New York State Department of State

March 30, 2016 DEPARTMENT OF STATE Vol. XXXVIII Division of Administrative Rules Issue 13 NEW YORK STATE REGISTER

INSIDE THIS ISSUE: D Assessment of Entities Regulated by the Banking Division of the Department of Financial Services D New York State Science, Technology, Engineering and Mathematics Incentive Program D City of New York Withholding Tables and Other Methods Notice of Availability of State and Federal Funds Executive Orders Financial Reports

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 for which full text was included in the Notice or posted on a state web site, or which is a consensus rule or a rule defined in SAPA § 102(2)(a)(ii); or for a minimum of 60 days following publication in the Register of a Notice of Proposed Rule Making or a Notice of Emergency Adoption and Proposed Rule Making for which a summary of the text of the rule was included in the Notice and the full text of which was not published on a state web site; and for 30 days after publication of a Notice of 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 60-day period expires on May 29, 2016 – the 45-day period expires on May 14, 2016 – the 30-day period expires on April 29, 2016 ANDREW M. CUOMO GOVERNOR

ROSSANA ROSADO ACTING SECRETARY OF STATE

NEW YORK STATE DEPARTMENT OF STATE

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The public is encouraged to comment on any of the proposed rules appearing in this issue. Comments must be made in writing and must be submitted to the agency that is proposing the rule. Address your comments to the agency representative whose name and address are printed in the notice of rule making. No special form is required; a handwritten letter will do. Individuals who access the online Register (www.dos.ny.gov) may send public comment via electronic mail to those recipients who provide an e-mail address in Notices of Proposed Rule Making. This includes Proposed, Emergency Proposed, Revised Proposed and Emergency Revised Proposed rule makings.

To be considered, comments must reach the agency before the proposed rule is adopted. The law provides for a minimum 45-day public comment period after publication in the Register of every Notice of Proposed Rule Making for which full text was included or posted on a state web site, or which is a consensus rule or a rule defined in SAPA § 102(2)(a)(ii); a minimum 60-day public comment period after publication in the Register of a Notice of Proposed Rule Making for which a summary of the text of the rule was included in the Notice and the full text of which was not published on a state web site; and a 30-day public comment period for every Notice of Revised Rule Making. If a public hearing is required by statute, public comments are accepted for at least five days after the last such hearing. Agencies are also required to specify in each notice the last date on which they will accept public comment.

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

The Administrative Regulations Review Commission (ARRC) is charged with the task of reviewing newly proposed regulations to examine the issues of compliance with legislative intent, impact on the economy, and impact on affected parties. In addition to sending comments or recommendations to the agency, please do not hesitate to transmit your views to ARRC:

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New York State Register March 30, 2016/Volume XXXVIII, Issue 13

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 Economic Development, Department of 1 / Empire Zones Reform (E) Education Department 3 / Annual Professional Performance Reviews (APPR) of Classroom Teachers and Building Principals (ERP) 12 / Notice of expiration Financial Services, Department of 12 / Assessment of Entities Regulated by the Banking Division of the Department of Financial Services (E) Gaming Commission, New York State 14 / Erratum Higher Education Services Corporation 15 / New York State Science, Technology, Engineering and Mathematics Incentive Program (E) Law, Department of 17 / Disclosure Requirements for Condominium Offerors Renting, Rather Than Selling, Unsold Condo- minium Units (A) Motor Vehicles, Department of 17 / Safety Hearings (A) 18 / International Registration Plan (A) 18 / Suffolk County Motor Vehicle Use Tax (P) People with Developmental Disabilities, Office for 18 / Article 16 Clinic Services and Independent Practitioner Services for Individuals with Developmental Disabilities (IPSIDD) (A) Public Service Commission 19 / Notice of Intent to Submeter Electricity (P) 19 / Standby Rate Exemption for Offset Tariff Customers (P) 19 / Notice of Intent to Submeter Electricity (P) 20 / Transfer of a 1985 Bell 206L-3 Helicopter (P) 20 / Transfer of Stock (P) Taxation and Finance, Department of 20 / City of New York Withholding Tables and Other Methods (E) 22 / Metropolitan Transportation Business Tax Surcharge (EP) 24 / Production of Daily Inventory Records to the Department, Upon Request, by Those Already Required to Maintain Such Records (P) Hearings Schedule for Proposed Rule Makings /26 Action Pending Index /27

