implementation of a market Stabilization Mechanisms For Certain Health stabilization pool for the small group health Insurance Markets insurance market

DFS-20-17-00001-P ...... 05/17/18 Private Passenger Motor Vehicle Insurance To ensure education level attained/occupational Multi-Tier Programs status in initial tier placement/movement does not result in unfair rate

DFS-25-17-00002-EP ...... 06/21/18 Minimum standards for form, content and sale To ensure coverage for essential health of health insurance, including standards of full beneﬁts in all individual, small group, and and fair disclosure student accident and health policies

DFS-25-17-00007-EP ...... 06/21/18 Transportation network companies, minimum Implements Part AAA of Chapter 59 of the requirements for ﬁnancial responsibility Laws of 2017, providing for the operation of policies and other requirements transportation network companies in NY

DFS-32-17-00017-P ...... 08/09/18 Holding Companies To make technical correction to and clariﬁcation of 11 NYCRR section 80-1.6(3)

31 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

FINANCIAL SERVICES, DEPARTMENT OF

DFS-35-17-00003-P ...... 08/30/18 Privacy of Consumer Financial and Health To incorporate recent changes to federal Information, General Provisions privacy laws regarding information maintained by ﬁnancial institutions

DFS-39-17-00002-P ...... 09/27/18 Minimum Standards for Form, Content and Provide a formulary exception process for Sale of Health Insurance, Including Standards medication for the detoxiﬁcation or of Full and Fair Disclosure maintenance treatment of a substance use disorder

DFS-40-17-00003-P ...... 10/04/18 Registration Requirements and Prohibited To address deﬁcient practices of consumer Practices for Credit Reporting Agencies credit reporting agencies and protect user of and the market for ﬁnancial services

GAMING COMMISSION, NEW YORK STATE

SGC-45-16-00004-P ...... 11/09/17 Anti-stacking of NSAIDs and diclofenac made To enable the Commission to preserve the a 48 hour NSAID integrity of pari-mutuel racing while generating reasonable revenue for the support of

HEALTH, DEPARTMENT OF

*HLT-14-94-00006-P ...... exempt Payment methodology for HIV/AIDS To expand the current payment to incorporate outpatient services pricing for services

*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 quality outcomes as determined by methodology developed by regulation

HLT-07-17-00009-P ...... 02/15/18 Public Water Systems To incorporate federal rules and revisions to Public Health Law

HLT-20-17-00013-P ...... 05/17/18 Lead Testing in School Drinking Water Requires lead testing and remediation of potable drinking water in schools

HLT-21-17-00001-EP ...... 05/24/18 Physician and Pharmacies; Prescribing, To allow any authorized practitioner to Administering and Dispensing for the prescribe, administer & dispense Treatment of Narcotic Addiction buprenorphine for the treatment of narcotic addiction.

HLT-25-17-00010-P ...... 06/21/18 Communication Between Clinical Laboratory To allow lab physicians to discuss the meaning Physicians and Patients and interpretation of test results with patients under certain circumstances

HLT-28-17-00001-P ...... 07/12/18 Children’s Behavioral Health and Health To authorize Medicaid coverage of new Services behavioral health and health services for children under 21 years of age

HLT-28-17-00009-P ...... 08/17/18 Early Intervention Program To conform existing program regulations to federal regulations and state statute

HLT-33-17-00022-P ...... 08/16/18 Medical Conditions For Which An Exemption Amend the existing list of medical conditions From Restrictions On Tinted Glass May Be for a NYSregistered driver or habitual Issued passenger for an exemption to tinted glass

HLT-38-17-00001-P ...... 09/20/18 Trauma Centers Requires hospitals to be veriﬁed by the American College of Surgeons Committee to be designated trauma centers by the Dept.

32 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

JOINT COMMISSION ON PUBLIC ETHICS, NEW YORK STATE

JPE-34-17-00002-EP ...... 08/23/18 Records access To update regulations governing records access

JPE-34-17-00003-P ...... 08/23/18 Comprehensive lobbying regulations To set forth comprehensive lobbying regulations that implement the provisions of the Lobbying Act

JPE-34-17-00004-P ...... 08/23/18 Source of funding reporting. To make consistent with the new comprehensive lobbying regulations at Part 943 and clarify exemption procedures.

JPE-42-17-00003-P ...... 10/18/18 Financial disclosure statements To add a right of appeal to provisions governing exemptions related to ﬁling a ﬁnancial disclosure statement

LIQUOR AUTHORITY, STATE

LQR-33-17-00009-P ...... 08/16/18 Repeal of archaic rules regarding local To repeal archaic rules regarding local boards, boards, removals of package stores, and removals of package stores, and retail price retail price afﬁrmations afﬁrmations

LQR-35-17-00002-P ...... 10/25/18 Updated price posting rules, and To update price posting rules, and recordkeeping requirements, and repeal of recordkeeping requirements, and repeal of license durations and whiskey dividend rules license duration rules and whiskey dividend rules

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 protection plan

*LPA-03-10-00004-P ...... exempt Residential late payment charges To extend the application of late payment charges to residential customers

LPA-41-17-00010-P ...... exempt The undergrounding provisions of the To offer local communities a mechanism for Authority’s Tariff for Electric Service ﬁnancing the additional cost of undergrounding projects

LPA-41-17-00011-P ...... exempt The remote meter reading provisions of the To eliminate charges for remote meter reading Authority’s Tariff for Electric Service

LPA-41-17-00012-P ...... exempt The net energy metering provisions of the To update the Authority’s net energy metering Authority’s Tariff for Electric Service provisions consistent with the rest of New York State

MENTAL HEALTH, OFFICE OF

OMH-31-17-00001-P ...... 08/02/18 Early and Periodic Screening, Diagnostic and To promote the expansion of behavioral health Treatment Services for Children services for children and youth under 21 years of age

MOTOR VEHICLES, DEPARTMENT OF

MTV-26-17-00003-EP ...... 06/28/18 Insurance requirements for TNC vehicles Technical amendment regarding insurance requirements for TNC vehicles

33 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

NIAGARA FALLS WATER BOARD

*NFW-04-13-00004-EP ...... exempt Adoption of Rates, Fees and Charges To pay for the increased costs necessary to operate, maintain and manage the system, and to achieve covenants with bondholders

*NFW-13-14-00006-EP ...... exempt Adoption of Rates, Fees and Charges To pay for increased costs necessary to operate, maintain and manage the system and to achieve covenants with the bondholders

NIAGARA FRONTIER TRANSPORTATION AUTHORITY

NFT-23-17-00016-P ...... 06/07/18 Procurement Guidelines of the Niagara To amend Procurement Guidelines to reﬂect Frontier Transportation Authority and Niagara changes in law, clarifying provisions and Frontier Transit Metro System, Inc. change signing authority level

PEOPLE WITH DEVELOPMENTAL DISABILITIES, OFFICE FOR

PDD-34-17-00001-P ...... 08/23/18 Developmental Disability Deﬁnition Update To conform OPWDD’s deﬁnition of developmental disability in existing regulations with Mental Hygiene Law

PDD-36-17-00014-P ...... 09/06/18 Agency Name Change Update To update the agency name in Title 14 NYCRR Parts 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’ service tariffs to streamline them/include additional required information

PAS-41-17-00002-P ...... exempt Rates for the Sale of Power and Energy To align rates and costs

PUBLIC SERVICE COMMISSION

*PSC-09-99-00012-P ...... exempt Transfer of books and records by Citizens To relocate Ogden Telephone Company’s Utilities Company books 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 an electronic tariff

*PSC-12-00-00001-P ...... exempt Winter bundled sales service election date by To revise the date Central Hudson Gas & Electric Corporation

*PSC-44-01-00005-P ...... exempt Annual reconciliation of gas costs by Corning To authorize the company to include certain Natural Gas Corporation gas costs

*PSC-07-02-00032-P ...... exempt Uniform business practices To consider modiﬁcation

*PSC-36-03-00010-P ...... exempt Performance assurance plan by Verizon New To consider changes York

*PSC-40-03-00015-P ...... exempt Receipt of payment of bills by St. Lawrence To revise the process Gas Company

*PSC-41-03-00010-P ...... exempt Annual reconciliation of gas expenses and To consider ﬁlings of various LDCs and gas cost recoveries municipalities

*PSC-41-03-00011-P ...... exempt Annual reconciliation of gas expenses and To consider ﬁlings of various LDCs and gas cost recoveries municipalities

34 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-44-03-00009-P ...... exempt Retail access data between jurisdictional To accommodate changes in retail access utilities market structure or commission mandates

*PSC-02-04-00008-P ...... exempt Delivery rates for Con Edison’s customers in To rehear the Nov. 25, 2003 order New York City and Westchester County by the City of New York

*PSC-06-04-00009-P ...... exempt Transfer of ownership interest by SCS Energy To transfer interest in Steinway Creek Electric LLC and AE Investors LLC Generating 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 Verizon To amend the agreement New York Inc. and VIC-RMTS-DC, L.L.C. d/b/a Verizon Avenue

*PSC-14-04-00008-P ...... exempt Submetering of natural gas service to To submeter gas service to commercial industrial and commercial customers by customers located at the Buffalo Speedway Hamburg Fairgrounds

*PSC-15-04-00022-P ...... exempt Submetering of electricity by Glenn Gardens To permit submetering at 175 W. 87th St., New Associates, L.P. York, NY

*PSC-21-04-00013-P ...... exempt Verizon performance assurance plan by To clarify the appropriate performance level Metropolitan Telecommunications

*PSC-22-04-00010-P ...... exempt Approval of new types of electricity meters by To permit the use of the PE-1250 electronic Powell Power Electric Company meter

*PSC-22-04-00013-P ...... exempt Major gas rate increase by Consolidated To increase annual gas revenues Edison Company of New York, Inc.

*PSC-22-04-00016-P ...... exempt Master metering of water by South Liberty To waive the requirement for installation of Corporation separate water meters

*PSC-25-04-00012-P ...... exempt Interconnection agreement between Frontier To amend the agreement Communications of Ausable Valley, Inc., et al. and Sprint Communications Company, L.P.

*PSC-27-04-00008-P ...... exempt Interconnection agreement between Verizon To amend the agreement New York Inc. and various Verizon wireless afﬁliates

*PSC-27-04-00009-P ...... exempt Interconnection agreement between Verizon To amend the agreement New York Inc. and various Verizon wireless afﬁliates

*PSC-28-04-00006-P ...... exempt Approval of loans by Dunkirk & Fredonia To authorize participation in the parent Telephone Company and Cassadaga corporation’s line of credit Telephone Corporation

*PSC-31-04-00023-P ...... exempt Distributed generation service by To provide an application form Consolidated Edison Company of New York, Inc.

*PSC-34-04-00031-P ...... exempt Flat rate residential service by Emerald Green To set appropriate level of permanent rates Lake Louise Marie Water Company, Inc.

*PSC-35-04-00017-P ...... exempt Application form for distributed generation by To establish a new supplementary application Orange and Rockland Utilities, Inc. form for customers

35 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-43-04-00016-P ...... exempt Accounts recievable by Rochester Gas and To include in its tariff provisions for the Electric Corporation purchase of ESCO accounts recievable

*PSC-46-04-00012-P ...... exempt Service application form by Consolidated To revise the form and make housekeeping Edison Company of New York, Inc. changes

*PSC-46-04-00013-P ...... exempt Rules and guidelines governing installation of To establish uniform statewide business metering equipment practices

*PSC-02-05-00006-P ...... exempt Violation of the July 22, 2004 order by To consider imposing remedial actions against Dutchess Estates Water Company, Inc. the company and its owners, ofﬁcers and directors

*PSC-09-05-00009-P ...... exempt Submetering of natural gas service by Hamlet To consider submetering of natural gas to a on Olde Oyster Bay commercial customer

*PSC-14-05-00006-P ...... exempt Request for deferred accounting authorization To defer expenses beyond the end of the ﬁscal by Freeport Electric Inc. year

*PSC-18-05-00009-P ...... exempt Marketer Assignment Program by To implement the program Consolidated Edison Company of New York, Inc.

*PSC-20-05-00028-P ...... exempt Delivery point aggregation fee by Allied To review the calculation of the fee Frozen Storage, Inc.

*PSC-25-05-00011-P ...... exempt Metering, balancing and cashout provisions To establish provisions for gas customers by Central Hudson Gas & Electric Corporation taking service under Service Classiﬁcation Nos. 8, 9 and 11

*PSC-27-05-00018-P ...... exempt Annual reconciliation of gas costs by New To consider the manner in which the gas cost York State Electric & Gas Corporation incentive mechanism has been applied

*PSC-41-05-00013-P ...... exempt Annual reconciliation of gas expenses and To consider the ﬁlings gas cost recoveries by local distribution companies and municipalities

*PSC-45-05-00011-P ...... exempt Treatment of lost and unaccounted gas costs To defer certain costs by Corning Natural Gas Corporation

*PSC-46-05-00015-P ...... exempt Sale of real and personal property by the To consider the sale Brooklyn Union Gas Company d/b/a KeySpan Energy Delivery New York and Steel Arrow, LLC

*PSC-47-05-00009-P ...... exempt Transferral of gas supplies by Corning Natural To approve the transfer Gas Corporation

*PSC-50-05-00008-P ...... exempt Long-term debt by Saratoga Glen Hollow To obtain long-term debt Water Supply Corp.

*PSC-04-06-00024-P ...... exempt Transfer of ownership interests by Mirant NY- To approve of the transfer Gen LLC and Orange and Rockland Utilities, Inc.

*PSC-06-06-00015-P ...... exempt Gas curtailment policies and procedures To examine the manner and extent to which gas curtailment policies and procedures should be modiﬁed and/or established

*PSC-07-06-00009-P ...... exempt Modiﬁcation of the current Environmental To include an attributes accounting system Disclosure Program

36 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*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 & To assess the impacts Gas Corporation

*PSC-22-06-00021-P ...... exempt Hourly pricing by Rochester Gas & Electric To assess the impacts Corporation

*PSC-22-06-00022-P ...... exempt Hourly pricing by Consolidated Edison To assess the impacts Company of New York, Inc.

*PSC-22-06-00023-P ...... exempt Hourly pricing by Orange and Rockland To assess the impacts Utilities, Inc.

*PSC-24-06-00005-EP ...... exempt Supplemental home energy assistance To extend the deadline to Central Hudson’s beneﬁts low-income customers

*PSC-25-06-00017-P ...... exempt Purchased power adjustment by Massena To revise the method of calculating the Electric Department purchased power adjustment and update the factor of adjustment

*PSC-34-06-00009-P ...... exempt Inter-carrier telephone service quality To incorporate appropriate modiﬁcations standards and metrics by the Carrier Working Group

*PSC-37-06-00015-P ...... exempt Procedures for estimation of customer bills by To consider estimation procedures Rochester Gas and Electric Corporation

*PSC-37-06-00017-P ...... exempt Procedures for estimation of customer bills by To consider estimation procedures Rochester Gas and Electric Corporation

*PSC-43-06-00014-P ...... exempt Electric delivery services by Strategic Power To determine the proper mechanism for the Management, Inc. rate-recovery of costs

*PSC-04-07-00012-P ...... exempt Petition for rehearing by Orange and To clarify the order Rockland Utilities, Inc.

*PSC-06-07-00015-P ...... exempt Meter reading and billing practices by Central To continue current meter reading and billing Hudson Gas & Electric Corporation practices for electric service

*PSC-06-07-00020-P ...... exempt Meter reading and billing practices by Central To continue current meter reading and billing Hudson Gas & Electric Corporation practices for gas service

*PSC-11-07-00010-P ...... exempt Investigation of the electric power outages by To implement the recommendations in the the Consolidated Edison Company of New staff’s investigation York, Inc.

*PSC-11-07-00011-P ...... exempt Storm-related power outages by Consolidated To modify the company’s response to power Edison Company of New York, Inc. outages, the timing for any such changes and other related matters

*PSC-17-07-00008-P ...... exempt Interconnection agreement between Verizon To amend the agreement New York Inc. and BridgeCom International, Inc.

*PSC-18-07-00010-P ...... exempt Existing electric generating stations by To repower and upgrade existing electric Independent Power Producers of New York, generating stations owned by Rochester Gas Inc. and Electric Corporation

*PSC-20-07-00016-P ...... exempt Tariff revisions and making rates permanent To seek rehearing by New York State Electric & Gas Corporation

37 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-21-07-00007-P ...... exempt Natural Gas Supply and Acquisition Plan by To revise the rates, charges, rules and Corning Natural Gas Corporation regulations for gas service

*PSC-22-07-00015-P ...... exempt Demand Side Management Program by To recover incremental program costs and lost Consolidated Edison Company of New York, revenue Inc.

*PSC-23-07-00022-P ...... exempt Supplier, transportation, balancing and To explicitly state in the company’s tariff that aggregation service by National Fuel Gas the threshold level of elective upstream Distribution Corporation transmission capacity is a maximum of 112,600 Dth/day of marketer-provided upstream capacity

*PSC-24-07-00012-P ...... exempt Gas Efﬁciency Program by the City of New To consider rehearing a decision establishing a York Gas Efﬁciency Program

*PSC-39-07-00017-P ...... exempt Gas bill issuance charge by New York State To create a gas bill issuance charge unbundled Electric & Gas Corporation from 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 and To consider any energy efﬁciency program for Rockland Utilities, Inc. Orange and Rockland Utilities, Inc.’s electric service

*PSC-42-07-00013-P ...... exempt Revenue decoupling by Orange and Rockland To consider a revenue decoupling mechanism Utilities, Inc. for Orange and Rockland Utilities, Inc.

*PSC-45-07-00005-P ...... exempt Customer incentive programs by Orange and To establish a tariff provision Rockland Utilities, Inc.

*PSC-02-08-00006-P ...... exempt Additional central ofﬁce codes in the 315 area To consider options for making additional code region codes

*PSC-03-08-00006-P ...... exempt Rehearing of the accounting determinations To grant or deny a petition for rehearing of the accounting determinations

*PSC-04-08-00010-P ...... exempt Granting of easement rights on utility property To grant easement rights to Millennium Pipeline by Central Hudson Gas & Electric Corporation Company, L.L.C.

*PSC-04-08-00012-P ...... exempt Marketing practices of energy service To consider modifying the commission’s companies by the Consumer Protection Board regulation over marketing practices of energy and New York City Department of Consumer service companies Affairs

*PSC-08-08-00016-P ...... exempt Transfer of ownership by Entergy Nuclear To consider the transfer Fitzpatrick LLC, et al.

*PSC-12-08-00019-P ...... exempt Extend the provisions of the existing electric To consider the request rate plan by Rochester Gas and Electric Corporation

*PSC-12-08-00021-P ...... exempt Extend the provisions of the existing gas rate To consider the request plan by Rochester Gas and Electric Corporation

*PSC-13-08-00011-P ...... exempt Waiver of commission policy and NYSEG To grant or deny Turner’s petition tariff by Turner Engineering, PC

*PSC-13-08-00012-P ...... exempt Voltage drops by New York State Electric & To grant or deny the petition Gas Corporation

38 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-23-08-00008-P ...... exempt Petition requesting rehearing and clariﬁcation To consider whether to grant or deny, in whole of the commission’s April 25, 2008 order or in part, the May 7, 2008 Public Utility Law denying petition of public utility law project Project (PULP) petition for rehearing and clariﬁcation of the commission’s April 25, 2008 order denying petition of Public Utility Law Project

*PSC-23-08-00009-P ...... exempt The transfer of certain real property with an To consider the ﬁling for the transfer of certain original cost under $100,000 in the Town of real property in the Town of Throop Throop

*PSC-25-08-00007-P ...... exempt Policies and procedures regarding the To establish policies and procedures regarding selection of regulatory proposals to meet the selection of regulatory proposals to meet reliability needs reliability needs

*PSC-25-08-00008-P ...... exempt Report on Callable Load Opportunities Rider U report assessing callable load opportunities in New York City and Westchester County during the next 10 years

*PSC-28-08-00004-P ...... exempt Con Edison’s procedure for providing To consider Con Edison’s implementation plan customers access to their account information and timetable for providing customers access to their account information

*PSC-31-08-00025-P ...... exempt Recovery of reasonable DRS costs from the To authorize recovery of the DRS costs from cost mitigation reserve (CMR) the CMR

*PSC-32-08-00009-P ...... exempt The ESCO referral program for KEDNY to be To approve, reject or modify, in whole or in implemented by October 1, 2008 part, KEDNY’s recommended ESCO referral program

*PSC-33-08-00008-P ...... exempt Noble Allegany’s request for lightened To consider Noble Allegany’s request for regulation lightened regulation as an electric corporation

*PSC-36-08-00019-P ...... exempt Land Transfer in the Borough of Manhattan, To consider petition for transfer of real property New York to NYPH

*PSC-39-08-00010-P ...... exempt RG&E’s economic development plan and Consideration of the approval of RG&E’s tariffs economic development plan and tariffs

*PSC-40-08-00010-P ...... exempt Loans from regulated company to its parent To determine if the cash management program resulting in loans to the parent should be approved

*PSC-41-08-00009-P ...... exempt Transfer of control of cable TV franchise To determine if the transfer of control of Margaretville’s cable TV subsidiary should be approved

*PSC-43-08-00014-P ...... exempt Annual Reconcilliation of Gas Expenses and The ﬁlings of various LDCs and municipalities Gas Cost Recoveries regarding their Annual Reconciliation of Gas Expenses and Gas Cost Recoveries

*PSC-46-08-00008-P ...... exempt Property transfer in the Village of Avon, New To consider a petition for the transfer of street York lighting and attached equipment to the Village of Avon, New York

*PSC-46-08-00010-P ...... exempt A transfer of indirect ownership interests in Consideration of approval of a transfer of nuclear generation facilities indirect ownership interests in nuclear generation facilities

*PSC-46-08-00014-P ...... exempt The attachment of cellular antennae to an To approve, reject or modify the request for electric transmission tower permission to attach cellular antennae to an electric transmission tower

39 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-48-08-00005-P ...... exempt A National Grid high efﬁciency gas heating To expand eligibility to customers converting equipment rebate program from oil to natural gas

*PSC-48-08-00008-P ...... exempt Petition for the master metering and To consider the request of Bay City Metering, submetering of electricity to master meter & submeter electricity at 345 E. 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 submeter electricity at Peter Cooper Village & Stuyvesant Town, New York, New York

*PSC-50-08-00018-P ...... exempt Market Supply Charge A study on the implementation of a revised Market Supply Charge

*PSC-51-08-00006-P ...... exempt Commission’s October 27, 2008 Order on To consider a Petition for rehearing of the Future of Retail Access Programs in Case Commission’s October 27, 2008 Order in Case 07-M-0458 07-M-0458

*PSC-51-08-00007-P ...... exempt Commission’s October 27, 2008 Order in To consider Petitions for rehearing of the Cases 98-M-1343, 07-M-1514 and 08-G-0078 Commission’s October 27, 2008 Order in Cases 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 by Hancock is an appropriate use of deferred Rural Telephone Bank funds

*PSC-53-08-00012-P ...... exempt Transfer of permanent and temporary Transfer of permanent and temporary easements at 549-555 North Little Tor Road, easements at 549-555 North Little Tor Road, New City, NY New City, NY

*PSC-53-08-00013-P ...... exempt To transfer common stock and ownership To consider transfer of common stock and ownership

*PSC-01-09-00015-P ...... exempt FCC decision to redeﬁne service area of Review and consider FCC proposed Citizens/Frontier redeﬁnition of Citizens/Frontier service area

*PSC-02-09-00010-P ...... exempt Competitive classiﬁcation of independent local To determine if Chazy & Westport Telephone exchange company, and regulatory relief Corporation more appropriately belongs in appropriate thereto scenario 1 rather than scenario 2

*PSC-05-09-00008-P ...... exempt Revenue allocation, rate design, performance To consider any remaining non-revenue metrics, and other non-revenue requirement requirement issues related to the Company’s issues May 9, 2008 tariff ﬁling

*PSC-05-09-00009-P ...... exempt Numerous decisions involving the steam To consider the long term impacts on steam system including cost allocation, energy rates and on public policy of various options efﬁciency and capital projects concerning the steam system

*PSC-06-09-00007-P ...... exempt Interconnection of the networks between To review the terms and conditions of the Frontier Comm. and WVT Communications negotiated agreement between Frontier Comm. for local exchange service and exchange and WVT Comm. access

*PSC-07-09-00015-P ...... exempt Transfer certain utility assets located in the To consider the request to transfer certain Town of Montgomery from plant held for utility assets located in the Town of future use to non-utility property Montgomery to non-utility assets

*PSC-07-09-00017-P ...... exempt Request for authorization to defer the To allow the company to defer the incremental incremental costs incurred in the restoration costs incurred in the restoration work resulting work resulting from the ice storm from the ice storm

40 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-07-09-00018-P ...... exempt Whether to permit the submetering of natural To consider the request of Cooper Union, to gas service to an industrial and commercial submeter natural gas at 41 Cooper Square, customer at Cooper Union, New York, NY 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 ofﬁce To consider options for making additional codes available in the 718/347 numbering central ofﬁce codes available in the 718/347 plan area numbering plan area

*PSC-14-09-00014-P ...... exempt The regulation of revenue requirements for To determine whether the regulation of revenue municipal utilities by the Public Service requirements for municipal utilities should be Commission modiﬁed

*PSC-16-09-00010-P ...... exempt Petition for the submetering of electricity To consider the request of AMPS on behalf of Park 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 be Whether SUNY’s core accounts should be exempt from the mandatory assignment of exempt from the mandatory assignment of local distribution company (LDC) capacity local distribution company (LDC) capacity

*PSC-17-09-00010-P ...... exempt Whether to permit the use of Elster REX2 To permit electric utilities in New York State to solid state electric meter for use in residential use the Elster REX2 and commerical accounts

*PSC-17-09-00011-P ...... exempt Whether Brooklyn Navy Yard Cogeneration Whether Brooklyn Navy Yard Cogeneration Partners, L.P. should be reimbursed by Con Partners, L.P. should be reimbursed by Con Edison for past and future use taxes Edison for past and future use taxes

*PSC-17-09-00012-P ...... exempt Petition for the submetering of gas at To consider the request of Turner Construction, commercial property to submeter natural gas at 550 Short Ave., & 10 South St., Governors Island, NY

*PSC-17-09-00014-P ...... exempt Beneﬁt-cost framework for evaluating AMI To consider a beneﬁt-cost framework for programs prepared by the DPS Staff evaluating AMI programs prepared by the DPS Staff

*PSC-17-09-00015-P ...... exempt The construction of a tower for wireless To approve, reject or modify the petition to antennas on land owned by National Grid build a tower for wireless antennas in the Town of Onondaga

*PSC-18-09-00012-P ...... exempt Petition for rehearing of Order approving the To consider the request of Frank Signore to submetering of electricity rehear petition to submeter electricity at One City Place in White Plains, New York

*PSC-18-09-00013-P ...... exempt Petition for the submetering of electricity To consider the request of Living Opportunities of 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 of To approve, reject or modify the petition for the wireless antennas to the utility’s transmission existing wireless antenna attachment to the facilities in the City of Yonkers utility’s transmission tower

*PSC-20-09-00016-P ...... exempt The recovery of, and accounting for, costs To consider a ﬁling of the Companies as to the associated with the Companies’ advanced recovery of, and accounting for, costs metering infrastructure (AMI) pilots etc associated with it’s AMI pilots etc

41 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-20-09-00017-P ...... exempt The recovery of, and accounting for, costs To consider a ﬁling of CHG&E as to the associated with CHG&E’s AMI pilot program recovery of, and accounting for, costs associated with it’s AMI pilot program

*PSC-22-09-00011-P ...... exempt Cost allocation for Consolidated Edison’s East To determine whether any changes are River Repowering Project warranted in the cost allocation of Consolidated Edison’s East River Repowering Project

*PSC-25-09-00005-P ...... exempt Whether to grant, deny, or modify, in whole or Whether to grant, deny, or modify, in whole or in part, the petition in part, the petition

*PSC-25-09-00006-P ...... exempt Electric utility implementation plans for To determine if the proposed web based SIR proposed web based SIR application process systems are adequate and meet requirements and project status database needed for implementation

*PSC-25-09-00007-P ...... exempt Electric rates for Consolidated Edison Consider a Petition for Rehearing ﬁled by Company of New York, Inc Consolidated Edison Company of New York, Inc

*PSC-27-09-00011-P ...... exempt Interconnection of the networks between To review the terms and conditions of the Vernon and tw telecom of new york I.p. for negotiated agreement between Vernon and tw local exchange service and exchange access. telecom of new york I.p.

*PSC-27-09-00014-P ...... exempt Billing and payment for energy efﬁciency To promote energy conservation measures through utility bill

*PSC-27-09-00015-P ...... exempt Interconnection of the networks between To review the terms and conditions of the Oriskany and tw telecom of new york l.p. for negotiated agreement between Oriskany and local exchange service and exchange access tw 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 East To determine whether any changes are River Repowering Project warranted in the cost allocation of Consolidated Edison’s East River Repowering Project

*PSC-34-09-00016-P ...... exempt Recommendations made in the Management To consider whether to take action or Audit Final Report recommendations contained in the Management Audit Final Report

*PSC-34-09-00017-P ...... exempt To consider the transfer of control of To allow the Plattsburgh Cablevision, Inc. to Plattsburgh Cablevision, Inc. d/b/a Charter distribute its equity interest in CH Communications to CH Communications, LLC Communications, LLC

*PSC-36-09-00008-P ...... exempt The increase in the non-bypassable charge Considering exemptions from the increase in implemented by RG&E on June 1, 2009 the non-bypassable charge implemented by RG&E on June 1, 2009

*PSC-37-09-00015-P ...... exempt Sale of customer-generated steam to the Con To establish a mechanism for sale of customer- Edison steam system generated steam to the Con Edison steam system

*PSC-37-09-00016-P ...... exempt Applicability of electronic signatures to To determine whether electronic signatures can Deferred Payment Agreements be accepted for Deferred Payment Agreements

*PSC-39-09-00015-P ...... exempt Modiﬁcations to the $5 Bill Credit Program Consideration of petition of National Grid to modify the Low Income $5 Bill Credit Program

*PSC-39-09-00018-P ...... exempt The offset of deferral balances with Positive To consider a petition to offset deferral Beneﬁt Adjustments balances with Positive Beneﬁt Adjustments

42 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-40-09-00013-P ...... exempt Uniform System of Accounts - request for To consider a petition to defer and amortize deferral and amortization of costs costs

*PSC-51-09-00029-P ...... exempt Rules and guidelines for the exchange of To revise the uniform Electronic Data retail access data between jurisdictional Interchange Standards and business practices utilities and eligible ESCOs to incorporate a contest period

*PSC-51-09-00030-P ...... exempt Waiver or modiﬁcation of Capital Expenditure To allow the companies to expend less funds condition of merger for capital improvement than required by the merger

*PSC-52-09-00006-P ...... exempt ACE’s petition for rehearing for an order To consider whether to change the Order regarding generator-speciﬁc energy Prescribing Study Methodology deliverability study methodology

*PSC-52-09-00008-P ...... exempt Approval for the New York Independent To ﬁnance the renovation and construction of System Operator, Inc. to incur indebtedness the New York Independent System Operator, and borrow up to $50,000,000 Inc.’s power control center facilities

*PSC-05-10-00008-P ...... exempt Petition for the submetering of electricity To consider the request of University Residences - Rochester, LLC to submeter electricity 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 End Avenue Owners Corp. to submeter electricity at 243 West End Avenue, New York, NY

*PSC-06-10-00022-P ...... exempt The Commission’s Order of December 17, To reconsider the Commission’s Order of 2009 related to redevelopment of December 17, 2009 related to redevelopment Consolidated Edison’s Hudson Avenue of the Hudson Avenue generating facility generating facility

*PSC-07-10-00009-P ...... exempt Petition to revise the Uniform Business To consider the RESA petition to allow Practices rescission of a customer request to return to full utility service

*PSC-08-10-00007-P ...... exempt Whether to grant, deny, or modify , in whole Whether to grant, deny, or modify , in whole or or in part, the rehearing petition ﬁled in Case in part, the rehearing petition ﬁled in Case 06-E-0847 06-E-0847

*PSC-08-10-00009-P ...... exempt Consolidated Edison of New York, Inc. energy To modify approved energy efﬁciency programs efﬁciency programs

*PSC-12-10-00015-P ...... exempt Recommendations made by Staff intended to To require that Con Edison implement the Staff enhance the safety of Con Edison’s gas recommendations intended to enhance the operations safety 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 Street Owners Corporation to submeter Electricity at 61 Jane Street, Manhattan, NY

*PSC-16-10-00005-P ...... exempt To consider adopting and expanding mobile Adopt additional mobile stray voltage testing stray voltage testing requirements requirements

*PSC-16-10-00007-P ...... exempt Interconnection of the networks between TDS To review the terms and conditions of the Telecom and PAETEC Communications for negotiated agreement between TDS Telecom local exchange service and exchange access and PAETEC Communications

*PSC-16-10-00015-P ...... exempt Interconnection of the networks between To review the terms and conditions of the Frontier and Choice One Communications for negotiated agreement between Frontier and local exchange service and exchange access Choice One Communications

43 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-18-10-00009-P ...... exempt Electric utility transmission right-of-way To consider electric utility transmission right-of- management practices way management practices

*PSC-19-10-00022-P ...... exempt Whether National Grid should be permitted to To decide whether to approve National Grid’s transfer a parcel of property located at 1 Eddy request to transfer a parcel of vacant property Street, Fort Edward, New York in Fort Edward, New York

*PSC-22-10-00006-P ...... exempt Requirement that Noble demonstrate that its Consider requiring that Noble demonstrate that afﬁliated electric corporations operating in its afﬁliated electric corporations in New York New York are providing safe service are providing safe service

*PSC-22-10-00008-P ...... exempt Petition for the submetering of electricity To consider the request of 48-52 Franklin Street to submeter electricity at 50 Franklin Street, New York, New York

*PSC-24-10-00009-P ...... exempt Verizon New York Inc. tariff regulations To remove tariff regulations relating to retail relating to voice messaging service voice messaging service from Verizon New York Inc.’s tariff

*PSC-25-10-00012-P ...... exempt Reassignment of the 2-1-1 abbreviated dialing Consideration of petition to reassign the 2-1-1 code abbreviated dialing code

*PSC-25-10-00015-P ...... exempt To allow NYWC to defer and amortize, for Consideration of NYWC’s petition to defer and future rate recognition, pension settlement amortize, for future rate recognition, pension payout losses incurred in 2009 payout losses incurred in 2009

*PSC-27-10-00016-P ...... exempt Petition for the submetering of electricity To consider the request of 9271 Group, LLC to submeter electricity at 960 Busti Avenue, Buffalo, New York

*PSC-31-10-00007-P ...... exempt Waiver of the Attachment 23 requirement in To consider the waiver of the requirement that 2001 Rate Order that NMPC Board of a majority of NMPC Board of directors consist Directors consist of ‘‘outside directors’’ of ‘‘outside directors’’

*PSC-34-10-00003-P ...... exempt The modiﬁcation of Central Hudson Gas & The modiﬁcation of Central Hudson Gas & Electric Corporation’s Enhanced Powerful Electric Corporation’s Enhanced Powerful Opportunities Program Opportunities Program

*PSC-34-10-00005-P ...... exempt Approval of a contract for $250,000 in tank To decide whether to approve a contract repairs that may be a ﬁnancing between 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 & The modiﬁcation of Central Hudson Gas & Electric Corporation’s Enhanced Powerful Electric Corporation’s Enhanced Powerful Opportunities Program Opportunities Program

*PSC-36-10-00010-P ...... exempt Central Hudson’s procedures, terms and Consideration of Central Hudson’s procedures, conditions for an economic development plan terms and conditions for an economic development plan

*PSC-40-10-00014-P ...... exempt Disposition of a state sales tax refund To determine how much of a state sales tax refund should be retained by National Grid

*PSC-40-10-00021-P ...... exempt Whether to permit the submetering of natural To permit the submetering of natural gas gas service to a commercial customer at service to a commercial customer at Quaker Quaker Crossing Mall Crossing Mall

*PSC-41-10-00018-P ...... exempt Amount of hourly interval data provided to Allow Central Hudson to provide less than a Hourly Pricing customers who have not years worth of interval data and charge for installed a phone line to read meter manual meter reading for some customers

44 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-41-10-00022-P ...... exempt Request for waiver of the individual living unit Request for waiver of the individual living unit metering requirements at 5742 Route 5, metering requirements at 5742 Route 5, Vernon, NY Vernon, NY

*PSC-42-10-00011-P ...... exempt Petition for the submetering of electricity To consider the request of 4858 Group, LLC to submeter electricity at 456 Main Street, Buffalo, New York

*PSC-43-10-00016-P ...... exempt Utility Access to Ducts, Conduit Facilities and To review the complaint from Optical Utility Poles Communications Group

*PSC-44-10-00003-P ...... exempt Third and fourth stage gas rate increase by To consider Corning Natural Gas Corporation’s Corning Natural Gas Corporation request for a third and fourth stage gas rate increase

*PSC-51-10-00018-P ...... exempt Commission proceeding concerning three- Investigate the consistency of the tariff phase electric service by all major electric provisions for three-phase electric service for utilities all major electric utilities

*PSC-11-11-00003-P ...... exempt The proposed transfer of 55.42 acres of land The proposed transfer of 55.42 acres of land and $1.4 million of revenues derived from the and $1.4 million of revenues derived from the rendition of public service rendition of public service

*PSC-12-11-00008-P ...... exempt To allow NYWC to defer and amortize, for Consideration of NYWC’s petition to defer and future rate recognition, pension settlement amortize, for future rate recognition, pension payout losses incurred in 2010 payout losses incurred in 2010

*PSC-13-11-00005-P ...... exempt Exclude the minimum monthly bill component Exclude the minimum monthly bill component from the earnings test calculation from the earnings test calculation

*PSC-13-11-00007-P ...... exempt Budget allocations and use of System To encourage cost effective gas and electric Beneﬁts Charge funds to pay State Cost energy conservation in the State Recovery Fee

*PSC-14-11-00009-P ...... exempt Petition for the submetering of electricity To consider the request of 83-30 118th Street to 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 energy conservation programs in New York

*PSC-19-11-00007-P ...... exempt Utility price reporting requirements related to Modify the Commission’s utility electric the Commission’s ‘‘Power to Choose’’ website commodity price reporting requirements related to 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 to submeter electricity at 122 West Street, Brooklyn, New York

*PSC-20-11-00013-P ...... exempt Determining the reasonableness of Niagara To determine if the make ready charges of Mohawk Power Corporation d/b/a National Niagara Mohawk Power Corporation d/b/a Grid ‘s make ready charges National Grid are reasonable

*PSC-22-11-00004-P ...... exempt Whether to permit the use of the Sensus To permit gas utilities in New York State to use accWAVE for use in residential gas meter the Sensus accWAVE diaphragm gas meter applications

*PSC-23-11-00018-P ...... exempt NYSERDA’s energy efﬁciency program for To promote energy conservation in New York low-income customers State

*PSC-26-11-00007-P ...... exempt Water rates and charges To approve an increase in annual revenues by about $25,266 or 50%

45 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-26-11-00009-P ...... exempt Petition for the submetering of electricity at To consider the request of by Hoosick River commercial property Hardwoods, LLC to submeter electricity at 28 Taylor Avenue, in Berlin, New York

*PSC-26-11-00012-P ...... exempt Waiver of generation retirement notice Consideration of waiver of generation requirements retirement notice requirements

*PSC-29-11-00011-P ...... exempt Petition requesting the Commssion reconsider To consider whether to grant or deny, in whole its May 19, 2011 Order and conduct a or in part, Windstream New York’s Petition For hearing, and petition to stay said Order. Reconsideration and Rehearing.