Securities Offerings 77 / State Notices

Advertisements for Bidders/Contractors 79 / Sealed Bids Notice of Availability of State and Federal Funds 83 / New York Homes and Community Renewal

Miscellaneous Notices/Hearings 85 / Notice of Abandoned Property Received by the State Comptroller 85 / Public Notice

Executive Orders 89 / Executive Order No. 147.3: A Special Prosecutor to Investigate and Prosecute Matters Relating to the Deaths of Civilians Caused by Law Enforcement Officers.

Financial Reports /91 RULE MAKING ACTIVITIES

Each rule making is identified by an I.D. No., which consists Purpose: Allow Department to continue implementing Zones reforms and of 13 characters. For example, the I.D. No. adopt changes that would enhance program's strategic focus. Substance of emergency rule: The emergency rule is the result of changes AAM-01-96-00001-E indicates the following: to Article 18-B of the General Municipal Law pursuant to Chapter 63 of the Laws of 2000, Chapter 63 of the Laws of 2005, and Chapter 57 of the AAM -the abbreviation to identify the adopting agency Laws of 2009. These laws, which authorize the empire zones program, 01 -the State Register issue number were changed to make the program more effective and less costly through 96 -the year higher standards for entry into the program and for continued eligibility to remain in the program. Existing regulations fail to address these require- 00001 -the Department of State number, assigned upon ments and the existing regulations contain several outdated references. receipt of notice. The emergency rule will correct these items. The rule contained in 5 NYCRR Parts 10 through 14 (now Parts 10-16 E -Emergency Rule Making—permanent action as amended), which governs the empire zones program, is amended as not intended (This character could also be: A follows: 1. The emergency rule, tracking the requirements of Chapter 63 of the for Adoption; P for Proposed Rule Making; RP Laws of 2005, requires placement of zone acreage into “distinct and sepa- for Revised Rule Making; EP for a combined rate contiguous areas.” Emergency and Proposed Rule Making; EA for 2. The emergency rule updates several outdated references, including: the name change of the program from Economic Development Zones to an Emergency Rule Making that is permanent Empire Zones, the replacement of Standard Industrial Codes with the and does not expire 90 days after filing.) North American Industrial Codes, the renaming of census-tract zones as investment zones, the renaming of county-created zones as development Italics contained in text denote new material. Brackets zones, and the replacement of the Job Training Partnership Act (and private industry councils) with the Workforce Investment Act (and local indicate material to be deleted. workforce investment boards). 3. The emergency rule adds the statutory definition of “cost-benefit analysis” and provides for its use and applicability. 4. The emergency rule also adds several other definitions (such as applicant municipality, chief executive, concurring municipality, empire zone capital tax credits or zone capital tax credits, clean energy research Department of Economic and development enterprise, change of ownership, benefit-cost ratio, capital investments, single business enterprise and regionally significant Development project) and conforms several existing regulatory definitions to statutory definitions, including zone equivalent areas, women-owned business enterprise, minority-owned business enterprise, qualified investment proj- EMERGENCY ect, zone development plans, and significant capital investment projects. The emergency rule also clarifies regionally significant project eligibility. RULE MAKING Additionally, the emergency rule makes reference to the following tax credits and exemptions: the Qualified Empire Zone Enterprise (“QEZE”) Empire Zones Reform Real Property Tax Credit, QEZE Tax Reduction Credit, and the QEZE I.D. No. EDV-13-16-00003-E Sales and Use Tax Exemption. The emergency rule also reflects the eligibility of agricultural cooperatives for Empire Zone tax credits and the Filing No. 279 QEZE Real Property Tax Credit. Filing Date: 2016-03-11 5. The emergency rule requires additional statements to be included in Effective Date: 2016-03-11 an application for empire zone designation, including (i) a statement from the applicant and local economic development entities pertaining to the integration and cooperation of resources and services for the purpose of PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- providing support for the zone administrator, and (ii) a statement from the cedure Act, NOTICE is hereby given of the following action: applicant that there is no viable alternative area available that has existing Action taken: Amendment of Parts 10 and 11; renumbering and amend- public sewer or water infrastructure other than the proposed zone. ment of Parts 12 through 14 to Parts 13, 15 and 16; and addition of new 6. The emergency rule amends the existing rule in a manner that allows Parts 12 and 14 to Title 5 NYCRR. for the designation of nearby lands in investment zones to exceed 320 Statutory authority: General Municipal Law, art. 18-B, section 959; L. acres, upon the determination by the Department of Economic Develop- 2000, ch. 63; L. 2005, ch. 63; L. 2009, ch. 57 ment that certain conditions have been satisfied. 7. The emergency rule provides a description of the elements to be Finding of necessity for emergency rule: Preservation of general welfare. included in a zone development plan and requires that the plan be Specific reasons underlying the finding of necessity: Regulatory action is resubmitted by the local zone administrative board as economic condi- needed immediately to implement the statutory changes contained in tions change within the zone. Changes to the zone development plan must Chapter 57 of the Laws of 2009. The emergency rule also clarifies the be approved by the Commissioner of Economic Development (“the administrative procedures of the program, improves efficiency and helps Commissioner”). Also, the rule adds additional situations under which a make it more cost-effective and accountable to the State’s taxpayers, business enterprise may be granted a shift resolution. particularly in light of New York’s current fiscal climate. It bears noting 8. The emergency rule grants discretion to the Commissioner to that General Municipal Law section 959(a), as amended by Chapter 57 of determine the contents of an empire zone application form. the Laws of 2009, expressly authorizes the Commissioner of Economic 9. The emergency rule tracks the amended statute’s deletion of the cate- Development to adopt emergency regulations to govern the program. gory of contributions to a qualified Empire Zone Capital Corporation from Subject: Empire Zones reform. those businesses eligible for the Zone Capital Credit.