*PSC-35-11-00011-P ...... exempt Whether to permit Consolidated Edison a Permit Consolidated Edison to conduct a waiver to commission regulations Part 226.8 inspection program in lieu of testing the accuracy of Category C meters

*PSC-36-11-00006-P ...... exempt To consider expanding mobile stray voltage Adopt additional mobile stray voltage testing testing requirements requirements

*PSC-38-11-00002-P ...... exempt Operation and maintenance procedures Adopt modiﬁed steam operation and pertaining to steam trap caps maintenance procedures

*PSC-38-11-00003-P ...... exempt Waiver of certain provisions of the electric Consideration of waiver of certain provisions of service tariffs of Con Edison the electric service tariffs of Con Edison

*PSC-40-11-00010-P ...... exempt Participation of regulated local exchange Whether to partially modify its order requiring carriers in the New York Data Exchange, Inc. regulated local exchange carriers’ participation (NYDE) NYDE

*PSC-40-11-00012-P ...... exempt Granting of transfer of plant in-service to a To approve transfer and recovery of regulatory asset unamortized plant investment

*PSC-42-11-00018-P ...... exempt Availability of telecommunications services in Providing funding support to help ensure New York State at just and reasonable rates availability of affordable telecommunications service throughout New York

*PSC-43-11-00012-P ...... exempt Transfer of outstanding shares of stock Transfer the issued outstanding shares of stock of The Meadows at Hyde Park Water-Works Corporation to HPWS, LLC

*PSC-47-11-00007-P ...... exempt Remedying miscalculations of delivered gas Consideration of Con Edison’s proposal to as between two customer classes address inter-class delivery imbalances resulting from past Company miscalculations

*PSC-48-11-00007-P ...... exempt Transfer of controlling interests in generation Consideration of the transfer of controlling facilities from Dynegy to PSEG interests in electric generation facilities from Dynegy to PSEG

*PSC-48-11-00008-P ...... exempt Petition for the submetering of electricity To consider the request of To Better Days, LLC to submeter electricity at 37 East 4th Street, New York, New York

*PSC-51-11-00010-P ...... exempt The Total Resource Cost (TRC) test, used to Petitioners request that the TRC test and/or its analyze measures in the Energy Efﬁciency application to measures should be revised Portfolio Standard program

*PSC-01-12-00007-P ...... exempt The New York State Reliability Council’s To adopt revisions to various rules and revisions to its rules and measurements measurements of the New York State Reliability Council

*PSC-01-12-00008-P ...... exempt Transfer of real property and easements from Consideration of the transfer of real property NMPNS to NMP3 and easements from NMPNS to NMP3

46 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-01-12-00009-P ...... exempt Recovery of expenses related to the To determine how and to what extent expenses expansion of Con Edison’s ESCO referral related to the Expansion of Con Edison’s program, PowerMove ESCO referral program should be recovered

*PSC-11-12-00002-P ...... exempt Whether to grant, deny or modify, in whole or Whether to grant, deny or modify, in whole or part, Hegeman’s petition for a waiver of part, Hegeman’s petition for a waiver of Commission policy and Con Edison tariff Commission policy and Con Edison tariff

*PSC-11-12-00005-P ...... exempt Transfer of land and water supply assets Transfer the land and associated water supply assets of Groman Shores, LLC to Robert Groman

*PSC-13-12-00005-P ...... exempt Authorization to transfer certain real property To decide whether to approve the transfer of certain real property

*PSC-19-12-00019-P ...... exempt EEPS programs administered by New York To modify the C&I sector by combining multiple State Electric & Gas Corporation and approved C&I programs into a single C&I Rochester Gas and Electric Corporation program for each PA

*PSC-19-12-00022-P ...... exempt Approval of a combined heat and power Modify NYSERDA’s EEPS programs budget performance program funding plan and targets to fund the CHP program administered by NYSERDA

*PSC-19-12-00023-P ...... exempt Petition for approval pursuant to Section 70 To consider whether to grant, deny or modify, for the sale of goods with an original cost of in whole or in part, the petition ﬁled by Orange less than $100,000 and Rockland Utilities, Inc.

*PSC-21-12-00006-P ...... exempt Tariff ﬁling requirements and refunds To determine if certain agreements should be ﬁled pursuant to the Public Service Law and if refunds are warranted

*PSC-21-12-00011-P ...... exempt Whether to grant, deny or modify, in whole or Whether to grant, deny or modify, in whole or part, the petition for waiver of tariff Rules 8.6 part, the petition for waiver of tariff Rules 8.6 and 47 and 47

*PSC-23-12-00005-P ...... exempt EEPS multifamily programs administered by To redesign the multifamily electric and gas Consolidated Edison Company of New York, programs and modify the budgets and targets Inc.

*PSC-23-12-00007-P ...... exempt The approval of a ﬁnancing upon a transfer to To consider the approval of a ﬁnancing upon a Alliance of upstream ownership interests in a transfer to Alliance of upstream ownership generation facility interests in a generation facility

*PSC-23-12-00009-P ...... exempt Over earnings sharing between rate payers To establish an Earnings Sharing Mechanism and shareholders to be applied following the conclusion of Corning’s rate plan

*PSC-27-12-00012-P ...... exempt Implementation of recommendations made in To consider implementation of a Management Audit Report recommendations made in a Management Audit Report

*PSC-28-12-00013-P ...... exempt Exemption of reliability reporting statistics for Consideration of Orange and Rockland Utilities the purpose of the 2012 Reliability request for exemption of the 2012 reliability Performance Mechanism reporting statistics

*PSC-29-12-00019-P ...... exempt Waiver of 16 NYCRR 894.1 through 894.4 To allow the Town of Hamden to waive certain preliminary franchising procedures to expedite the 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 certain preliminary franchising procedures to expedite the franchising process

47 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-33-12-00009-P ...... exempt Telecommunications companies ability to Consideration of Tech Valley’s ability to attach attach to utility company poles to Central Hudson poles

*PSC-37-12-00009-P ...... exempt Proposed modiﬁcation by Con Edison of its Proposed modiﬁcation by Con Edison of its procedures to calculate estimated bills to its procedures to calculate estimated bills to its customers customers

*PSC-42-12-00009-P ...... exempt Regulation of Gipsy Trail Club, Inc.’s long- To exempt Gipsy Trail Club, Inc. from term ﬁnancing agreements Commission regulation of its ﬁnancing agreements

*PSC-45-12-00008-P ...... exempt Whether to grant, deny or modify, in whole or Whether to grant, deny or modify, in whole or part, ESHG’s petition for a waiver of part, ESHG’s petition for a waiver of Commission policy and RG&E tariff Commission policy and RG&E tariff

*PSC-45-12-00010-P ...... exempt Whether to grant, deny or modify, in whole or Whether to grant, deny or modify, in whole or in part the petition of Con Edison to grant in part the petition of Con Edison to grant easements to Millwood Fire District easements to Millwood Fire District

*PSC-50-12-00003-P ...... exempt Afﬁliate standards for Corning Natural Gas To resolve issues raised by Corning Natural Corporation Gas Corporation in its petition for rehearing

*PSC-04-13-00006-P ...... exempt Expansion of mandatory day ahead hourly To consider the expansion of mandatory day pricing for customers of Orange and Rockland ahead hourly pricing for customers with Utilities with demands above 100 kW demands above 100 kW

*PSC-04-13-00007-P ...... exempt Authorization to transfer certain real property. To decide whether to approve the transfer of certain real property.

*PSC-06-13-00008-P ...... exempt Verizon New York Inc.’s retail service quality To investigate Verizon New York Inc.’s retail service quality

*PSC-08-13-00012-P ...... exempt Filing requirements for certain Article VII To ensure that applications for certain electric electric facilities transmission facilities contain pertinent information

*PSC-08-13-00014-P ...... exempt Uniform System of Accounts - Request for To allow the company to defer an item of Accounting Authorization expense or capital beyond the end of the year in which it was incurred

*PSC-12-13-00007-P ...... exempt Protecting company water mains To allow the company to require certain customers to make changes to the electrical grounding system at their homes

*PSC-13-13-00008-P ...... exempt The potential waiver of 16 NYCRR To determine whether a waiver of the timely 255.9221(d) completion of integrity completion of certain gas transmission line assessments for certain gas transmission integrity assessments should be granted. lines.

*PSC-17-13-00008-P ...... exempt Provision of historical utility pricing information Provision of historical utility pricing information for comparison purposes for residential ESCO for comparison purposes for residential ESCO customers customers

*PSC-17-13-00010-P ...... exempt Provision of historical pricing information for Provision of historical pricing information for comparison purposes for residential ESCO comparison purposes for residential ESCO customers customers

*PSC-18-13-00007-P ...... exempt Whether Demand Energy Networks energy Whether Demand Energy Networks energy storage systems should be designated storage systems should be designated technologies for standby rate eligibility technologies for standby rate eligibility purposes purposes

48 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-21-13-00003-P ...... exempt To consider policies that may impact To consider and further develop policies that consumer acceptance and use of electric may impact consumer acceptance and use of vehicles electric vehicles

*PSC-21-13-00005-P ...... exempt To implement an abandonment of Windover’s To approve the implementation of water system abandonment of Windover’s water system

*PSC-21-13-00008-P ...... exempt Rates of National Fuel Gas Distribution To make the rates of National Fuel Gas Corporation Distribution Corporation temporary, subject to refund, if they are found to be excessive

*PSC-21-13-00009-P ...... exempt Reporting requirements for natural gas local To help ensure efﬁcient and economic distribution companies expansion of the natural gas system as appropriate

*PSC-22-13-00009-P ...... exempt On remand from New York State court On remand, to determine the recovery of litigation, determine the recovery of certain certain deferral amounts owed NFG from deferred amounts owed NFG by ratepayers ratepayers

*PSC-23-13-00005-P ...... exempt Waiver of partial payment, directory database Equalize regulatory treatment based on level of distribution, service quality reporting, and competition and practical considerations service termination regulations

*PSC-25-13-00008-P ...... exempt To deny, grant or modify, in whole or in part, To deny, grant or modify, in whole or in part, Central Hudson’s rehearing request. Central Hudson’s rehearing request.

*PSC-25-13-00009-P ...... exempt Provision by utilities of natural gas main and To help ensure efﬁcient and economic service lines. expansion of the natural gas system as appropriate.

*PSC-25-13-00012-P ...... exempt To deny, grant or modify, in whole or in part, To deny, grant or modify, in whole or in part, Central Hudson’s rehearing request. Central Hudson’s rehearing request.

*PSC-27-13-00014-P ...... exempt Columbia Gas Transmission Corporation Cost For approval for temporary waiver of tariff Refund provisions regarding its Columbia Gas Transmission Corporation cost refund.

*PSC-28-13-00014-P ...... exempt Provision for the recovery and allocation of To consider the recovery and allocation of costs of transmission projects that reduce costs of transmission projects that reduce congestion on certain interfaces congestion on certain interfaces

*PSC-28-13-00016-P ...... exempt The request of NGT for lightened regulation To consider whether to approve, reject, or as a gas corporation. modify the request of Niagara gas transport of Lockport, NY LLC.

*PSC-28-13-00017-P ...... exempt The request by TE for waiver of regulations Consider the request by TE for waiver of requiring that natural gas be odorized in regulations that gas be odorized in certain lines certain gathering line segments

*PSC-32-13-00009-P ...... exempt To consider the deﬁnition of ‘‘misleading or To consider the deﬁnition of ‘‘misleading or deceptive conduct’’ in the Commission’s deceptive conduct’’ in the Commission’s Uniform Business Practices Uniform Business Practices

*PSC-32-13-00010-P ...... exempt Permission to write off and eliminate record To allow write off and eliminate record keeping keeping for regulatory reserves for Pensions of Pension and Other Post Retirement Beneﬁts and Other Post Retirement Beneﬁts Reserves

*PSC-32-13-00012-P ...... exempt To consider whether NYSEG should be To consider whether NYSEG should be required to undertake actions to protect its required to undertake actions to protect its name and to minimize customer confusion name and to minimize customer confusion

49 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-33-13-00027-P ...... exempt Waive underground facility requirements for Determine whether Chapin Lumberland, LLC new construction in residential subdivisions to subdivision will be allowed overhead electric allow for overhead electric lines. distribution and service lines.

*PSC-33-13-00029-P ...... exempt Deferral of incremental costs associated with To consider a petition by Con Edison to defer the restoration of steam service following certain incremental steam system restoration Superstorm Sandy. costs relating to Superstorm Sandy.

*PSC-34-13-00004-P ...... exempt Escrow account and surcharge to fund To approve the establishment of an escrow extraordinary repairs account and surcharge

*PSC-37-13-00007-P ...... exempt Dissolution of Garrow Water Works Company, To allow for the dissolution of Garrow Water Inc.. Works Company, Inc.

*PSC-39-13-00010-P ...... exempt NY-Sun initiative within the Customer-Sited To increase the statewide adoption of customer Tier of the RPS Program. sited photovoltaic solar generation through the NY-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 Kingsbridge Terrace L.P. to submeter electricity at 2701 Kingsbridge Terrace, Bronx, N.Y.

*PSC-45-13-00021-P ...... exempt Investigation into effect of bifurcation of gas To consider a Petition for an investigation into and electric utility service on Long Island. effect of bifurcation of gas and electric utility service on Long Island.

*PSC-45-13-00022-P ...... exempt Waiver of PSC regulations, 16 NYCRR To consider a waiver of certain regulations section 88.4(a)(4) relating to the content of an application for transmission line siting

*PSC-45-13-00023-P ...... exempt Waiver of PSC regulations, 16 NYCRR To consider a waiver of certain regulations section 88.4(a)(4). relating to the content of an application for transmission line siting

*PSC-45-13-00024-P ...... exempt Waiver of PSC regulations, 16 NYCRR To consider a waiver of certain regulations section 88.4(a)(4); waiver of ﬁling deadlines. relating to the content of an application for transmission line siting

*PSC-45-13-00025-P ...... exempt Waiver of PSC regulations, 16 NYCRR To consider a waiver of certain regulations section 88.4(a)(4). relating to the content of an application for transmission line siting

*PSC-47-13-00009-P ...... exempt Petition for submetering of electricity. To consider the request of Hegeman Avenue Housing L.P. to submeter electricity at 39 Hegeman Avenue, Brooklyn, N.Y.

*PSC-47-13-00012-P ...... exempt Conditioning,restricting or prohibiting the Consideration of conditioning,restricting or purchase of services by NYSEG and RG&E prohibiting the purchase of services by NYSEG from certain afﬁliates. and RG&E from certain afﬁliates.

*PSC-49-13-00008-P ...... exempt Authorization to transfer all of Crystal Water To allow Crystal Water Supply Company, Inc to Supply Company, Inc. stocks to Essel Infra transfer all of its issued and outstanding stocks West Inc. to Essel Infra West Inc.

*PSC-51-13-00009-P ...... exempt Consolidated Edison proposing to use data To ensure there is a reasonable basis for data from a test period ending September 30, submitted in support of a request for a change 2013 to support its next rate ﬁling. in rates.

50 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-51-13-00010-P ...... exempt Consolidated Edison proposing to use data To ensure there is a reasonable basis for data from a test period ending September 30, submitted in support of a request for a change 2013 to support its next rate ﬁling. in rates.

*PSC-51-13-00011-P ...... exempt Consolidated Edison proposing to use data To ensure there is a reasonable basis for data from a test period ending September 30, submitted in support of a request for a change 2013 to support its next rate ﬁling. in rates.

*PSC-52-13-00012-P ...... exempt The development of reliability contingency To address the petition for rehearing and plan(s) to address the potential retirement of reconsideration/motion for clariﬁcation of the Indian Point Energy Center (IPEC). IPEC reliability contingency plan(s).

*PSC-52-13-00015-P ...... exempt To enter into a loan agreement with the banks To consider allowing Knolls Water Company to for up to an amount of $94,000. enter into a long-term loan agreement.

*PSC-04-14-00005-P ...... exempt National Fuel Gas Corporation’s Conservation To modify National Fuel Gas Corporation’s Incentive Programs. Non-Residential Conservation Incentive Program.

*PSC-05-14-00010-P ...... exempt The New York State Reliability Council’s To adopt revisions to various rules and revisions to its rules and measurements measurements of the New York State Reliability Council

*PSC-07-14-00008-P ...... exempt Petition for submetering of electricity To consider the request of Greater Centennial Homes HDFC, Inc. to submeter electricity at 102, 103 and 106 W 5th Street, et al.

*PSC-07-14-00012-P ...... exempt Water rates and charges Implementation of Long-Term Water Supply Surcharge to recover costs associated with the Haverstraw Water Supply Project

*PSC-08-14-00015-P ...... exempt Verizon New York Inc.’s service quality and To improve Verizon New York Inc.’s service Customer Trouble Report Rate (CTRR) levels quality andthe Customer Trouble Report Rate at certain central ofﬁce entities levels at certain central ofﬁce entities

*PSC-10-14-00006-P ...... exempt Actions to facilitate the availability of ESCO To facilitate ESCO value-added offerings and to value-added offerings, ESCO eligibility and make changes to ESCO eligibility and to ESCO compliance ensure ESCO compliance

*PSC-11-14-00003-P ...... exempt Provision for the recovery and allocation of To consider the recovery and allocation of costs of transmission projects that reduce costs of transmission projects that reduce congestion on certain interfaces congestion on certain interfaces

*PSC-16-14-00014-P ...... exempt Whether to order NYSEG to provide gas To order gas service to customers in the Town service to customers when an expanded of Plattsburgh after approval of a town wide CPCN is approved and impose PSL 25-a CPCN and to impose penalties. penalties.

*PSC-16-14-00015-P ...... exempt Whether Central Hudson should be permitted Consideration of the petition by Central Hudson to defer obligations of the Order issued on to defer reporting obligations of the October 18, October 18, 2013 in Case 13-G-0336. 2013 Order in Case 13-G-0336

*PSC-16-14-00016-P ...... exempt Waiver of Commission regulations governing Consider United Water New York Inc.’s termination of service. proposal to expand termination of service provisions.

*PSC-17-14-00003-P ...... exempt Con Edison’s Report on its 2013 performance Con Edison’s Report on its 2013 performance under the Electric Service Reliability under the Electric Service Reliability Performance Mechanism Performance Mechanism

*PSC-17-14-00004-P ...... exempt To consider certain portions of petitions for To consider certain portions of petitions for rehearing, reconsideration and/or clariﬁcation rehearing, reconsideration and/or clariﬁcation

51 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-17-14-00007-P ...... exempt To consider petitions for rehearing, To consider petitions for rehearing, reconsideration and/or clariﬁcation reconsideration and/or clariﬁcation

*PSC-17-14-00008-P ...... exempt To consider certain portions of petitions for To consider certain portions of petitions for rehearing, reconsideration and/or clariﬁcation rehearing, reconsideration and/or clariﬁcation

*PSC-19-14-00014-P ...... exempt Market Supply Charge To make tariff revisions to the Market Supply Charge for capacity related costs

*PSC-19-14-00015-P ...... exempt Whether to permit the use of the Sensus To permit gas utilities in New York State to use accuWAVE for use in residential and the Sensus accuWAVE 415TC gas meter commercial gas meter applications

*PSC-19-14-00018-P ...... exempt Uniform System of Accounts, deferral of an Authorization of a deferral for an expense item expense item beyond the end of the year in which it was incurred

*PSC-22-14-00013-P ...... exempt Petition to transfer and merge systems, To consider the Comcast and Time Warner franchises and assets. Cable merger and transfer of systems, franchises and assets.

*PSC-23-14-00010-P ...... exempt Whether to permit the use of the GE Dresser To permit gas utilities in New York State to use Series B3-HPC 11M-1480 rotary gas met for the GE Dresser Series B3-HPC 11M-1480 use in industrial gas meter applications rotary gas meter

*PSC-23-14-00014-P ...... exempt Waiver of the negative revenue adjustment Consideration of KEDLI’s waiver request associated with KEDLI’s 2013 Customer pertaining to its 2013 performance under its Satisfaction Performance Metric Customer Satisfaction Metric

*PSC-24-14-00005-P ...... exempt To examine LDC’s performance and To improve gas safety performance. performance measures.

*PSC-26-14-00010-P ...... exempt Petitioner requests an order authorizing its To enable continued operation of a 21 MW participation in the next Main Tier solicitation biomass fueled electric generating facility in offered under the RPS Program. Chateaugay, New York.

*PSC-26-14-00013-P ...... exempt Waiver of RG&E’s tariffed deﬁnition of To consider waiver of RG&E’s tariffed deﬁnition emergency generator. of emergency generator.

*PSC-26-14-00017-P ...... exempt Existing ratemaking and rate design practices To use the Commission’s ratemaking authority will be revised with a focus on outcomes and to foster a DER-intensive system. incentives.

*PSC-26-14-00020-P ...... exempt New electric utility backup service tariffs and To encourage development of microgrids that standards for interconnection may be enhance the efﬁciency, safety, reliability and adopted. resiliency of the electric grid.

*PSC-26-14-00021-P ...... exempt Consumer protections, standards and To balance the need for the information protocols pertaining to access to customer necessary to support a robust market with data may be established. customer privacy concerns.

*PSC-28-14-00014-P ...... exempt Petition to transfer systems, franchises and To consider the Comcast and Charter transfer assets. of systems, franchise and assets.

*PSC-30-14-00023-P ...... exempt Whether to permit the use of the Sensus Pursuant to 16 NYCRR Part 500.3 , it is iPERL Fire Flow Meter. necessary to permit the use of the Sensus iPERL Fire Flow Meter.

*PSC-30-14-00025-P ...... exempt Allocation of uncommitted Technology and To consider allocation of uncommitted Market Development Funds to the Combined Technology & Market Development Funds to Heat & Power Performance Program. the Combined Heat & Power Performance Program.

52 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-30-14-00026-P ...... exempt Petition for a waiver to master meter Considering the request of Renaissance electricity. Corporation of to master meter electricity at 100 Union Drive,Albany, NY.

*PSC-31-14-00004-P ...... exempt To transfer 100% of the issued and To transfer 100% of the issued and outstanding outstanding stock from Vincent Cross to stock from Vincent Cross to Bonnie and Bonnie and Michael Cross Michael Cross

*PSC-32-14-00012-P ...... exempt Whether to grant or deny, in whole or in part, To consider the Connect New York Coalition’s the Connect New York Coalition’s petition petition seeking a formal investigation and hearings

*PSC-34-14-00009-P ...... exempt Whether to approve the Quadlogic S10N Approval of the Quadlogic S10N Smart Meter residential submeter. for use in residential electric submetering is required by 16 NYCRR Parts 93 and 96.

*PSC-35-14-00004-P ...... exempt Regulation of a proposed electricity To consider regulation of a proposed electricity generation facility located in the Town of generation facility located in the Town of Brookhaven, NY Brookhaven, NY

*PSC-35-14-00005-P ...... exempt Whether to permit the use of the Sensus Pursuant to 16 NYCRR Parts 92 and 93, iConA electric meter Commission approval is necessary to permit the use of the Sensus iConA electric meter

*PSC-36-14-00009-P ...... exempt Modiﬁcation to the Commission’s Electric To consider revisions to the Commission’s Safety Standards. Electric Safety Standards.

*PSC-36-14-00010-P ...... exempt The procurement of Main Tier renewable To ensure the development of large-scale resources will become the responsibility of the remnewables in New York State to promote State’s electric utilities. fuel diversity and reduce carbon emissions.

*PSC-36-14-00011-P ...... exempt To defer pension settlement losses associated To resolve the ratemaking of the pension with retirements in the year ended March 31, settlement loss. 2014.

*PSC-38-14-00003-P ...... exempt Whether to approve, reject or modify, in whole Whether to approve, reject or modify, in whole or in part a time-sensitive rate pilot program. or in part a time-sensitive rate pilot program.

*PSC-38-14-00004-P ...... exempt The study and petition of Con Edison The study and petition of Con Edison regarding regarding use, accounting and ratemaking use, accounting and ratemaking treatment for treatment for 11-23 and 2-28 Hudson Ave. 11-23 and 2-28 Hudson Ave. Brooklyn. Brooklyn.

*PSC-38-14-00005-P ...... exempt Action on the report and petition of Con Action on the report and petition of Con Edison Edison regarding the Storm Hardening and regarding the Storm Hardening and Resiliency Resiliency Collaborative, Phase 2. Collaborative, Phase 2.

*PSC-38-14-00007-P ...... exempt Whether to expand Con Edison’s low income Whether to expand Con Edison’s low income program to include Medicaid recipients. program to include Medicaid recipients.

*PSC-38-14-00008-P ...... exempt The study and petition of Con Edison The study and petition of Con Edison regarding regarding use, accounting and ratemaking use, accounting and ratemaking treatment for treatment for 11-23 and 2-28 Hudson Ave. 11-23 and 2-28 Hudson Ave. Brooklyn. Brooklyn.

*PSC-38-14-00010-P ...... exempt Inter-carrier telephone service quality To review recommendations from the Carrier standard and metrics and administrative Working Group and incorporate appropriate changes. modiﬁcations to the existing Guidelines.

*PSC-38-14-00012-P ...... exempt Action on the report and petition of Con Action on the report and petition of Con Edison Edison regarding the Storm Hardening and regarding the Storm Hardening and Resiliency Resiliency Collaborative, Phase 2. Collaborative, Phase 2.

53 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-38-14-00018-P ...... exempt New electric utility demand response tariffs To develop mature DER markets by enabling may be adopted. the development and use of DR as an economic system resource.

*PSC-39-14-00020-P ...... exempt Whether to permit the use of the Mueller Pursuant to 16 NYCRR section 500.3, whether Systems 400 Series and 500 Series of water to permit the use of the Mueller Systems 400, meters and 500 Series of water meters

*PSC-40-14-00008-P ...... exempt To consider granting authorization for Buy To consider granting authorization for Buy Energy Direct to resume marketing to Energy Direct to resume marketing to residential customers. residential customers.

*PSC-40-14-00009-P ...... exempt Whether to permit the use of the Itron Open Pursuant to 16 NYCRR Parts 93, is necessary Way Centron Meter with Hardware 3.1 for to permit the use of the Itron Open Way AMR and AMI functionality. Centron Meter with Hardware 3.1.

*PSC-40-14-00011-P ...... exempt Late Payment Charge. To modify Section 7.6 - Late Payment Charge to designate a speciﬁc time for when a late payment charge is due.

*PSC-40-14-00013-P ...... exempt Regulation of a proposed natural gas pipeline To consider regulation of a proposed natural and related facilities located in the Town of gas pipeline and related facilities located in the Ticonderoga, NY. Town of Ticonderoga, NY.

*PSC-40-14-00014-P ...... exempt Waiver of 16 NYCRR Sections 894.1 through To allow the Town of Goshen, NY, to waive 894.4(b)(2) certain preliminary franchising procedures to expedite the franchising process.

*PSC-40-14-00015-P ...... exempt Late Payment Charge. To modify Section 6.6 - Late Payment Charge to designate a speciﬁc time for when a late payment charge is due.

*PSC-42-14-00003-P ...... exempt Annual Reconciliation of Gas Expenses and The ﬁlings of various LDCs and municipalities Gas Cost Recoveries regarding their Annual Reconciliation of Gas Expenses and Gas Cost Recoveries

*PSC-42-14-00004-P ...... exempt Winter Bundled Sales Service Option To modify SC-11 to remove language relating to ﬁxed storage charges in the determination of the Winter Bundled Sales charge

*PSC-48-14-00014-P ...... exempt Considering the recommendations contained To consider the recommendations contained in in Staff’ s electric outage investigation report Staff’s electric outage investigation report for for MNRR, New Haven Line. MNRR, New Haven Line.

*PSC-52-14-00019-P ...... exempt Petition for a waiver to master meter Considering the request of 614 South Crouse electricity. Avenue, LLC to master meter electricity at 614 South Crouse Avenue, Syracuse, NY..

*PSC-01-15-00014-P ...... exempt State Universal Service Fund Disbursements To consider Edwards Telephone Company’s request for State Universal Service Fund disbursements

*PSC-08-15-00009-P ...... exempt Approval of a surcharge. To allow or disallow Emerald Green Lake Louise Marie Water Company, Inc. for a surcharge.

*PSC-08-15-00010-P ...... exempt Request pertaining to the lawfulness of To grant, deny, or modify URAC Rate National Grid USA continuing its summary Consultants’ request that National Grid cease billing program. its summary billing program.

54 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-10-15-00007-P ...... exempt Notiﬁcation concerning tax refunds To consider Verizon New York Inc.’s partial rehearing or reconsideration request regarding retention of property tax refunds

*PSC-10-15-00008-P ...... exempt Whether to waive Policy on Test Periods in Whether to waive Policy on Test Periods in Major Rate Proceedings and provide authority Major Rate Proceedings and provide authority to ﬁle tariff changes to ﬁle tariff changes

*PSC-10-15-00009-P ...... exempt Contingency Tariffs regarding demand To consider Contingency Tariffs regarding response issues demand response issues

*PSC-12-15-00007-P ...... exempt The Annual Reconciliation of Gas Expenses Examine the Annual Reconciliation of Gas and Gas Cost Recoveries codiﬁed at Title 16 Expenses and Gas Cost Recoveries NYCRR Section 720.6.5 mechanism

*PSC-13-15-00024-P ...... exempt Whether Leatherstocking should be permitted To decide whether to approve to recover a shortfall in earnings Leatherstocking’s request to recover a shortfall in earnings

*PSC-13-15-00026-P ...... exempt Whether to permit the use of the Sensus To permit the use of the Sensus Smart Point Smart Point Gas AMR/AMI product Gas AMR/AMI product

*PSC-13-15-00027-P ...... exempt Whether to permit the use of the Measurlogic To permit the use of the Measurlogic DTS 310 DTS 310 electric submeter submeter

*PSC-13-15-00028-P ...... exempt Whether to permit the use of the SATEC To permit necessary to permit the use of the EM920 electric meter SATEC EM920 electric meter

*PSC-13-15-00029-P ...... exempt Whether to permit the use the Triacta Power To permit the use of the Triacta submeters Technologies 6103, 6112, 6303, and 6312 electric submeters

*PSC-17-15-00007-P ...... exempt To consider the petition of Leatherstocking To consider the petition of Leatherstocking Gas Gas Company, LLC seeking authority to issue Company, LLC seeking authority to issue long- long-term debt of $2.75 million term debt of $2.75 million

*PSC-18-15-00005-P ...... exempt Con Edison’s Report on its 2014 performance Con Edison’s Report on its 2014 performance under the Electric Service Reliability under the Electric Service Reliability Performance Mechanism Performance Mechanism

*PSC-19-15-00011-P ...... exempt Gas Safety Performance Measures and To update the performance measures associated negative revenue adjustments applicable to KeySpan Gas East Corporation d/b/a National Grid

*PSC-22-15-00015-P ...... exempt To consider the request for waiver of the To consider the request for waiver of the individual residential unit meter requirements individual residential unit meter requirements and 16 NYCRR 96.1(a) and 16 NYCRR 96.1(a)

*PSC-23-15-00005-P ...... exempt The modiﬁcation of New York American Whether to adopt the terms of the Joint Water’s current rate plan Proposal submitted by NYAW and DPS Staff

*PSC-23-15-00006-P ...... exempt The modiﬁcation of New York American Whether to adopt the terms of the Joint Water’s current rate plan Proposal 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 66 Residences, LLC to submeter electricity at 165 East 66th Street, New York, New York.

*PSC-27-15-00014-P ...... exempt Authorization for NYAW to accrue interest on To allow NYAW to accrue interest on internal internal reserve debit balances reserve debit balances

55 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-29-15-00018-P ...... exempt Approval of ratemaking related to amendment To approve or reject the ratemaking aspects of a certiﬁcate of public convenience and SLG’s petition to amend its certiﬁcate of public necessity convenience and necessity

*PSC-29-15-00025-P ...... exempt Joint Petition for authority to transfer real Whether to authorize the proposed transfer of property located at 624 West 132nd Street, real property located at 624 West 132nd Street, New York, NY New York, NY

*PSC-32-15-00006-P ...... exempt Development of a Community Solar To approve the development of a Community Demonstration Project. Solar Demonstration Project.

*PSC-32-15-00012-P ...... exempt Proposed standards for Commission oversight To consider proposed standards for of Distributed Energy Resource suppliers. Commission oversight of Distributed Energy Resource suppliers.

*PSC-33-15-00009-P ...... exempt Remote net metering of a demonstration To consider approval of remote net metering of community net metering program. a demonstration community net metering program.

*PSC-33-15-00012-P ...... exempt Remote net metering of a Community Solar To consider approval of remote net metering of Demonstration Project. a Community Solar Demonstration Project.

*PSC-34-15-00021-P ...... exempt Petition by NYCOM requesting assistance To consider the petition by NYCOM requesting with obtaining information on CLECs and assistance with obtaining information on ESCOs CLECs and ESCOs

*PSC-35-15-00014-P ...... exempt Consideration of consequences against Light To consider consequences against Light Power Power & Gas, LLC for violations of the UBP & Gas, LLC for violations of the UBP

*PSC-37-15-00007-P ...... exempt Submetered electricity To consider the request of 89 Murray Street Ass. LLC, for clariﬁcation of the submetering order issued December 20, 2007

*PSC-38-15-00008-P ...... exempt Notice of Intent to submeter electricity To consider the request of Community Counseling and Mediation to submeter electricity at 226 Linden Blvd., Brooklyn, New York

*PSC-40-15-00014-P ...... exempt Whether to permit the use of the Open Way To consider the use of the Open Way 3.5 3.5 with cellular communications electric meter, pursuant to 16 NYCRR Parts 92 and 93

*PSC-41-15-00005-P ...... exempt Intergrow disputes National Grid’s revenue To consider whether the revenue assurance assurance calculations National Grid is requiring of Intergrow for the new interconnection is appropriate

*PSC-41-15-00009-P ...... exempt Main Tier of the Renewable Portfolio To consider allocating funding from the Main Standard program Tier to an eligible hydroelectric facility

*PSC-42-15-00006-P ...... exempt Deferral of incremental expenses associated Consideration of Central Hudson’s request to with NERC’s new Bulk Electric System (BES) defer incremental expenses associated with compliance requirements approved by FERC. new BES compliance requirements.

*PSC-44-15-00028-P ...... exempt Deferral of incremental expenses associated Consideration of Central Hudson’s request to with new compliance requirements defer incremental expenses associated with new compliance requirements

*PSC-44-15-00030-P ...... exempt System Improvement Plan mechanism To consider Bath’s petition to implement a SIP mechanism

*PSC-47-15-00013-P ...... exempt Whitepaper on Implementing Lightened Consider Whitepaper on Implementing Ratemaking Regulation. Lightened Ratemaking Regulation.

56 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-48-15-00010-P ...... exempt Lightened and incidental regulation of a 55 Consider the lightened and incidental MW electric and steam generating facility. regulation of a 55 MW electric and steam generating facility.

*PSC-48-15-00011-P ...... exempt Proposal to retire Huntley Units 67 and 68 on Consider the proposed retirement of Huntley March 1, 2016. Units 67 and 68.

*PSC-50-15-00006-P ...... exempt The reduction of rates. To consider the reduction of rates charged by Independent Water Works, Inc.

*PSC-50-15-00009-P ...... exempt Notice of Intent to submeter electricity. To consider the request to submeter electricity at 31-33 Lincoln Road and 510 Flatbush Avenue, 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 assurance National Grid is requiring of Tiashoke for the upgraded service is appropriate

*PSC-01-16-00005-P ...... exempt Proposed amendment to Section 5, To consider amendment to Section 5, Attachment 1.A of the Uniform Business Attachment 1.A of the Uniform Business Practices Practices

*PSC-04-16-00007-P ...... exempt Whether Hamilton Municipal Utilities should Consideration of the petition by Hamilton be permitted to construct and operate a Municipal Utilities to construct and operate a municipal gas distribution facility. municipal gas distribution facility.

*PSC-04-16-00011-P ...... exempt Investigation that certain practices of Central To consider the Petition of Nobody Leaves Mid- Hudson Gas and Electric Corporation resulted Hudson to investigate Central Hudson for in violations of HEFPA. claims of HEFPA violations.

*PSC-04-16-00012-P ...... exempt Proposal to mothball three gas turbines Consider the proposed mothball of three gas located at the Astoria Gas Turbine Generating turbines located at the Astoria Gas Turbine Station. Generating Station.

*PSC-04-16-00013-P ...... exempt Proposal to ﬁnd that three gas turbines Consider whether three gas turbines located at located at the Astoria Gas Turbine Generating the Astoria Gas Turbine Generating Station are Station are uneconomic. uneconomic.

*PSC-06-16-00010-P ...... exempt Lakewood disputes National Grid’s revenue To consider whether the revenue assurance assurance calculations, speciﬁcally the National Grid is requiring of Lakewood for the duration used. new interconnection is appropriate.

*PSC-06-16-00012-P ...... exempt Inclusion of a Farm and Food Community To consider the inclusion of a Farm and Food program in the community distributed Community program in the community generation program. distributed generation program.

*PSC-06-16-00013-P ...... exempt Continued deferral of approximately To consider the continued deferral of $16,000,000 in site investigation and approximately $16,000,000 in site investigation remediation costs. and remediation costs.

*PSC-06-16-00014-P ...... exempt MEGA’s proposed demonstration CCA To consider MEGA’s proposed demonstration program. CCA program.