1 Rule Making Activities NYS Register/March 30, 2016

10. The emergency rule reflects statutory changes to the process to tion by the Designation Board will still require unanimous approval by revise a zone’s boundaries. The primary effect of this is to limit the number that Board. of boundary revisions to one per year. 17. The emergency rule clarifies the statutory requirement that certain 11. The emergency rule describes the amended certification and defined “regionally significant” projects can be located outside of the decertification processes. The authority to certify and decertify now rests distinct and separate contiguous areas. There are four categories of solely with the Commissioner with reduced roles for the Department of projects: (i) a manufacturer projecting the creation of fifty or more net Labor and the local zone. Local zone boards must recommend projects to new jobs in the State of New York; (ii) an agri-business or high tech or the State for approval. The labor commissioner must determine whether biotech business making a capital investment of ten million dollars and an applicant firm has been engaged in substantial violations, or pattern of creating twenty or more net new jobs in the State of New York, (iii) a violations of laws regulating unemployment insurance, workers' compen- financial or insurance services or distribution center creating three hundred sation, public work, child labor, employment of minorities and women, or more net new jobs in the State of New York, and (iv) a clean energy safety and health, or other laws for the protection of workers as determined research and development enterprise. Other projects may be considered by by final judgment of a judicial or administrative proceeding. If such ap- the empire zone designation board. Only one category of projects, plicant firm has been found in a criminal proceeding to have committed manufacturers projecting the creation of 50 or more net new jobs, are al- any such violations, the Commissioner may not certify that firm. lowed to progress before the identification of the distinct and separate 12. The emergency rule describes new eligibility standards for contiguous areas and/or the approval of certain regulations by the Empire Zones Designation Board. Regionally significant projects that fall within certification. The new factors which may be considered by the Commis- the four categories listed above must be projects that are exporting 60% of sioner when deciding whether to certify a firm is (i) whether a non- their goods or services outside the region and export a substantial amount manufacturing applicant firm projects a benefit-cost ratio of at least 20:1 of goods or services beyond the State. for the first three years of certification, (ii) whether a manufacturing ap- 18. The emergency rule clarifies the status of community development plicant firm projects a benefit-cost ratio of at least 10:1 for the first three projects as a result of the statutory reconfiguration of the zones. years of certification, and (iii) whether the business enterprise conforms 19. The emergency rule clarifies the provisions under Chapter 63 of the with the zone development plan. Laws of 2005 that allow for zone-certified businesses which will be lo- 13. The emergency rule adds the following new justifications for cated outside of the distinct and separate contiguous areas to receive zone decertification of firms: (a) the business enterprise, that has submitted at benefits until decertified. The area which will be “grandfathered” shall be least three years of business annual reports, has failed to provide eco- limited to the expansion of the certified business within the parcel or por- nomic returns to the State in the form of total remuneration to its employ- tion thereof that was originally located in the zone before redesignation. ees (i.e. wages and benefits) and investments in its facility greater in value Each zone must identify any such business by December 30, 2005. to the tax benefits the business enterprise used and had refunded to it; (b) 20. The emergency rule elaborates on the “demonstration of need” the business enterprise, if first certified prior to August 1, 2002, caused requirement mentioned in Chapter 63 of the Laws of 2005 for the addition individuals to transfer from existing employment with another business (for both investment and development zones) of an additional distinct and enterprise with similar ownership and located in New York state to similar separate contiguous area. A zone can demonstrate the need for a fourth or, employment with the certified business enterprise or if the enterprise as the case may be, a seventh distinct and separate contiguous area if (1) acquired, purchased, leased, or had transferred to it real property previ- there is insufficient existing or planned infrastructure within the three (or ously owned by an entity with similar ownership, regardless of form of six) distinct and separate contiguous areas to (a) accommodate business incorporation or organization; (c) change of ownership or moving out of development and there are other areas of the applicant municipality that the Zone, (d) failure to pay wages and benefits or make capital invest- can be characterized as economically distressed and/or (b) accommodate ments as represented on the firm’s application, (e) the business enterprise development of strategic businesses as defined in the local development makes a material misrepresentation of fact in any of its business annual plan, or (2) placing all acreage in the other three or six distinct and sepa- reports, and (f) the business enterprise fails to invest in its facility rate contiguous areas would be inconsistent with open space and wetland substantially in accordance with the representations contained in its protection, or (3) there are insufficient lands available for further business application. In addition, the regulations track the statute in permitting the development within the other distinct and separate contiguous areas. decertification of a business enterprise if it failed to create new employ- The full text of the emergency rule is available at ment or prevent a loss of employment in the zone or zone equivalent area, www.empire.state.ny.us and deletes the condition that such failure was not due to economic circumstances or conditions which such business could not anticipate or This notice is intended to serve only as an emergency adoption, to be which were beyond its control. The emergency rule provides that the Com- valid for 90 days or less. This rule expires June 8, 2016. missioner shall revoke the certification of a firm if the firm fails the stan- Text of rule and any required statements and analyses may be obtained dard set forth in (a) above, or if the Commissioner makes the finding in (b) from: Thomas P Regan, NYS Department of Economic Development, above, unless the Commissioner determines in his or her discretion, after 625 Broadway, Albany NY 12245, (518) 292-5123, email: consultation with the Director of the Budget, that other economic, social [email protected] and environmental factors warrant continued certification of the firm. The Regulatory Impact Statement emergency rule further provides for a process to appeal revocations of STATUTORY AUTHORITY: certifications based on (a) or (b) above to the Empire Zones Designation Section 959(a) of the General Municipal Law authorizes the Commis- Board. The emergency rule also provides that the Commissioner may sioner of Economic Development to adopt on an emergency basis rules revoke the certification of a firm upon a finding of any one of the other and regulations governing the criteria of eligibility for empire zone criteria for revocation of certification set forth in the rule. designation, the application process, the certification of a business 14. The emergency rule adds a new Part 12 implementing record- enterprises as to eligibility of benefits under the program and the keeping requirements. Any firm choosing to participate in the empire decertification of a business enterprise so as to revoke the certification of zones program must maintain and have available, for a period of six years, business enterprises for benefits under the program. all information related to the application and business annual reports. LEGISLATIVE OBJECTIVES: 15. The emergency rule clarifies the statutory requirement from Chapter The rulemaking accords with the public policy objectives the Legisla- 63 of the Laws of 2005 that development zones (formerly county zones) ture sought to advance because the majority of such revisions are in direct create up to three areas within their reconfigured zones as investment response to statutory amendments and the remaining revisions either (formerly census tract) zones. The rule would require that 75% of the conform the regulations to existing statute or clarify administrative acreage used to define these investment zones be included within an procedures of the program. These amendments further the Legislative eligible or contiguous census tract. Furthermore, the rule would not require goals and objectives of the Empire Zones program, particularly as they a development zone to place investment zone acreage within a municipal- relate to regionally significant projects, the cost-benefit analysis, and the ity in that county if that particular municipality already contained an process for certification and decertification of business enterprises. The investment zone, and the only eligible census tracts were contained within proposed amendments to the rule will facilitate the administration of this that municipality. program in a more efficient, effective, and accountable manner. 16. The emergency rule tracks the statutory requirements that zones NEEDS AND BENEFITS: reconfigure their existing acreage in up to three (for investment zones) or The emergency rule is required in order to implement the statutory six (for development zones) distinct and separate contiguous areas, and changes contained in Chapter 57 of the Laws of 2009. The emergency rule that zones can allocate up to their total allotted acreage at the time of also clarifies the administrative procedures of the program, improves effi- designation. These reconfigured zones must be presented to the Empire ciency and helps make it more cost-effective and accountable to the State’s Zones Designation Board for unanimous approval. The emergency rule taxpayers, particularly in light of New York’s current fiscal climate. makes clear that zones may not necessarily designate all of their acreage COSTS: into three or six areas or use all of their allotted acreage; the rule removes A. Costs to private regulated parties: None. There are no regulated par- the requirement that any subsequent additions after their official redesigna- ties in the Empire Zones program, only voluntary participants.