*PSC-07-16-00016-P ...... exempt Use of the Electro Industries Shark 200 To consider the use of the Electro Industries electric submeter in residential applications Shark 200 submeter

*PSC-12-16-00004-P ...... exempt The option to opt out of using an AMR device, To consider the option to opt out of using an and substitute an electro-mechanical meter, at AMR device, and substitute an electro- no additional charge mechanical meter, at no additional charge

57 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-13-16-00009-P ...... exempt Notice of Intent to submeter electricity To consider the Notice of Intent of Franklin Place Condominium to submeter electricity at 5 Franklin Place, New York, New York

*PSC-14-16-00008-P ...... exempt Resetting retail markets for ESCO mass To ensure consumer protections with respect to market customers. residential and small non-residential ESCO customers.

*PSC-15-16-00012-P ...... exempt Adequate service of Verizon New York, Inc. To consider the adequacy of Verizon New York Inc.’s service quality

*PSC-18-16-00013-P ...... exempt Amendments to the Uniform Business To ensure consumer protection for ESCO Practices of ESCOs. customers.

*PSC-18-16-00014-P ...... exempt Amendments to the Uniform Business To ensure consumer protection for ESCO Practices of ESCOs. customers.

*PSC-18-16-00015-P ...... exempt Petitions for rehearing of the Order Resetting To ensure consumer protections for ESCO Retail Energy Markets and Establishing customers. Further Process.

*PSC-18-16-00016-P ...... exempt Amendments to the Uniform Business To ensure consumer protection for ESCO Practices of ESCOs. customers.

*PSC-18-16-00018-P ...... exempt Amendments to the Uniform Business To ensure consumer protection for ESCO Practices of ESCOs. customers.

*PSC-20-16-00008-P ...... exempt Consideration of consequences against To consider consequences against Global Global Energy Group, LLC for violations of Energy Group, LLC for violations of the the Uniform Business Practices (UBP). Uniform Business Practices (UBP).

*PSC-20-16-00010-P ...... exempt Deferral and recovery of incremental To consider deferring costs of conducting leak expense. survey and repairs for subsequent recovery.

*PSC-20-16-00011-P ...... exempt Enetics LD-1120 Non-Intrusive Load To consider the use of the Enetics LD-1120 Monitoring Device in the Statewide Non-Intrusive Load Monitoring Device. Residential Appliance Metering Study.

*PSC-22-16-00011-P ...... exempt Petition for rehearing of the Order Modifying To ensure compliance with the Standardized Standardized Interconnection Requirements Interconnection Requirements. and alternative enforcement mechanisms.

*PSC-22-16-00013-P ...... exempt Disposition of tax refunds and other related To consider the disposition of tax refunds and matters. other related matters.

*PSC-24-16-00009-P ...... exempt Petition to submeter gas service. To consider the Petition of New York City Economic Development Corp. to submeter gas at Pier 17, 89 South Street, New York, NY.

*PSC-25-16-00009-P ...... exempt To delay Companies’ third-party assessments To extend the time period between the of customer personally identiﬁable information Companies’ third-party assessments of until 2018. customer personally identiﬁable information.

*PSC-25-16-00018-P ...... exempt Proposed Community Choice Aggregation To ensure appropriate consumer protections in Data Security Agreement. Community Choice Aggregation programs.

*PSC-25-16-00024-P ...... exempt Pole Attachment Rules. To determine that the Commission’s existing pole attachment rules apply to wireless providers.

58 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-25-16-00025-P ...... exempt Acquisition of all water supply assets of To consider acquisition of all water supply Woodbury Heights Estates Water Co., Inc. by assets of Woodbury Heights Estates Water the Village of Kiryas Joel. Co., Inc. by the Village of Kiryas Joel.

*PSC-25-16-00026-P ...... exempt Use of the Badger E Series Ultrasonic Cold To consider the use of the Badger E Series Water Stainless Steel Meter, in residential ﬁre Ultrasonic Cold Water Stainless Steel Meter in service applications. ﬁre service applications.

*PSC-28-16-00017-P ...... exempt A petition for rehearing of the Order Adopting To determine appropriate rules for and a Ratemaking and Utility Revenue Model calculation of the distributed generation Policy Framework. reliability credit.

*PSC-29-16-00024-P ...... exempt Participation of NYPA customers in To consider participation of NYPA customers in surcharge-funded clean energy programs. surcharge-funded clean energy programs.

*PSC-29-16-00025-P ...... exempt Proposed modiﬁcations to gas safety To consider NMPC’s petition to modify gas violations metric adopted in Case 12-G-0202. safety violations metric.

*PSC-30-16-00007-P ...... exempt The Municipal Electric and Gas Alliance’s To ensure appropriate consumer protections Community Choice Aggregation Implementation Plan

*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 funds for repairs.

*PSC-33-16-00005-P ...... exempt Exemption from certain charges for delivery of Application of System Beneﬁts Charges, electricity to its Niagara Falls, New York Renewable Portfolio Standard charges and facility. Clean Energy Fund surcharges.

*PSC-34-16-00005-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

*PSC-34-16-00006-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

*PSC-34-16-00008-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

*PSC-34-16-00009-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

*PSC-34-16-00010-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

*PSC-34-16-00011-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

*PSC-34-16-00012-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

59 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

*PSC-34-16-00013-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

*PSC-34-16-00015-P ...... exempt Community Choice Aggregation (CCA) Data To consider the implementation of fees for CCA Services. Data Services requested by CCA Administrators.

*PSC-35-16-00015-P ...... exempt NYSRC’s revisions to its rules and To consider revisions to various rules and measurements measurements of the NYSRC

*PSC-36-16-00003-P ...... exempt Petition regarding the Commission’s July 14, To consider the terms and conditions of utility 2016 Order Denying Petition. service received by Fastrac Markets, LLC.

*PSC-36-16-00004-P ...... exempt Recovery of costs for installation of electric To consider the recovery of costs for service. installation of electric service.

*PSC-38-16-00006-P ...... exempt Request for waiver of the individual metering To consider the request for waiver of the requirements of Opinion 76-17 and 16 individual metering requirements of Opinion NYCRR Part 96 76-17 and 16 NYCRR Part 96

*PSC-40-16-00013-P ...... exempt Surcharge to recover costs of Dynamic Load To consider a surcharge to recover costs of the Management Programs. Dynamic Load Management Programs.

*PSC-40-16-00014-P ...... exempt Surcharge to recover costs of Dynamic Load To consider a surcharge to recover costs of the Management Programs. Dynamic Load Management Programs.

*PSC-40-16-00015-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeter electricity at 175 Huguenot Street, New Rochelle, New York.

*PSC-40-16-00017-P ...... exempt Request for waiver of 16 NYCRR sections To consider the request for waiver of 16 96.5(a) and 96.6(b) NYCRR 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 Itron OpenWay Riva commerical meter in electric metering applications.

*PSC-40-16-00019-P ...... exempt Surcharge to recover costs of Dynamic Load To consider a surcharge to recover costs of the Management Programs. Dynamic Load Management Programs.

*PSC-40-16-00020-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 501 Broadway Troy, LLC to submeter electricity at 501 Broadway, Troy, New York.

*PSC-40-16-00021-P ...... exempt Surcharge to recover costs of Dynamic Load To consider a surcharge to recover costs of the Management Programs. Dynamic Load Management Programs.

*PSC-40-16-00025-P ...... exempt Consequences pursuant to the Commission’s To consider whether to impose consequences Uniform Business Practices (UBP). on Smart One for its apparent non-compliance with Commission requirements.

*PSC-40-16-00026-P ...... exempt Compliance ﬁling establishing an interruptible To consider RG&E’s proposed revisions to gas service sales rate. establish an interruptible gas service sales rate.

PSC-42-16-00014-P ...... exempt Proposed Public Policy Transmission Needs/ To identify any proposed Public Policy Public Policy Requirements, as deﬁned under Transmission Needs/Public Policy the NYISO tariff. Requirements for referral to the NYISO.

60 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-44-16-00015-P ...... exempt Surcharge to recover costs of Dynamic Load To consider a surcharge to recover costs of the Management Programs Dynamic Load Management Programs

PSC-45-16-00008-P ...... exempt Petition to use a commercial electric meter. To consider the petition to use the Landis+Gyr S4X Commercial Meter with Gridstream Series 5 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+Gyr Focus AXe Meter with Gridstream Series 5 RF Mesh IP AMI.

PSC-47-16-00009-P ...... exempt Petition to use commercial electric meters To consider the petition of Itron, Inc. to use the Itron CP2SO and CP2SOA in commercial electric meter applications

PSC-47-16-00010-P ...... exempt Standby Service rate design To consider the report ﬁled and the recommendations therein

PSC-47-16-00013-P ...... exempt Standby Service rate design To consider the report ﬁled and the recommendations therein

PSC-47-16-00014-P ...... exempt Standby Service rate design To consider the report ﬁled and the recommendations therein

PSC-47-16-00016-P ...... exempt Standby Service rate design To consider the report ﬁled and the recommendations therein

PSC-49-16-00005-P ...... exempt Waiver of certain rules and requirements To determine whether to waive any regulations. pertaining to cable television franchise.

PSC-01-17-00018-P ...... exempt The addition of Company-owned LED options To consider the addition of Company-owned under SC No. 1 - Street Lighting Service LED lighting options for customers served under SC No. 1

PSC-01-17-00022-P ...... exempt The addition of Company-owned LED options To consider the addition of Company-owned under SC No. 3 - Standard Street Lighting LED lighting options for customers served Service under SC No. 3

PSC-02-17-00010-P ...... exempt Implementation of the four EAMs. To consider the implementation of EAMs for RG&E.

PSC-02-17-00012-P ...... exempt Implementation of the four EAMs. To consider the implementation of EAMs for NYSEG.

PSC-03-17-00003-P ...... exempt Good Energy, L.P.’s Community Choice To ensure appropriate consumer protections. Aggregation Implementation Plan and Data Protection Plan.

PSC-04-17-00010-P ...... exempt The inclusion of interest in a payment To consider whether to include interest in the compensating developer for work performed calculation of the amount owed in in preparation for electric service compensation

PSC-06-17-00004-P ...... exempt Waiver to permit National Fuel Resources, To consider the Petition for a waiver Inc. to serve low-income customers

PSC-06-17-00011-P ...... exempt A waiver to permit Zone One Energy LLC to To consider the Petition for a waiver. serve low-income customers.

PSC-07-17-00019-P ...... exempt Deferral and recovery of incremental costs To consider deferring costs related to water main leak repairs for subsequent recovery

61 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-08-17-00007-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeter electricity at 327 Central Park West, New York, New York.

PSC-11-17-00006-P ...... exempt Use of the Itron 100W+, to collect and To consider the use of the Itron 100W+, to transmit meter data, in water metering collect and transmit meter data in water applications. metering applications.

PSC-11-17-00009-P ...... exempt Petition to submeter electricity. To consider the petition of 8th and C HDFC to submeter 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 the UBP.

PSC-14-17-00009-P ...... exempt Waiver to the prohibition on service to low- To consider the petition for a waiver to the income customers by ESCOs. prohibition on service to low-income customers by ESCOs.

PSC-14-17-00010-P ...... exempt Waiver to the prohibition on service to low- To consider the petition for a waiver to the income customers by ESCOs. prohibition on service to low-income customers by ESCOs.

PSC-14-17-00012-P ...... exempt Waiver to the prohibition on service to low- To consider the petition for a waiver to the income customers by ESCOs. prohibition on service to low-income customers by ESCOs.

PSC-14-17-00013-P ...... exempt Waiver to the prohibition on service to low- To consider the petition for a waiver to the income customers by ESCOs. prohibition on service to low-income customers by ESCOs.

PSC-14-17-00015-P ...... exempt Waiver to the prohibition on service to low- To consider the petition for a waiver to the income customers by ESCOs. prohibition on service to low-income customers by ESCOs.

PSC-14-17-00016-P ...... exempt Waiver to the prohibition on service to low- To consider the petition for a waiver to the income customers by ESCOs.. prohibition on service to low-income customers by ESCOs.

PSC-14-17-00017-P ...... exempt Petition for Full-Scale Deployment of AMI and To consider the petition for Full-Scale to Establish an AMI Surcharge. Deployment of AMI and to Establish an AMI Surcharge.

PSC-14-17-00019-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeter electricity at 94 North 3rd St., Brooklyn, NY and waiver of 16 NYCRR § 96.5(k)(3).

PSC-18-17-00024-P ...... exempt A petition for rehearing or reconsideration of To determine whether Public Policy the Order Addressing Public Policy Transmission Need/Public Policy Requirements Transmission Need for AC Transmission continue to exist. Upgrades

PSC-18-17-00025-P ...... exempt A petition for rehearing or reconsideration of To determine whether IPANY and individual the Order on Remand Denying Refunds. pay telephone providers are entitled to refunds from Verizon New York Inc.

PSC-18-17-00026-P ...... exempt Revisions to the Dynamic Load Management To consider revisions to the Dynamic Load surcharge. Management surcharge.

62 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-18-17-00027-P ...... exempt A petition for rehearing or clariﬁcation of the To determine appropriate treatment of March 9, 2017 Order. submetered energy users in community distributed generation programs.

PSC-18-17-00028-P ...... exempt A petition for rehearing, reconsideration, or To determine appropriate treatment of clariﬁcation of the March 9, 2017 Order. environmental attributes related to distributed energy resources.

PSC-18-17-00029-P ...... exempt Commission oversight of distributed energy To consider proposed standards for resource suppliers. Commission oversight of distributed energy resource suppliers.

PSC-18-17-00031-P ...... exempt Notice of Intent to submeter electricity and To consider the Notice of Intent to submeter waiver of energy audit requirement. electricity at 1328 Fulton Street, Brooklyn, NY and waiver of 16 NYCRR § 96.5(k)(3).

PSC-18-17-00033-P ...... exempt Use of the ROMET AdEM-T volumetric To consider the use of the ROMET AdEM-T corrector. volumetric corrector.

PSC-18-17-00034-P ...... exempt Use of the ROMET AdEM-PTZ volumetric To consider the use of the ROMET AdEM-PTZ corrector. volumetric corrector.

PSC-19-17-00004-P ...... exempt NYAW’s request to defer and amortize, for Consideration of NYAW’s petition to defer and future rate recognition, pension settlement amortize, for future rate recognition, pension payout losses incurred in 2016. payour losses incurred in 2016.

PSC-20-17-00007-P ...... exempt Minor rate ﬁling. To consider an increase in annual revenues of about $319,412 or 12.9%.

PSC-20-17-00008-P ...... exempt Compressed natural gas as a motor fuel for To consider a report ﬁled by National Grid NY diesel fueled vehicles. regarding the potential for adoption of compressed natural gas as a motor fuel.

PSC-20-17-00010-P ...... exempt Compressed natural gas as a motor fuel for To consider a report ﬁled by National Grid diesel fueled vehicles. regarding the potential for adoption of compressed natural gas as a motor fuel.

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 2nd Street, Brooklyn, New York.

PSC-21-17-00012-P ...... exempt Compensation for distributed generation To consider appropriate compensation and systems located at farms. policies for distributed generation systems located at farms.

PSC-21-17-00013-P ...... exempt The establishment and implementation of To consider the establishment and Earnings Adjustment Mechanisms. implementation of Earnings Adjustment Mechanisms.

PSC-21-17-00015-P ...... exempt Expansion of Energy Efﬁciency and Advanced To consider expanded Energy Efﬁciency and Metering Infrastructure Programs, and AMI programs and framework for implementing implementation of NWA framework. NWA projects and related cost recovery.

PSC-21-17-00018-P ...... exempt Proposed agreement for the provision of To consider a waiver and approval of terms of water service by Saratoga Water Services, a service agreement. Inc.

PSC-22-17-00004-P ...... exempt Financial incentives to create customer To consider the proposed Interconnection savings and develop market-enabling tools, Survey Process and Earnings Adjustment with a focus on outcomes and incentives Mechanisms

63 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-22-17-00006-P ...... exempt Revisions to the delivery discount and To consider revisions to the delivery discount monthly customer charge for SC No. 3 and and monthly customer charge for SC No. 3 and the commodity price for SC 15 the commodity price for SC 15

PSC-22-17-00007-P ...... exempt Certain Commission requirements related to To consider a change to certain Commission blockable central ofﬁce codes requirements related to blockable central ofﬁce codes

PSC-22-17-00008-P ...... exempt Petition to submeter electricity and waiver To consider the petition to submeter electricity request at 412-14 East 10th Street, New York, New York 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 to transfer cable systems in an internal restructuring.

PSC-23-17-00022-P ...... exempt Changes in regulation of ESCOs, including To ensure consumer protection for ESCO restrictions on or prohibitions of marketing or customers. offering certain products or services.

PSC-24-17-00006-P ...... exempt Development of the Utility Energy Registry. Improved data access.

PSC-24-17-00010-P ...... exempt Petition to submeter electricity. To consider the petition of Bay View Home Association, Inc. to submeter electricity at 671 47th Street Brooklyn, New York.

PSC-24-17-00014-P ...... exempt An alternative methodology for calculating To consider an alternative methodology for billing adjustments. calculating billing adjustments.

PSC-24-17-00015-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 522-528 LLC to submeter electricity at 509 Paciﬁc Street, Brooklyn, New York.

PSC-24-17-00016-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 56 Leonard Street Condominium to submeter electricity at 56 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 Charles Condominiums, LLC to submeter electricity at 1355 First Avenue, New York, NY

PSC-26-17-00005-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeter electricity at 125 Waverly Street, Yonkers, New York.

PSC-26-17-00006-P ...... exempt Notice of Intent to submeter electricity and To consider the Notice of Intent to submeter waiver request. electricity and waiver request.

PSC-27-17-00012-P ...... exempt Conclusion of the Energy Efﬁciency Portfolio To address the conclusion of EEPS programs, Standard 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-term To consider Corning to issue long-term indebtedness. indebtedness in the amount of $44,064,353.

64 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-27-17-00014-P ...... exempt Major electric rate ﬁling. To consider an increase in NMPC’s electric delivery revenues by approximately $326 million (or 13.0% in total revenues).

PSC-27-17-00017-P ...... exempt Major gas rate ﬁling. To consider an increase in NMPC’s gas delivery revenues by approximately $81 million (14.0% in total revenues).

PSC-28-17-00007-P ...... exempt Property tax reconciliation surcharge To consider the continued deferral of $487,095 in property taxes

PSC-28-17-00008-P ...... exempt FASB update on pension and OPEB net To consider whether to adopt the FASB update periodic costs

PSC-29-17-00006-P ...... exempt Petition to submeter gas. To consider the petition of LaGuardia Gateway Partners, to submeter gas at LaGuardia Airport Central Terminal B, Flushing, NY.

PSC-30-17-00026-P ...... exempt Notice of Intent to submeter electricity and To consider the Notice of Intent to submeter waiver request. electricity and waiver request of 16 NYCRR § 96.5(k)(3).

PSC-30-17-00028-P ...... exempt Proposed tariff filing to modify the Daily To consider tariff revisions modifying the Daily Delivery Service Program and the treatment Delivery Service Program and the treatment of of certain non-firm revenues. certain non-firm revenues.

PSC-30-17-00029-P ...... exempt Proposed amendments to the modiﬁed criteria To consider modifying the monetary remote net to grandfathering established in a December metering grandfathering criteria in response to 16, 2016 Order. a developer request.

PSC-30-17-00030-P ...... exempt Time of Use Rates. To consider the establishment of a new TOU rate for customers not currently taking service under Central Hudson’s TOU rate.