2 NYS Register/March 30, 2016 Rule Making Activities

B. Costs to the agency, the state, and local governments: There will be eligible to participate in the program, participation by the municipalities additional costs to the Department of Economic Development associated and businesses is entirely at their discretion. The emergency rule imposes with the emergency rule making. These costs pertain to the addition of no additional reporting, record keeping or other compliance requirements personnel that may need to be hired to implement the Empire Zones on public or private entities in rural areas. Therefore, the emergency rule program reforms. There may be savings for the Department of Labor as- will not have a substantial adverse economic impact on rural areas or sociated with the streamlining of the State’s administration and concentra- reporting, record keeping or other compliance requirements on public or tion of authority within the Department of Economic Development. There private entities in such rural areas. Accordingly, a rural area flexibility is no additional cost to local governments. C. Costs to the State government: None. There will be no additional analysis is not required and one has not been prepared. costs to New York State as a result of the emergency rule making. Job Impact Statement LOCAL GOVERNMENT MANDATES: The emergency rule relates to the Empire Zones program. The Empire None. Local governments are not mandated to participate in the Empire Zones program itself is a job creation incentive, and will not have a Zones program. If a local government chooses to participate, there is a substantial adverse impact on jobs and employment opportunities. In fact, cost associated with local administration that local government officials the emergency rule, which is being promulgated as a result of statutory agreed to bear at the time of application for designation as an Empire Zone. One of the requirements for designation was a commitment to local reforms, will enable the program to continue to fulfill its mission of job administration and an identification of local resources that would be creation and investment for economically distressed areas. Because it is dedicated to local administration. evident from its nature that this emergency rule will have either no impact This emergency rule does not impose any additional costs to the local or a positive impact on job and employment opportunities, no further af- governments for administration of the Empire Zones program. firmative steps were needed to ascertain that fact and none were taken. PAPERWORK: Accordingly, a job impact statement is not required and one has not been The emergency rule imposes new record-keeping requirements on busi- prepared. nesses choosing to participate in the Empire Zones program. The emergency rule requires all businesses that participate in the program to establish and maintain complete and accurate books relating to their participation in the Empire Zones program for a period of six years. DUPLICATION: Education Department The emergency rule conforms to provisions of Article 18-B of the Gen- eral Municipal Law and does not otherwise duplicate any state or federal statutes or regulations. NOTICE OF EMERGENCY ALTERNATIVES: No alternatives were considered with regard to amending the regula- ADOPTION tions in response to statutory revisions. FEDERAL STANDARDS: AND REVISED RULE MAKING There are no federal standards in regard to the Empire Zones program. NO HEARING(S) SCHEDULED Therefore, the emergency rule does not exceed any Federal standard. COMPLIANCE SCHEDULE: Annual Professional Performance Reviews (APPR) of Classroom The period of time the state needs to assure compliance is negligible, and the Department of Economic Development expects to be compliant Teachers and Building Principals immediately. I.D. No. EDU-52-15-00017-ERP Regulatory Flexibility Analysis Filing No. 281 1. Effect of rule The emergency rule imposes new record-keeping requirements on small Filing Date: 2016-03-14 businesses and large businesses choosing to participate in the Empire Effective Date: 2016-03-14 Zones program. The emergency rule requires all businesses that participate in the program to establish and maintain complete and accurate books PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- relating