PSC-30-17-00031-P ...... exempt Proposed tariff ﬁling to implement electric rate To consider tariff revisions implementing options on a pilot basis for the Energy Smart electric rate options on a pilot basis for the Community Project. Energy Smart Community Project.

PSC-31-17-00007-P ...... exempt Notice of intent to submeter electricity To consider the notice of intent of 685 First Realty Compamy, LLC to submeter electricity at 685 1st Avenue, New York, New York

PSC-31-17-00008-P ...... exempt Petition to submeter electricity and waiver To consider the petition to submeter electricity request. and 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 Gas Distribution Corp. to issue up to $400 million in promissory notes

PSC-31-17-00010-P ...... exempt Notice of intent to submeter electricity To consider the notice of intent of 11737 Owners Corp. to submeter electricity at 117 East 37th Street, New York, New York

PSC-31-17-00011-P ...... exempt Notice of intent to submeter electricity and To consider the notice of intent to submeter waiver request electricity 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 of about $304,629 or 14%.

65 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-32-17-00006-P ...... exempt Petition to amend bill estimation procedures To consider the petition of Con Edison to for AMI. amend its current bill estimation procedures for AMI.

PSC-32-17-00007-P ...... exempt Petition to amend bill estimation procedures To consider the petition of Orange and for AMI. Rockland to amend its current bill estimation procedures for AMI.

PSC-32-17-00008-P ...... exempt Consideration of the National Grid companies’ To consider the National Grid companies’ Implementation Plan and audit Implementation Plan. recommendations.

PSC-32-17-00009-P ...... exempt Pilot project, request to include capital costs To consider the pilot project, request to include in rate base and deferral of incremental capital costs in rate base and deferral of expense. incremental expense.

PSC-32-17-00010-P ...... exempt Consideration of NFGD’s Implementation Plan To consider NFGD’s Implementation Plan. and audit recommendations.

PSC-32-17-00011-P ...... exempt Minor rate ﬁling. To consider an increase in annual revenues of about $625,974 or 14.6%.

PSC-32-17-00012-P ...... exempt Consideration of O&R’s Implementation Plan To consider O&R’s Implementation Plan. and audit recommendations.

PSC-32-17-00013-P ...... exempt Consideration of NYSEG and RG&E’s To consider the NYSEG and RG&E Implementation Plan and audit Implementation Plan. recommendations.

PSC-32-17-00014-P ...... exempt Consideration of Central Hudson’s To consider Central Hudson’s Implementation Implementation Plan and audit Plan. recommendations.

PSC-32-17-00015-P ...... exempt Consideration of Con Edison’s To consider Con Edison’s Implementation Plan. Implementation Plan and audit recommendations.

PSC-32-17-00016-P ...... exempt Initial Tariff Schedule and escrow account To consider the proposed Initial Tariff Schedule, which includes rates, charges, rules and initial rate, and escrow account. regulations for water service.

PSC-33-17-00012-P ...... exempt Notice of intent to submeter electricity. To consider the notice of intent of BOP Greenpoint G LLC to submeter electricity at 37 Blue Slip, Brooklyn, New York.

PSC-33-17-00013-P ...... exempt The obligation of electric utilities to pay for the To consider if National Grid should change its extension of electric service to residential practices and compensate the petitioners for developments. past charges.

PSC-33-17-00014-P ...... exempt Request for waiver of 16 NYCRR sections To consider the request of 8th and C HDFC for 96.2(b) and 96.5(m). waiver of 16 NYCRR sections 96.2(b) and 96.5(m).

PSC-33-17-00015-P ...... exempt Electric energy storage systems to import To consider revisions to P.S.C. No. 10 - from and export to Con Edison’s distribution Electricity related to electric energy storage system. systems.

PSC-33-17-00016-P ...... exempt Gas service to power generators. To consider proposals in the report regarding service to power generators and related proposed tariff revisions.

66 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-33-17-00017-P ...... exempt Notice of intent to submeter electricity. To consider the notice of intent of Bridge Land Vestry LLC to submeter electricity at 70 Vestry Street, New York, New York.

PSC-33-17-00018-P ...... exempt Notice of intent to submeter electricity. To consider the notice of intent to submeter electricity 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 74th Apartments Corp. to submeter electricity at 225 East 74th Street New York, New York.

PSC-33-17-00020-P ...... exempt Gas service to power generators. To consider proposals in the report regarding service to power generators and related proposed tariff revisions.

PSC-33-17-00021-P ...... exempt Notice of intent to submeter electricity. To consider the notice of intent of 1 DSA Owner LLC to submeter electricity at 242 Broome Street, New York, New York.

PSC-34-17-00005-P ...... exempt Proposed electric and gas energy efﬁciency To establish an energy efﬁciency budget and budget and metrics plan metrics plan for the Company’s electric and gas portfolios for the years 2017-2020

PSC-34-17-00006-P ...... exempt Proposed gas energy efﬁciency budget and To establish an energy efﬁciency budget and metrics plan metrics plan for the Company’s gas portfolio for the years 2017-2020

PSC-34-17-00007-P ...... exempt Proposed electric and gas energy efﬁciency To establish an energy efﬁciency budget and budget and metrics plan metrics plan for the Companies’ electric and gas portfolios for 2019-2020

PSC-34-17-00008-P ...... exempt Proposed electric and gas energy efﬁciency To establish an energy efﬁciency budget and budget and metrics plan metrics plan for the Company’s electric and gas portfolios for 2019-2020

PSC-34-17-00009-P ...... exempt Proposed electric and gas energy efﬁciency To establish an energy efﬁciency budget and budget and metrics plan metrics plan for the Company’s electric and gas portfolios for the years 2018-2020

PSC-34-17-00010-P ...... exempt Appointment of one company as a temporary To ensure safe and adequate gas service to operator of a gas utility system abandoned by customers in the service territory abandoned three separate companies by the owners of the gas system

PSC-34-17-00011-P ...... exempt Waiver to permit Energy Cooperative of To consider the petition for a waiver America to serve low-income customers

PSC-34-17-00012-P ...... exempt Proposed electric and gas energy efﬁciency To establish an energy efﬁciency budget and budget and metrics plan metrics plan for the Company’s electric and gas portfolios for the years 2017-2020

PSC-34-17-00013-P ...... exempt Proposed gas energy efﬁciency budget and To establish an energy efﬁciency budget and metrics plan metrics plan for the Company’s gas portfolio for the years 2017-2020

PSC-34-17-00014-P ...... exempt Proposed gas energy efﬁciency budget and To establish an energy efﬁciency budget and metrics plan metrics plan for the Company’s gas portfolio for the years 2017-2020

PSC-34-17-00015-P ...... exempt Notice of intent to submeter electricity To consider the notice of intent to submeter electricity and waiver request of 16 NYCRR § 96.5(k)(3)

67 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-34-17-00016-P ...... exempt Proposed transfer of ownership interests in To consider the proposed transfer of ownership the James A. FitzPatrick Nuclear Power Plant interests in the James A. FitzPatrick Nuclear and related assets Power Plant and related assets

PSC-34-17-00017-P ...... exempt Use of the Honeywell Mercury EC350 To consider the use of the Honeywell Mercury volumetric corrector in gas metering EC350 volumetric corrector in gas metering applications applications

PSC-34-17-00018-P ...... exempt Use of the Arteche UCE-7, URJ-17, VCE-17 To consider the use of the Arteche UCE-7, and CRB-17 transformers in electric metering URJ-17, VCE-17 and CRB-17 transformers in applications electric metering applications

PSC-34-17-00019-P ...... exempt Development of an aggregation standard for Improved energy data access to support state release of whole-building energy data to energy efﬁciency and demand reduction goals building owners

PSC-35-17-00007-EP ...... exempt Reviews, inspections, assessments, repairs To safeguard and maintain adequate electric and supplements to electrical systems and utility service to the MTA subway system equipment, and increased reporting

PSC-36-17-00008-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeter electricity at 233 Landing Road, Bronx, New York and waiver request.

PSC-36-17-00009-P ...... exempt Clariﬁcation of the Commission’s Order To consider Con Edison’s petition for Extending the BQDM Program. clariﬁcation of the Commission’s Order Extending BQDM Program.

PSC-36-17-00010-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of The Heritage Dean Street, LLC, to submeter electricity at 470 Dean St, Brooklyn, New York.

PSC-36-17-00011-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent to submeter electricity at 229 Cherry Street, New York, New York and waiver request.

PSC-36-17-00012-P ...... exempt Petition to amend bill estimation procedures To consider the petition of Con Edison to for AMI. amend its current bill estimation procedures for AMI.

PSC-36-17-00013-P ...... exempt Clariﬁcation of Weather Normalization To consider clariﬁcation of Weather Adjustment language. Normalization Adjustment language.

PSC-37-17-00004-P ...... exempt Community Distributed Generation To encourage the development of distributed compensation after Tranche 3. energy resources while managing impacts on non-participants.

PSC-37-17-00005-P ...... exempt Financial incentives to create customer To consider the revised Interconnection Survey savings and develop market-enabling tools, Process and Earnings Adjustment with a focus on outcomes and incentives. Mechanisms.

PSC-37-17-00006-P ...... exempt Petition to submeter electricity. To consider the petition of ACC OP (Park Point SU) LLC to submeter electricity at 417 Comstock Avenue, Syracuse, New York.

PSC-37-17-00007-P ...... exempt Lifeline Service that offers a discounted rate To consider changes to the Commission’s to service to qualifying low income requirements related to eligibility for the consumers. supplemental New York Lifeline discount.

PSC-37-17-00008-P ...... exempt Petition to move room air conditioning To consider Con Edison’s proposals made by programs to Rider L, make changes to Rider the petition and accompanying tariff ﬁling. L and continue the Connected Devices Pilot.

68 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-37-17-00009-P ...... exempt Fishers Island Water Works Corporation’s To consider an increase in Fishers Island rates for the provision of water. Water Works Corporation’s annual water revenues by approximately $296,031 or 44.5%.

PSC-37-17-00010-P ...... exempt Revisions to electric and gas Sales or To consider revisions to its electric and gas Delivery Service Application for Non- Sales or Delivery Service Application for Non- Residential Customers. Residential Customers.

PSC-39-17-00007-P ...... exempt Rider Q - Standby Rate Pilot. To consider the implementation of Rider Q - Standby Rate Pilot.

PSC-39-17-00008-P ...... exempt Petition to submeter electricity and waiver To consider the petition to submeter electricity request. and waiver request of 16 NYCRR § 96.5(k)(3).

PSC-39-17-00009-P ...... exempt Whether a proposed agreement for the To consider the terms of a service agreement provision of water service by Saratoga Water and waiver. Services, Inc. is in the public interest.

PSC-39-17-00010-P ...... exempt Waiver of certain rules and requirements To determine whether to waive any regulations. pertaining to cable television franchise.

PSC-39-17-00011-P ...... exempt Whether to direct New York State Electric & To determine ﬁnancial responsibility between Gas to complete electric facility upgrades at NYSEG and Hanehan for the electric service no charge to Hanehan. upgrades to Hanehan.

PSC-40-17-00004-P ...... exempt Notice of intent to submeter electricity and To consider the notice of intent to submeter waiver request electricity and waiver of 16 NYCRR § 96.5(k)(3)

PSC-40-17-00005-P ...... exempt Consequences pursuant to the Commission’s To consider whether to impose consequences Uniform Business Practices (UBP) on Flanders for its apparent non-compliance with Commission requirements

PSC-40-17-00006-P ...... exempt The aggregation of electric service for the To consider a waiver of National Grid’s tariff Empire State Plaza and the Sheridan Avenue provision requiring all electric delivery points to Steam Plant be on the same premises

PSC-40-17-00007-P ...... exempt Notice of intent to submeter electricity To consider the notice of intent of CPS Fee Company LLC to submeter electricity

PSC-40-17-00008-P ...... exempt Proposed transfer of interests in To consider proposed transfer of interests in Danskammer, issuance of long-term debt by Danskammer, issuance of long-term debt and owner and continuing lightened regulation continuing lightened regulation

PSC-40-17-00009-P ...... exempt Petition to issue and sell unsecured debt To consider Orange and Rockland’s request to obligations issue and sell unsecured debt obligations

PSC-40-17-00010-P ...... exempt Eligibility for Value of Distributed Energy To encourage the development of distributed Resource tariffs energy resources while managing impacts on non-participants

PSC-41-17-00003-P ...... exempt Petition to submeter electricity. To consider the petition of Hillside Association, Inc. to submeter electricity at 566 44th Street, Brooklyn, New York.

PSC-41-17-00005-P ...... exempt Notice of intent to submeter electricity. To consider the notice of intent of Sandy 350 LLC to submeter electricity at 350 Clarkson Avenue, Brooklyn, New York.

PSC-41-17-00006-P ...... exempt Major electric rate ﬁling. To consider an increase in CHG&E’s electric delivery revenues by approximately $43 million (or 7.9% in total revenues).

69 Action Pending Index NYS Register/October 18, 2017 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION

PSC-41-17-00007-P ...... exempt Major gas rate ﬁling. To consider an increase in CHG&E’s gas delivery revenues by approximately $18.1 million (or 12.3% in total revenues).

PSC-41-17-00008-P ...... exempt Petition to submeter electricity. To consider the petition of 1115 Fifth Avenue Corporation to submeter electricity at 1115 Fifth Avenue, New York, New York.

PSC-42-17-00004-P ...... exempt NYSRC’s revisions to its rules and To consider revisions to various rules and measurements. measurements of the NYSRC.

PSC-42-17-00005-P ...... exempt Complaint for review of rates charged for To consider the complaint ﬁled on January 3, water service to commercial and residential 2017 by Bristol customers. customers of water works corporation.

PSC-42-17-00006-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 45 John NY LLC to submeter electricity at 45 John Street, New York, New York.

PSC-42-17-00007-P ...... exempt Ampersand Kayuta Lake Hyrdo, LLC’s 460 To promote and maintain renewable electric kW hydroelectric facility in Boonville, New energy resources. York.

PSC-42-17-00008-P ...... exempt Ampersand Chasm Falls Hydro, LLC’s 1.6 To promote and maintain renewable electric MW hydroelectric facility in Chateaugay, New energy resources. York

PSC-42-17-00009-P ...... exempt To obtain a letter of credit and increase the To consider the Petitioner’s request for a letter currently capped debt. of credit and increase the currently capped debt.

PSC-42-17-00010-P ...... exempt Petition for rehearing of negative revenue To consider NFGD’s petition for rehearing. adjustment and contents of annual Performance Report.

STATE, DEPARTMENT OF

DOS-30-17-00001-P ...... 07/26/18 Esthetics curriculum and waxing procedures To update the qualifying curriculum for esthetics and ensure that waxing procedures are safe and sanitary.

DOS-31-17-00005-P ...... 08/02/18 Continuing education requirements To amend the education requirements to include 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 industry improvement and to make technical changes to existing text

DOS-42-17-00002-P ...... 10/18/18 Appraisal Standards To adopt the 2018-2019 edition of the Uniform Standards of Professional Appraisal Practice

STATE UNIVERSITY OF NEW YORK

SUN-06-17-00003-P ...... 02/08/18 proposed amendments to trafﬁc and parking Amend existing regulations to update trafﬁc regulations at SUNY Binghamton and parking regulations

SUN-30-17-00024-P ...... 07/26/18 The governance, structure and operations of Provide alternative teacher certiﬁcation SUNY authorized charter schools pertaining compliance pathways for SUNY charter schools to teacher compliance with strong student performance.

70 NYS Register/October 18, 2017 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

TAXATION AND FINANCE, DEPARTMENT OF

TAF-51-16-00002-EP ...... 12/21/17 Metropolitan Transportation Business Tax To provide metropolitan transportation business Surcharge tax rate for tax year 2017

TAF-35-17-00004-P ...... exempt Fuel use tax on motor fuel and diesel motor To set the sales tax component and the fuel and the art. 13-A carrier tax jointly composite rate per gallon for the period administered therewith October 1, 2017 through December 31, 2017

TAF-37-17-00002-P ...... 09/13/18 Reference to forms required to ﬁle a petition To delete parenthetical references to form or an exception with the Division of Tax numbers that are no longer in use, as the Appeals agency has updated and renumbered its forms

TEMPORARY AND DISABILITY ASSISTANCE, OFFICE OF

TDA-35-17-00005-P ...... 08/30/18 Application process for the Supplemental To align State regulations for SNAP application Nutrition Assistance Program (SNAP) process with federal statutory and regulatory requirements and SNAP policy

TDA-38-17-00002-EP ...... 09/20/18 Standard Utility Allowances (SUAs) for the These regulatory amendments set forth the Supplemental Nutrition Assistance Program federally-mandated and approved SUAs as of (SNAP) 10/1/17

TDA-39-17-00005-P ...... 09/27/18 Public Assistance (PA) budgetary method To update State regulations governing treatment of income in excess of standard of need in PA households, consistent with SSL § 131-n(1).

TDA-40-17-00002-P ...... 10/04/18 Support obligations To amend State regulations concerning support obligations to reﬂect federal statutory requirements and current terminology used by the child support program, and to conform regulatory citations with federal and State laws

WORKERS’ COMPENSATION BOARD

WCB-36-17-00015-P ...... 09/06/18 Permanent Impairment Guidelines for Incorporate Workers’ Compensation Schedule Loss of Use Determinations Impairment Guidelines for determination of permanent impairment

SECURITIES OFFERINGS

STATE NOTICES Hidden Champion Fund 5th Fl., Barkly Wharf, Le Caudan Waterfront, Port Louis, Republic of Published pursuant to provisions of General Business Law Mauritius [Art. 23-A, § 359-e(2)] State or country in which incorporated — Republic of Mauritius

DEALERS; BROKERS Hirtle Callaghan Special Opportunities SPC Closed-End Segregated Portfolio 3 c/o Hirtle, Callaghan & Co., 300 Barr Harbor Dr., Suite 500, West 16 Curlin/Sister Diane, LLC Conshohocken, PA 19428 800 Arbor Dr. N, Louisville, KY 40223 State or country in which incorporated — Cayman Islands

AHAlife Holdings Limited IIFL Global Wealth Fund Ltd. 147 Front St., #301, Brooklyn, NY 11201 c/o Trident Trust Company (Mauritius) Limited, 5th Fl., Barkly Wharf, State or country in which incorporated — Australia Le Caudan Waterfront, Port Louis, Republic of Mauritius State or country in which incorporated — Bermuda Alta Park Fund Onshore, LP One Letterman Dr., Bldg. C, Suite CM-400, San Francisco, CA 94129 IIFL Opportunities Fund 8 Partnership — Alta Park Partners, LLC, general partner c/o Trident Trust Company (Mauritius) Limited, 5th Fl., Barkly Wharf, Le Caudan Waterfront, Port Louis, Republic of Mauritius Alumina Management, LLC State or country in which incorporated — Republic of Mauritius 838 6th Ave., 5th Fl., New York, NY 10001 IIFL Opportunities Fund 9 Bienville Global Opportunities Fund, LP c/o Trident Trust Company (Mauritius) Limited, 5th Fl., Barkly Wharf, 521 Fifth Ave., 35th Fl., New York, NY 10175 Le Caudan Waterfront, Port Louis, Republic of Mauritius Partnership — BGOF GP, LLC, general partner State or country in which incorporated — Republic of Mauritius

Bienville Global Opportunities Offshore Fund, Ltd. Ion Paciﬁc Peak I LLC 521 Fifth Ave., 35th Fl., New York, NY 10175 9/F Central 88, 88 Des Voeux Rd. Central, Hong Kong, China

Blu Fund Trading Partners, LP JKL Equipment LLC c/o Trident Trust Company (BVI) Limited, Wickhams Cay, Trident 201 Watauga Ave., Corning, NY 14830 Chambers, Road Town, Tortola, BVI State or country in which incorporated — New York Partnership — Alfa International, Inc. Lugard Road Capital, LP Covenant Apartment Fund IX, L.P. 1114 Avenue of the Americas, 28th Fl., New York, NY 10036 4515 Harding Rd., Suite 210, Nashville, TN 37205 Partnership — Lugard Road Capital GP, LLC Partnership — Covenant Apartment Investors IX, LLC Marvel Trading, LLC Covenant Apartment Fund IX (Institutional), L.P. 2104 10th St. NW, Washington, D.C. 20001 4515 Harding Rd., Suite 210, Nashville, TN 37205 Partnership — Covenant Apartment Investors IX, LLC MidOcean Partners V, L.P. 320 Park Ave., Suite 1600, New York, NY 10022 Decision Sciences International Corporation Partnership — MidOcean Associates V, L.P. 12345 First American Way, Poway, CA 92064 State or country in which incorporated — Delaware N. Ocean Capital 344, LLC DOC.AI Incorporated c/o National Realty Investment Advisors, LLC, 1325 Paterson Plank 540 Bryant St., Suite 200, Palo Alto, CA 94301 Rd., 2nd Fl., Secaucus, NJ 07094 State or country in which incorporated — Delaware State or country in which incorporated — Florida limited liability company Envoy Park Overland Investors, LLC 1363 Shermer, Suite 309, Northbrook, IL 60062 Northwoods Capital Equity Holdings I, L.P. State or country in which incorporated — Delaware limited liability c/o Angelo, Gordon & Co., L.P., 245 Park Ave., New York, NY 10167 company Partnership — Northwoods Capital Equity Holdings I GP LLC

73 Securities Offerings NYS Register/October 18, 2017

OneTen Capital Vader Fund, LLC VP Distributors LLC 385 Crosspoint Pkwy., Suite 104, Getzville, NY 14068 101 Munson St., Greenﬁeld, MA 01301 State or country in which incorporated — Delaware State or country in which incorporated — Delaware

Presidium Jacksonville Partner, LLC WealthForge Securities, LLC 3100 McKinnon St., Suite 250, Dallas, TX 75201 6800 Paragon Place, Suite 200, Richmond, VA 23230 State or country in which incorporated — Texas State or country in which incorporated — Virginia

Prime Storage Urban Opportunity Co-Invest, LP Wheels Up Partners Holdings LLC c/o Prime Group Holdings, LLC, 85 Railroad Place, Saratoga Springs, 220 W. 42nd St., 9th Fl., New York, NY 10036 NY 12866 State or country in which incorporated — Delaware limited liability company Partnership — Prime Storage Fund II GP, LLC Windjammer Senior Equity Fund V, L.P. Riverview Financial Corporation 610 Newport Center Dr., Suite 1100, Newport Beach, CA 92660 3901 N. Front St., Harrisburg, PA 17110 Partnership — Windjammer Capital Investors V, L.P. State or country in which incorporated — Pennsylvania

Round Hill Music Carlin Coinvest, LP 650 5th Ave., 14th Fl., New York, NY 10019 Partnership — Round Hill Music Royalty Fund II GP LP

SCP Core Equity, LP 25 Orinda Way, Suite 300, Orinda, CA 94563 Partnership — SCP Core Equity, LP

Serent Capital III, L.P. One Embarcadero Center, Suite 1680, San Francisco, CA 94111 Partnership — Serent Capital Partners III, L.P.

Serent Capital Associates III, L.P. One Embarcadero Center, Suite 1680, San Francisco, CA 94111 Partnership — Serent Capital Partners III, L.P.

SNM Global Holdings, Inc. 7950 NW. 53rd St., Suite 337, Miami, FL 33166 State or country in which incorporated — Nevada

StartEngine Crowdfunding, Inc. 925 N. La Brea Ave., Los Angeles, CA 90038 State or country in which incorporated — Delaware

Summit Partners Credit Fund III, L.P. 222 Berkeley St., 18th Fl., Boston, MA 02116 Partnership — Summit Partners Credit III, L.P.

Summit Partners Credit Offshore Fund III, L.P. 222 Berkeley St., 18th Fl., Boston, MA 02116 Partnership — Summit Partners Credit III, L.P.

TheMaven, Inc. 5048 Roosevelt Way NE, Seattle, WA 98105 State or country in which incorporated — Nevada

THL Credit Bank Loan Select Fund (Offshore) 227 W. Monroe St., Suite 3200, Chicago, IL 60606 State or country in which incorporated — Cayman Islands

Thoma Bravo Discover Fund II, L.P. 300 N. LaSalle St., Suite 4350, Chicago, IL 60654 Partnership — Thoma Bravo Discover Partners II, L.P.

Thoma Bravo Discover Fund II-A, L.P. 300 N. LaSalle St., Suite 4350, Chicago, IL 60654 Partnership — Thoma Bravo Discover Partners II, L.P.

To the Stars Academy of Arts and Science Inc. 1051 S. Coast Hwy. 101, Suite B, Encinitas, CA 92024 State or country in which incorporated — Delaware

74 ADVERTISEMENTS FOR BIDDERS/CONTRACTORS SEALED BIDS facility grounds without proper photo identification. Note that parking restrictions and security provisions will apply and all vehicles will be subject to search. REHABILITATE For assistance pertaining to the site visit only, please phone Daniel ROADWAYS/WALKWAYS MacCormack (518) 822-1931. Brookwood Secure Center Pursuant to New York State Executive Law Article 15-A and the Claverack, Columbia County rules and regulations promulgated thereunder, OGS is required to promote opportunities for the maximum feasible participation of New Sealed bids for Project No. Q1665-C, for Construction Work, York State-certified Minority- and Women-owned Business Enter- Rehabilitate Roadways and Walkways, Brookwood Secure Center, prises (“MWBEs”) and the employment of minority group members 419 County Road 29, Claverack (Columbia County), NY, will be and women in the performance of OGS contracts. All bidders are received by the Office of General Services (OGS), Design & Construc- tion Group (D&C), Division of Contract Management, 35th Fl., Corn- expected to cooperate in implementing this policy. OGS hereby ing Tower, Empire State Plaza, Albany, NY 12242, on behalf of the establishes an overall goal of 30% for MWBE participation, 15% for Office of Children and Family Services, until 2:00 p.m. on Wednes- Minority-Owned Business Enterprises (“MBE”) participation and day, October 18, 2017, when they will be publicly opened and read. 15% for Women-Owned Business Enterprises (“WBE”) participation Each bid must be prepared and submitted in accordance with the (based on the current availability of qualified MBEs and WBEs). The Instructions to Bidders and must be accompanied by a certified check, total contract goal can be obtained by utilizing any combination of bank check, or bid bond in the amount of $45,500 for C. MBE and /or WBE participation for subcontracting and supplies All successful bidders will be required to furnish a Performance acquired under this Contract. Bond and a Labor and Material Bond in the statutory form of public The Office of General Services reserves the right to reject any or all bonds required by Sections 136 and 137 of the State Finance Law, bids. each for 100% of the amount of the Contract estimated to be between The Bidding and Contract Documents for this Project are available $1,000,000 and $2,000,000 for C. on compact disc (CD) only, and may be obtained for an $8.00 deposit Pursuant to State Finance Law §§ 139-j and 139-k, this solicitation per set, plus a $2.00 per set shipping and handling fee. Contractors includes and imposes certain restrictions on communications between and other interested parties can order CD’s on-line through a secure OGS D&C and a bidder during the procurement process. A bidder is web interface available 24 hours a day, 7 days a week. Please use the restricted from making contacts from the earliest posting, on the OGS following link at the OGS website for ordering and payment website, in a newspaper of general circulation, or in the Contract instructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp. Reporter of written notice, advertisement or solicitation of offers For questions about purchase of bid documents, please send an through final award and approval of the contract by OGS D&C and e-mail to [email protected], or call (518) 474-0203. the Office of the State Comptroller (“Restricted Period”) to other than For additional information on this project, please use the link below designated staff unless it is a contact that is included among certain and then click on the project number: https://online.ogs.ny.gov/dnc/ statutory exceptions set forth in State Finance Law § 139-j(3)(a). contractorConsultant/esb/ESBPlansAvailableIndex.asp. Designated staff are Jessica Hoffman, Carl Ruppert and Pierre Alric in the Division of Contract Management, telephone (518) 474-0203, fax (518) 473-7862 and John Lewyckyj, Deputy Director, Design & By John D. Lewyckyj, Deputy Director Construction Group, telephone (518) 474-0201, fax (518) 486-1650. OGS - Design & Construction Group OGS D&C employees are also required to obtain certain information when contacted during the restricted period and make a determination of the responsibility of the bidder pursuant to these two statutes. Certain findings of non-responsibility can result in rejection for contract award and in the event of two findings within a four-year period, the bidder is debarred from obtaining governmental Procurement Contracts. Bidders responding to this Advertisement must familiarize themselves with the State Finance Law requirements and will be expected to affirm that they understand and agree to comply on the bid form. Further information about these requirements can be found within the project manual or at: http://www.ogs.ny.gov/aboutOGS/ regulations/defaultAdvisoryCouncil.html The substantial completion date for this project is 175 days after the Agreement is approved by the Comptroller. The only time prospective bidders will be allowed to visit the job site to take field measurements and examine existing conditions of the project area will be at 10:00 a.m. on October 6, 2017 at Brookwood Secure Center, 419 Route 29, Claverack, NY. Prospective bidders are urged to visit the site at this time. Prospective bidders or their representatives attending the pre-bid site visit will not be admitted on

MISCELLANEOUS NOTICES/HEARINGS

Notice of Abandoned Property groundwater withdrawal of up to 0.220 mgd (30-day average) from Received by the State Comptroller Well 2 (Docket No. 19870602). 2. Project Sponsor and Facility: Brymac, Inc. dba Mountain View Pursuant to provisions of the Abandoned Property Law and related Country Club (Pond 3/4), Harris Township, Centre County, Pa. Ap- laws, the Office of the State Comptroller receives unclaimed monies plication for surface water withdrawal of up to 0.240 mgd (peak day). and other property deemed abandoned. A list of the names and last 3. Project Sponsor and Facility: Cabot Oil & Gas Corporation (East known addresses of the entitled owners of this abandoned property is Branch Tunkhannock Creek), Lenox Township, Susquehanna County, maintained by the office in accordance with Section 1401 of the Pa. Application for surface water withdrawal of up to 1.000 mgd (peak Abandoned Property Law. Interested parties may inquire if they ap- day). pear on the Abandoned Property Listing by contacting the Office of Unclaimed Funds, Monday through Friday from 8:00 a.m. to 4:30 4. Project Sponsor and Facility: Cabot Oil & Gas Corporation p.m., at: (Meshoppen Creek), Lemon Township, Wyoming County, Pa. Modifi- cation to increase surface water withdrawal by an additional 0.500 1-800-221-9311 mgd (peak day), for a total surface water withdrawal of up to 1.000 or visit our web site at: www.osc.state.ny.us mgd (peak day) (Docket No. 20170302). Claims for abandoned property must be filed with the New York 5. Project Sponsor and Facility: Chesapeake Appalachia, L.L.C. State Comptroller’s Office of Unclaimed Funds as provided in Section (Susquehanna River), Athens Township, Bradford County, Pa. Ap- 1406 of the Abandoned Property Law. For further information contact: plication for renewal of surface water withdrawal of up to 0.750 mgd Office of the State Comptroller, Office of Unclaimed Funds, 110 State (peak day) (Docket No. 20131202). St., Albany, NY 12236. 6. Project Sponsor and Facility: Houtzdale Municipal Authority, Gulich Township, Clearfield County, Pa. Application for groundwater NOTICE OF withdrawal of up to 1.008 mgd (30-day average) from Well 14R. 7. Project Sponsor and Facility: LHP Management, LLC (Fishing PUBLIC HEARING Creek), Bald Eagle Township, Clinton County, Pa. Application for Susquehanna River Basin Commission surface water withdrawal of up to 0.999 mgd (peak day). SUMMARY: The Susquehanna River Basin Commission will hold 8. Project Sponsor and Facility: Martinsburg Municipal Authority, a public hearing on November 2, 2017, in Harrisburg, Pennsylvania. North Woodbury Township, Blair County, Pa. Application for renewal At this public hearing, the Commission will hear testimony on the of groundwater withdrawal of up to 0.346 mgd (30-day average) from projects listed in the Supplementary Information section of this notice. Wineland Well 3 (Docket No. 19870304). Such projects are intended to be scheduled for Commission action at 9. Project Sponsor and Facility: Borough of Mifflinburg, West Buf- its next business meeting, tentatively scheduled for December 7, 2017, falo Township, Union County, Pa. Modification to request a reduction which will be noticed separately. The public should take note that this in the withdrawal rate of Well PW-2 from 0.554 mgd to 0.396 mgd public hearing will be the only opportunity to offer oral comment to (30-day average), and to eliminate wetlands monitoring condition the Commission for the listed projects. The deadline for the submis- (Docket No. 20141203). sion of written comments is November 13, 2017. 10. Project Sponsor and Facility: Repsol Oil & Gas USA, LLC DATES: The public hearing will convene on November 2, 2017, at (Choconut Creek), Choconut Township, Susquehanna County, Pa. Ap- 2:30 p.m. The public hearing will end at 5:00 p.m. or at the conclusion plication for renewal of surface water withdrawal of up to 0.999 mgd of public testimony, whichever is sooner. The deadline for the submis- (peak day) (Docket No. 20131211). sion of written comments is November 13, 2017. 11. Project Sponsor and Facility: Schuylkill Energy Resources, Inc., ADDRESSES: The public hearing will be conducted at the Pennsyl- Mahanoy Township, Schuylkill County, Pa. Application for renewal vania State Capitol, Room 8E-B, East Wing, Commonwealth Avenue, of groundwater withdrawal of up to 5.000 mgd (30-day average) from Harrisburg, Pa. Maple Hill Mine Shaft Well (Docket No. 19870101). FOR FURTHER INFORMATION CONTACT: Jason Oyler, Gen- 12. Project Sponsor and Facility: Schuylkill Energy Resources, Inc., eral Counsel, telephone: (717) 238-0423, ext. 1312; fax: (717) 238- Mahanoy Township, Schuylkill County, Pa. Application for renewal 2436. of consumptive use of up to 2.550 mgd (peak day) (Docket No. Information concerning the applications for these projects is avail- 19870101). able at the SRBC Water Application and Approval Viewer at http:// 13. Project Sponsor: SUEZ Water Pennsylvania Inc. Project mdw.srbc.net/waav. Additional supporting documents are available to Facility: Shavertown Operation, Dallas Township, Luzerne County, inspect and copy in accordance with the Commission’s Access to Re- Pa. Application for groundwater withdrawal of up to 0.288 mgd (30- cords Policy at www.srbc.net/pubinfo/docs/2009-02_Access_to_ day average) from the Salla Well. Records_Policy_20140115.pdf. 14. Project Sponsor and Facility: SWN Production Company, LLC SUPPLEMENTARY INFORMATION: The public hearing will (Lycoming Creek), Lewis Township, Lycoming County, Pa. Applica- cover the following projects: tion for renewal of surface water withdrawal of up to 0.500 mgd (peak Projects Scheduled for Action: day) (Docket No. 20131209). 1. Project Sponsor and Facility: Beech Creek Borough Authority, 15. Project Sponsor and Facility: SWN Production Company, LLC Beech Creek Borough, Clinton County, Pa. Application for renewal of (Lycoming Creek), McIntyre Township, Lycoming County, Pa. Ap-

77 Miscellaneous Notices/Hearings NYS Register/October 18, 2017 plication for renewal of surface water withdrawal of up to 0.500 mgd list of beneficiaries and estates, unless previously paid to the claimant, (peak day) (Docket No. 20131210). the amounts shall be deemed abandoned and placed in the pension ac- 16. Project Sponsor and Facility: Village of Waverly, Tioga County, cumulation fund to be used for the purpose of said fund. N.Y. Application for groundwater withdrawal of up to 0.320 mgd (30- Any amounts so deemed abandoned and transferred to the pension day average) from Well 1. accumulation fund, may be claimed by the executor or administrator 17. Project Sponsor and Facility: Village of Waverly, Tioga County, of the estates or beneficiaries so designated to receive such amounts, N.Y. Application for groundwater withdrawal of up to 0.480 mgd (30- by filing a claim with the State Comptroller. In the event such claim is day average) from Well 2. properly made, the State Comptroller shall pay over to the estates or to 18. Project Sponsor and Facility: Village of Waverly, Tioga County, the person or persons making such claim, the amount without interest. N.Y. Application for groundwater withdrawal of up to 0.470 mgd (30- ABDI,MURJAN SYRACUSE NY day average) from Well 3. ALSTON,JAMES SCHENECTADY NY Opportunity to Appear and Comment: ANDERSON,MARION P BROOKLYN NY Interested parties may appear at the hearing to offer comments to ARCULEO,MICHAEL WANTAGH NY the Commission on any project listed above. The presiding officer ARCULEO,THOMAS FREEPORT NY reserves the right to limit oral statements in the interest of time and to AYERS,RONALD WOONSOCKET RI otherwise control the course of the hearing. Guidelines for the public hearing will be posted on the Commission’s website, www.srbc.net, BACKER,KRISTIN MAPLE SHADE NJ prior to the hearing for review. The presiding officer reserves the right BAILEY,KENNETH F CINCINNATI NJ to modify or supplement such guidelines at the hearing. Written com- BALDWIN,TRICA SCHENECTADY NY ments on any project listed above may also be mailed to Mr. Jason BARBY,LOIS MOUNT VERNON NY Oyler, General Counsel, Susquehanna River Basin Commission, 4423 North Front Street, Harrisburg, Pa. 17110-1788, or submitted elec- BARNEY,CONNOR J HEUVELTON NY tronically through www.srbc.net/pubinfo/publicparticipation.htm. BARNEY,KATHRYN E HEUVELTON NY Comments mailed or electronically submitted must be received by the BARRETT,DUSTIN S LONOKE NY Commission on or before November 13, 2017, to be considered. BEAVERS,DAVID WAKE FOREST VA AUTHORITY: Pub. L. 91-575, 84 Stat. 1509 et seq., 18 CFR Parts BELL,DAVID E SYRACUSE NY 806, 807, and 808. BERNINGER,CHRISTIAN MIDVALE UT Dated: September 29, 2017. BEY,MAKHAYIL A ESTATE OF OXFORD NY Stephanie L. Richardson, BOUZY,TANIA E BROOKLYN NY Secretary to the Commission. BOYD,LINDA BUFFALO NY BRENNAN,KIMBERLY TOWANDA PA PUBLIC NOTICE BRENNAN,ROBERT W MONNEOTA PA Division of Criminal Justice Services BRESLIN,PAUL HANKINS NY DNA Subcommittee BRIGGS,PHILLIP M ALBANY NY Pursuant to Public Officers Law section 104, the Division of Crimi- BUKATY,MARY A ESTATE OF LACKAWANNA NY nal Justice Services gives notice of a meeting of the DNA Subcommit- tee to be held on: CAMPISI,MEGHAN NEW HYDE PARK NY Date: November 3, 2017 CARTER,JAMES ESTATE OF..... NY Time: 9:30 am – 11:30 am CHICCO,KATHLEEN JACKSONVILLE FL Place: Empire State Development Corporation (ESDC) CLARK,HILDA P ESTATE OF REDFORD NY 633 3rd Ave. CLARKE,DONNA M WASHINGTON DC 37th Fl. Board Rm. COOLEY,CARMEN M FULLERTON CA New York, NY CORTEZ,JUANITA FAR ROCKAWAY DE Identification and sign-in are required at this location. For further CROMWELL,HOWARD ESTATE OF NEW MILFORD CT information, or if you need a reasonable accommodation to attend CRONKHITE,DONALD ESTATE OF SACRAMENTO CA this meeting, contact: Catherine White, Division of Criminal Justice CUTRONA,MARIANNE J BROOKLYN NY Services, Office of Forensic Services, 80 S. Swan St., Albany, NY, DADDONA,COLLEEN PUTNAM VALLERY NY (518) 485-5052 DE CARLO,JOHN R ESTATE OF PORT CHESTER NY DE VITO,WILMA I SUFFERN NY PUBLIC NOTICE DICKENSON,REGINAL ALBANY NY New York State and Local Retirement Systems DINKINS,KERON D FLUSHING NY Unclaimed Amounts Payable to Beneficiaries DRAKE,KAYLAH E OCEANSIDE NY Pursuant to the Retirement and Social Security Law, the New York DRAKE,MICHAEL J OCEANSIDE NY State and Local Retirement Systems hereby gives public notice of the amounts payable to beneficiaries. DRAKE,MICHAEL J,JR OCEANSIDE NY The State Comptroller, pursuant to Sections 109 (a) and 409 (a) of EADS,MARYELLEN CALVERTON NY the Retirement and Social Security Law has received, from the New EDWARDS,DAVID MARK ELMIRA NY York State and Local Retirement Systems, a listing of beneficiaries or ELLIOTT,GARRY ALBANY NY estates having unclaimed amounts in the Retirement System. A list of ELLIOTT,LORIA ALBANY NY the names contained in this notice is on file and open to public inspec- ELLIOTT,RUFUS ROCHESTER NY tion at the office of the New York State and Local Retirement Systems located at 110 State St., in the City of Albany, New York. FINCH,EDWARD ESTATE OF SUN CITY WEST AZ Set forth below are the names and addresses (last known) of benefi- FOLEY,JOSEPH G ESTATE OF CAZENOVIA NY ciaries and estates appearing from the records of the New York State FORSYTHE,PAULINE J ESTATE OF ONEIDA NY and Local Retirement Systems, entitled to the unclaimed benefits. GAYLE,MAYAAMITYVILLE NY At the expiration of six months from the date of publication of this GEE,WILLIAM ESTATE OF NIAGARA FALLS NY