to their participation in the Empire Zones program for a period of cedure Act, NOTICE is hereby given of the following action: six years. Local governments are unaffected by this rule. 2. Compliance requirements Action Taken: Addition of sections 30-2.14 and 30-3.17 to Title 8 Each small business and large business choosing to participate in the NYCRR. Empire Zones program must establish and maintain complete and accurate Statutory authority: Education Law, sections 101(not subdivided), books, records, documents, accounts, and other evidence relating to such 207(not subdivided), 215(not subdivided), 305(1), (2), 3009(1), 3012-c business’s application for entry into the Empire Zone program and relat- and 3012-d; L. 2015, ch. 20, subpart C, section 3; L. 2015, ch. 56, part EE, ing to existing annual reporting requirements. Local governments are unaf- subpart E, sections 1 and 2 fected by this rule. Finding of necessity for emergency rule: Preservation of public safety. 3. Professional services Specific reasons underlying the finding of necessity: The proposed rule No professional services are likely to be needed by small and large is necessary to implement the recommendations of the Common Core businesses in order to establish and maintain the required records. Local Task Force which were released on December 10, 2015. The Task Force governments are unaffected by this rule. recommended that until the new Learning Standards and State assess- 4. Compliance costs ments are fully phased in, the results from the State assessments (Grades No initial capital costs are likely to be incurred by small and large busi- 3-8 English language arts and mathematics) and the use of any State- nesses choosing to participate in the Empire Zones program. Annual provided growth model based on these tests or other State assessments compliance costs are estimated to be negligible for both small and large shall not have evaluative consequence for teachers or students. businesses. Local governments are unaffected by this rule. A Notice of Proposed Rule Making was published in the State Register 5. Economic and technological feasibility on December 30, 2015. Based on feedback received from the field, the The Department of Economic Development (“DED”) estimates that proposed amendment was revised and a Notice of Revised Rule Making complying with this record-keeping is both economically and technologi- will be published in the State Register on March 30, 2016. Since the Board cally feasible. Local governments are unaffected by this rule. of Regents meets at fixed intervals, the earliest the revised rule can be pre- 6. Minimizing adverse impact sented for regular (non-emergency) adoption, after expiration of the DED finds no adverse economic impact on small or large businesses required 30-day public comment period provided for a revised rulemaking with respect to this rule. Local governments are unaffected by this rule. pursuant to the State Administrative Procedure Act (SAPA) would be the 7. Small business and local government participation May Regents meeting. Furthermore, pursuant to SAPA section 203(1), the DED is in full compliance with SAPA Section 202-b(6), which ensures earliest effective date of the proposed rule, if adopted at the May meeting, that small businesses and local governments have an opportunity to partic- would be June 1, 2016, the date a Notice of Adoption would be published ipate in the rule-making process. DED has conducted outreach within the in the State Register. small and large business communities and maintains continuous contact Emergency action is therefore necessary for the preservation of the gen- with small businesses and large businesses with regard to their participa- eral welfare to ensure that the proposed amendment is adopted by emer- tion in this program. Local governments are unaffected by this rule. gency action to ensure that teachers and principals receive transition scores Rural Area Flexibility Analysis and ratings for the 2015-2016 school year in accordance with the proposed The Empire Zones program is a statewide program. Although there are amendment and that the results of the State assessments ( grades 3-8 En- municipalities and businesses in rural areas of New York State that are glish language arts and mathematics) and State-provided growth scores