78 NYS Register/October 18, 2017 Miscellaneous Notices/Hearings

GIACOMINI O NEIL,SHARON NAPLES FL RYAN,SHEILA JAMESVILLE NY GOLIK,EDWARD J ESTATE OF CHARLOTTE NC SADIN,THERESA ESTATE OF NEW HYDE PARK NY GRIFFITHS,MARC BRONX NY SCRIVENER,DENNIS ULSTER PA GROLL,WILLIAM J TONAWANDA NY SEYBERT,MARY ESTATE OF PORTVILLE NY GROOM,TERRI MOUNT VERNON NY SEYMOUR,GLENN MAHOPAC NY GUZMAN,MARCHELLA UTICA NY SHAVE JR,STEPHEN J HOUTZDALE PA HARMAN,FRANK E ESTATE OF CLEARWATER FL SNYDER,DAVID H MEXICO NY HENDERSON,ERICA SHIRLEY NY SORHAINDO,JEANNE MARIE BRENTWOOD CA HENSON,EILEEN MARY NEW LONDON FL ST LOUIS,CYNTHIA S RANDALLSTOWN NY HILLABUSH,BARBARA BATAVIA NY ST LOUIS,RANDOLPH RANDALLSTOWN NY HO,CHOO NUNG...... SWINSON,MESSIAH ISLIP NY HUDSON,ELBERT J SYRACUSE NY SZABLINSKI,DENNIS ESTATE OF SAINT CLOUD FL HUNSINGER,KAREN NICHOLS NY TINNELLY,SHARON ESTATE OF SLATE HILL NY HUNSINGER,KATIE NICHOLS NY TRUSTEE OF TRUST, EAST AMHERST NY HUNSINGER,KOREY NICHOLS NY VALENTIN,CARMEN ESTATE OF SAN SEBASTIAN PR HUNTLEY,ANDREA CHARLESTON SC VINCELLI,ETHAN G BYRON NY JOO,CHOO YON...... VIRGIL,ALDRO BINGHAMTON NY KAGAN,ELLA NEW YORK NY VIRGIL,KATHRYN BINGHAMTON NY KELLEY,ANNA M ESTATE OF BRONX NY WALKER,GERALDINE ESTATE OF GREENSBORO NC KEOHAN,MADELINE L TRUST PORT ORANGE FL WALTON,DAVIS ESTATE OF OAKLAND CA KILLIAN,DOROTHY M ESTATE OF THE VILLAGES FL WATERMAN,ROBERT G ESTATE OF NORTH CHILI NY KOCH,DAVID C BATAVIA SC WEILBACHER,CHAD EAST NORTHPORT NY KOCH,DEBORAH A BATAVIA SC WEST,BONNIE A ESTATE OF ROCHESTER NY KRINICK,BONNIE VALLEY STREAM NY WHALEN,EUGENE LAKE KATRINE NY LE GROW,HELEN R ISLIP NY WHITE,NORMAN ESTATE OF BUFFALO NY LESSIK,HELENA ESTATE OF UNIONDALE NY WILLIAMS,CAROLYN ST ALBANS NY MACK,ZAI-LEE BROOKE MOUNT VERNON NY WILLIAMS,JOYCELYN NEW YORK NY MACKS,TIANE JAMAICA NY WRIGHT,JANE LEVY WHITE PLAINS NY MARA,QUINN BUFFALO NY WRIGHT,MICHELLE WHITE PLAINS NY MARCUS,LILLIAN E ROCHESTER NY YAGODA,ROSALIND LEE MA MARTIN,BETTY E ESTATE OF OSWEGO NY ZACCARDO,SANTA ESTATE OF WEBSTER NY MASH,GRACE ESTATE OF PLANTATION NY ZOSZAK,FRANK E WATERVLIET NY MENDEZ,JOSE LUIS HAVERSTRAW NY MENDEZ,JULIA HAVERSTRAW NY PUBLIC NOTICE MIERZWH,JEAN...... Department of State MILLER,ERIC S CANAAN NY F-2017-0425 Date of Issuance – October 18, 2017 MONGONI,ANGELA C ESTATE OF CEDARHURST NY MORGAN,BREANNA MONKS CORNERS SC The New York State Department of State (DOS) is required by Federal regulations to provide timely public notice for the activities MORGAN,MEGAN MONKS CORNERS SC described below, which are subject to the consistency provisions of MORGAN,MIRANDA MONKS CORNERS NC the Federal Coastal Zone Management Act of 1972, as amended. MORGENSTERN,RALPH M ESTATE OF SYOSSET NY The applicant has certified that the proposed activity complies with MORTON,VALERIE LAUREN MILLER PLACE NY and will be conducted in a manner consistent with the approved New MOYER,JUDITH ANN S VESTAL NY York State Coastal Management Program. The applicant’s consis- MUNSON,JAMES V PEARL RIVER NY tency certification and accompanying public information and data are available for inspection at the New York State Department of State of- MUNSON,MARY A ESTATE OF BABYLON NY fices located at One Commerce Plaza, 99 Washington Avenue, in NEUMEISTER,MICHELLE A SILVER CREEK NY Albany, New York. NICHOLS,MARGUERITE ESTATE OF NIANTIC CT In F-2017-0425, Sunscape at Bayshore HOA, Inc., is proposing the NORRIS,CHELSEA ANNE WINDSOR NY Hyde Canal Pier Reconstruction Project at 75 Boathouse Lane, Town NOVAK,WILLIAM P ALBANY NY of Islip, & Suffolk County. The applicant proposes to reconstruct the east side of a non-functional timber pier as a free-standing timber/ O GRADY,JAMES KINGS PARK NY vinyl jetty approximately 120 feet in length, reconstruct approximately PATTERSON,SHERRI L CORNING VA 75 feet of freestanding timber/vinyl jetty in-place, and reconstruct ap- PEARSON,DAVID LOCKPORT NY proximately 230 feet of timber, vinyl bulkhead in-place. PHILLIPS HUGHES,SANDRA CHEEKTOWAGA NY The proposed activities would be partially undertaken in the State- PUETZ,WILLIAM ESTATE OF MIDDLETOWN TN designated Significant Coastal Fish and Wildlife Habitat (SCFWH) QUINLASS,JENNIFER PORT JERVIS NY unit of the Great South Bay-West. Information on this habitat to be evaluated in considering this project may be found on the Office of QUINLASS,KAITLYN ALBANY NY Planning and Development’s website: http://www.dos.ny.gov/opd/ QUINLASS,MICHAEL YOUNGSVILLE NY programs/consistency/scfwhabitats.html ROLDAN,BERNARDO ESTATE OF BRENTWOOD NY Any interested parties and/or agencies desiring to express their RUSSELL,AVIANNA UTICA NY views concerning any of the above proposed activities may do so by

79 Miscellaneous Notices/Hearings NYS Register/October 18, 2017

filing their comments, in writing, no later than 4:30 p.m., 30 days from filing their comments, in writing, no later than 4:30 p.m., 30 days from the date of publication of this notice, or, November 18, 2017. the date of publication of this notice, or, November 18, 2017. Comments should be addressed to the Consistency Review Unit, Comments should be addressed to the Consistency Review Unit, Department of State, Office of Planning and Development, One Com- Department of State, Office of Planning and Development, One Com- merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-6000, merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-6000, Fax (518) 473-2464. Electronic submissions can be made by email at: Fax (518) 473-2464. Electronic submissions can be made by email at: [email protected] [email protected] This notice is promulgated in accordance with Title 15, Code of This notice is promulgated in accordance with Title 15, Code of Federal Regulations, Part 930. Federal Regulations, Part 930.

PUBLIC NOTICE PUBLIC NOTICE Department of State Department of State F-2017-0501 F-2017-0570 Date of Issuance – October 18, 2017 Date of Issuance – October 18, 2017 The New York State Department of State (DOS) is required by The New York State Department of State (DOS) is required by Federal regulations to provide timely public notice for the activities Federal regulations to provide timely public notice for the activities described below, which are subject to the consistency provisions of described below, which are subject to the consistency provisions of the Federal Coastal Zone Management Act of 1972, as amended. the Federal Coastal Zone Management Act of 1972, as amended. The applicant has certified that the proposed activity complies with The applicant has certified that the proposed activity complies with and will be conducted in a manner consistent with the approved New and will be conducted in a manner consistent with the approved New York State Coastal Management Program. The applicant’s consis- York State Coastal Management Program. The applicant’s consistency certification and accompanying public information and data are tency certification and accompanying public information and data are available for inspection at the New York State Department of State of- available for inspection at the New York State Department of State offices located at One Commerce Plaza, 99 Washington Avenue, in fices located at One Commerce Plaza, 99 Washington Avenue, in Albany, New York. Albany, New York. In F-2017-0501, 91 West LLC, is proposing the 91 West Street In F-2017-0570, Manna Fish Farms, is proposing to develop a com- Mooring Facility Project at 91 West Street in the Borough of Brooklyn, mercial, open ocean, multi-trophic farm on a 1.5-square mile lease site Kings County. The applicant proposes to drive piles approximately 55 located approximately 8 miles east-southeast of Shinnecock Inlet in feet seaward of the existing top of bank along the East River. A remov- the Atlantic Ocean. The applicant proposes to install up to 24 able temporary catwalk (6 feet x 60 feet) would extend from the shore submersed fish containment cages and pens over an initial project to the piles to provide access to excursion vessels. term spanning 10 years (2018-2028). Plans also include the seasonal Any interested parties and/or agencies desiring to express their installation of long lines (approx. 1,000 ft each) to support native sugar views concerning any of the above proposed activities may do so by kelp and scallop aquaculture. filing their comments, in writing, no later than 4:30 p.m., 30 days from Any interested parties and/or agencies desiring to express their the date of publication of this notice, or, November 18, 2017. views concerning any of the above proposed activities may do so by Comments should be addressed to the Consistency Review Unit, filing their comments, in writing, no later than 4:30 p.m., 30 days from Department of State, Office of Planning and Development, One Com- the date of publication of this notice, or, November 18, 2017. merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-6000, Comments should be addressed to the Consistency Review Unit, Fax (518) 473-2464. Electronic submissions can be made by email at: Department of State, Office of Planning and Development, One Com- [email protected] merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-6000, This notice is promulgated in accordance with Title 15, Code of Fax (518) 473-2464. Electronic submissions can be made by email at: Federal Regulations, Part 930. [email protected] This notice is promulgated in accordance with Title 15, Code of PUBLIC NOTICE Federal Regulations, Part 930. Department of State F-2017-0512 PUBLIC NOTICE Date of Issuance – October 18, 2017 Department of State The New York State Department of State (DOS) is required by F-2017-0690 Federal regulations to provide timely public notice for the activities Date of Issuance – October 18, 2017 described below, which are subject to the consistency provisions of The New York State Department of State (DOS) is required by the Federal Coastal Zone Management Act of 1972, as amended. Federal regulations to provide timely public notice for the activities The applicant has certified that the proposed activity complies with described below, which are subject to the consistency provisions of and will be conducted in a manner consistent with the approved New the Federal Coastal Zone Management Act of 1972, as amended. York State Coastal Management Program. The applicant’s consis- The applicant has certified that the proposed activity complies with tency certification and accompanying public information and data are and will be conducted in a manner consistent with the approved New available for inspection at the New York State Department of State of- York State Coastal Management Program. The applicant’s consis- fices located at One Commerce Plaza, 99 Washington Avenue, in tency certification and accompanying public information and data are Albany, New York. available for inspection at the New York State Department of State of- In F-2017-0512, Mr. Anthony Cibellis, is proposing waterfront fices located at One Commerce Plaza, 99 Washington Avenue, in improvements at 626 Barnes Avenue in the Town of Baldwin, Nassau Albany, New York. County. The applicant proposes to fill the existing boat ramp with In F-2017-0690, New York Power Authority, is proposing to install ±27cy of clean soil and install a fixed platform/dock measuring 6 ft x the Huntley Water Level Gauge at 218 Aqua Lane, Town of 24 ft (244 sf) to provide access to a proposed boat lift in Parsonage Tonawanda, Erie County. The applicant proposes to install a new river Cove. In addition, the proposed activity includes installing two float- level gauging station along the Niagara River with a pipe and still ing docks along the bulkheaded shoreline. basin affixed to the existing sheetpile wall. Additionally, a small inland Any interested parties and/or agencies desiring to express their building (10 ft x 10 ft) would be constructed to house the electrical views concerning any of the above proposed activities may do so by components of the unit and an electrical service trench of approxi-

80 NYS Register/October 18, 2017 Miscellaneous Notices/Hearings mately 750 linear feet would be require excavation to a new tie-in location. Any interested parties and/or agencies desiring to express their views concerning any of the above proposed activities may do so by ﬁling their comments, in writing, no later than 4:30 p.m., 30 days from the date of publication of this notice, or, November 18, 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 of Federal Regulations, Part 930.

PUBLIC NOTICE Department of State F-2017-0748 Date of Issuance – October 18, 2017 The New York State Department of State (DOS) is required by Federal regulations to provide timely public notice for the activities described below, which are subject to the consistency provisions of the Federal Coastal Zone Management Act of 1972, as amended. The applicant has certified that the proposed activity complies with and will be conducted in a manner consistent with the approved New York State Coastal Management Program. The applicant’s consistency certification and accompanying public information and data are available for inspection at the New York State Department of State offices located at One Commerce Plaza, 99 Washington Avenue, in Albany, New York, or can be downloaded at: http://www.dos.ny.gov/ opd/programs/pdfs/Consistency/F-2017-0748QuietCoveConsistency Certification.pdf. In F-2017-0748, Dutchess County Department of Public Works, is proposing the removal of the existing deteriorated bulkhead, excavation landward of the bulkhead and placement of rip-rap within the excavated area, the installation of a new 24’ x 48’ fishing and observa- tion platform, partially over-water and supported by eighteen (18) 12” timber piles, and the installation of a 18’ x 16’ floating kayak launch with a 4’ x 50’ gangway at the Quiet Cove Riverfront Park along the Hudson River, Town of Poughkeepsie, Dutchess County. Any interested parties and/or agencies desiring to express their views concerning the above proposed activities may do so by filing their comments, in writing, no later than 4:30 p.m., 15 days from the date of publication of this notice, or by Thursday, November 2, 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 of Federal Regulations, Part 930.

XECUTIV E ORDERS E

Executive Order No. 168.3: Continuing the Declaration of a Di- saster Emergency in the Five Boroughs of New York City and the Counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suf- folk and Westchester that Incorporate the MTA Region in the State of New York. WHEREAS, pursuant to Executive Order No. 168, a disaster has heretofore been declared in the five boroughs of New York City and the Counties of Dutchess, Nassau, Orange, Putnam, Rockland, Suf- folk and Westchester that incorporate the Metropolitan Transportation Authority (MTA) Region in the State of New York due to increasingly constant and continuing failures of the tracks, signals, switches and other transportation infrastructure throughout the system including at Pennsylvania Station located in the County of New York (Penn Sta- tion), that have resulted in various subway derailments, extensive track outages, and substantial service disruptions impacting the health and safety of hundreds of thousands of riders; WHEREAS, the ongoing failures of the tracks, signals, switches and other transportation infrastructure throughout the MTA’s rail and subway system continue to pose an imminent threat and have a vast and deleterious impact on the health, safety, and livelihood of commuters, tourists, resident New Yorkers, as well as business and commerce in the Metropolitan Commuter Transportation District (MCTD), which is the recognized economic engine of the State of New York, and thereby have adversely affected the New York State economy; WHEREAS, the track outages and service disruption necessary to implement the Amtrak Repair Program, and other repairs necessary to fix tracks, signals, switches and other transportation infrastructure throughout the MTA’s rail and subway system continue to be necessary to protect the public, health and safety of commuters, tourists, resident New Yorkers, and will continue to worsen the transportation disaster emergency that currently exists due to the condition of Penn Station and the MTA’s rail and subway system as a whole; and, WHEREAS, it continues to be necessary for the MTA and its sub- sidiaries and affiliates to take significant and immediate action to assist in the repair of the tracks, signals, switches and other transportation infrastructure and in the mediation of such track outages and service disruptions due to this disaster emergency; NOW, THEREFORE, I, ANDREW M. CUOMO, Governor of the State of New York, by virtue of the authority vested in me by the Con- stitution and the Laws of the State of New York, do hereby extend all of the terms, conditions, and directives of Executive Order No. 168 for the period from the date that the disaster emergency was declared pursuant to Executive Order No. 168 until October 26, 2017.

(L.S.) GIVEN under my hand and the Privy Seal of the State in the City of Albany this twenty- ﬁfth day of September in the year two thou- sand seventeen.

BY THE GOVERNOR /S/ Andrew M. Cuomo /s/ Melissa DeRosa Secretary to the Governor