3 Rule Making Activities NYS Register/March 30, 2016 based on Regents examinations are not used for evaluative purposes in the advisory purposes only pursuant to this Part during this transition period 2015-2016 school year through the 2018-2019 school year and so school and teachers and principals will continue to receive an overall rating districts are able to complete their negotiations for annual professional calculated pursuant to this Subpart. performance reviews conducted under Education Law § 3012-d, which for (2) In addition, during this transition period, the Commissioner may State aid purposes must be completed by September 1, 2016. Emergency also authorize the use of one or more State-provided growth model(s) that action is also necessary to ensure that the proposed rule adopted at the take into consideration multiple years of student growth on State assess- December 2015 meeting, which has been subsequently revised, remains ments to compute scores in the required subcomponent of the student per- continuously in effect until it can be adopted as a permanent rule. formance category, for advisory purposes only under this section. (3) During the transition period, a transition score and rating on the Subject: Annual Professional Performance Reviews (APPR) of classroom student performance category, and a transition rating that incorporates teachers and building principals. the student performance category rating shall be generated based on: Purpose: To implement the recommendations of the New York Common (i) the scores/ratings in the subcomponents of the student perfor- Core Task Force Report by establishing transition ratings for teachers and mance category that are not based on State assessments and/or a State- building principals during a four-year transition period for APPRs, while provided growth score on Regents assessments; and the State completes the transition to higher learning standards through (ii) for the 2016-2017 through 2018-2019 school years, in in- new State assessments aligned to the higher learning standards, and a stances where no scores/ratings in the subcomponents of the student per- revised State-provided growth model. formance category can be generated, notwithstanding any other provision Text of emergency/revised rule: A new section 30-2.14 of the Rules of of this Subpart to the contrary, a SLO shall be developed by the district/ the Board of Regents is added, effective March 14, 2016, to read as BOCES consistent with guidelines prescribed by the Commissioner using follows: assessments approved by the Department that are not State assessments. § 30-2.14. Annual Professional Performance Review Scores and Rat- (c) Except as otherwise provided in subdivision (d) of this section, a ings for the 2015-16 School Year During a Transition to Higher Learning teacher’s or principal’s final composite rating for all purposes under sec- Standards. tion 3012-d of the Education Law or under this Subpart, as well as for (a) For purposes of this section, State assessments shall mean the purposes of tenure determinations, individual employment records, and grades 3-8 English language arts and mathematics State assessments. other employment decisions and proceedings pursuant to Education Law (b) Notwithstanding any other provision of this Part to the contrary, the § 3020-b, shall be the overall transition rating. The requirement for a Commissioner shall establish procedures in guidance for transition scores teacher or principal improvement plan shall be based on the teacher’s or and ratings for teachers and principals whose annual professional perfor- principal’s overall transition composite rating. mance reviews conducted pursuant to Education Law § 3012-c and this (d) For purposes of public reporting of aggregate data and disclosure Subpart for the 2015-2016 school year are based, in whole or in part, on to parents pursuant to paragraph b of subdivision 10 of section 3012-c of State assessments and/or on State-provided growth scores on Regents the Education Law as made applicable to this Subpart, the original com- examinations during a transition period while the State completes the posite rating pursuant to section 3012-d of the Education Law and this transition to higher learning standards through new State assessments Subpart shall be reported with (i) the overall transition rating and (ii) an aligned to the higher learning standards, and a revised State-provided explanation of such overall transition rating. growth model. This notice is intended to serve as both a notice of emergency adoption (1) State-provided growth scores will continue to be calculated pur- and a notice of revised rule making. The notice of proposed rule making suant to this Subpart for advisory purposes only during this transition pe- was published in the State Register on December 30, 2015, I.D. No. EDU- riod and teachers and principals will continue to receive an overall score 52-15-00017-EP. The emergency rule will expire May 12, 2016. and rating calculated pursuant to this Subpart. Emergency rule compared with proposed rule: Substantial revisions were (2) For the transition period, an overall composite transition score made in section 30-3.17(b)(3) and (c). and rating shall be generated based on the scores and ratings on the Text of rule and any required statements and analyses may be obtained remaining subcomponents of the annual professional performance review from: Kirti Goswami, State Education Department, Office of Counsel, that are not based on State assessments and/or a State-provided growth State Education Building, Room 148, 89 Washington Ave., Albany, NY score on Regents examinations. The overall composite transition score 12234, (518) 474-6400, email: [email protected] shall include the use of any back-up SLOs developed by the district/ BOCES in lieu of the State-provided growth score on State assessments; Data, views or arguments may be submitted to: Peg Rivers, State Educa- provided that such back-up SLOs shall not be based on State assessments. tion Department, Office of Higher Education, Room 979 EBA, 89 (c) Except as otherwise provided in subdivision (d) of this section, a Washington Ave., Albany, NY 12234, (518) 486-3633, email: teacher’s or principal’s final composite score and rating, for all purposes [email protected] under section 3012-c of the Education Law or this Subpart as well as for Public comment will be received until: 30 days after publication of this purposes of tenure determinations and other employment decisions and notice. proceedings pursuant to Education Law §§ 3020-a and 3020-b, shall be Revised Regulatory Impact Statement the transition composite score and rating. The requirement for a teacher Since publication of a Notice of Proposed Rule Making in the State or principal improvement plan shall be based on the teacher’s or Register on December 30, 2015, the following substantial revisions were principal’s transition composite score and rating. made to the proposed rule: (d) For purposes of public reporting of aggregate data and disclosure Section 30-3.17(b)(3) was amended to clarify that in instances where to parents pursuant to paragraph b of subdivision 10 of section 3012-c of no scores/ratings in the subcomponents of the student performance cate- the Education Law, the original composite score and rating pursuant to gory can be generated, notwithstanding any other provision of this Subpart section 3012-c of the Education Law of this Subpart shall be reported with to the contrary, a SLO shall be developed by the district/BOCES consis- (i) the transition composite score and rating and (ii) an explanation of tent with guidelines prescribed by the Commissioner using assessments such transition composite score and rating. approved by the Department that are not State assessments for the 2016- A new section 30-3.17 of the Rules of the Board of Regents is added, 2017 school year through the 2018-2019 school year (and not the 2015- effective March 14, 2016, to read as follows: 2016 school year). § 30-3.17. Annual Professional Performance Review Ratings for the Section 30-3.17(c) was amended to specifically state that only the 2015-2016 through the 2018-2019 school years for Annual Professional transition scores and ratings will be reported on individual employment Performance Reviews Conducted Pursuant to Education Law § 3012-d records during the four-year transition period. and this Subpart, During a Transition to Higher Learning Standards. The above revisions to the proposed rule require revisions to the Needs (a) For purposes of this section, State assessments shall mean the and Benefits section of the previously published Regulatory Impact State- grades 3-8 English language arts and mathematics State assessments. ment as follows: (b) Notwithstanding any other provision of this Subpart to the contrary, 3. NEEDS AND BENEFITS: the Commissioner shall establish procedures in guidance for determining In September 2015, Governor Andrew Cuomo formed the Common transition scores and ratings for teachers and principals whose annual Core Task Force to undertake a comprehensive review of the current status professional performance reviews conducted pursuant to Education Law and use of the Common Core State Standards and assessments in New § 3012-d and this Subpart for the 2015-2016 through the 2018-2019 York and to recommend potential reforms to the system. Following school years are based, in whole or in part, on State assessments and/or multiple meetings, the Task Force reviewed and discussed information State-provided growth scores on Regents examinations, while the State presented at public sessions and submitted through the website, and has completes the transition to higher learning standards through new State made a number of recommendations regarding the implementation of the assessments aligned to higher learning standards, and a revised State- Common Core Standards. provided growth model. On December 10, 2015, the Task Force released their report, affirming (1) State-provided growth scores will continue to be calculated for that New York must have rigorous, high quality education standards to

4 NYS Register/March 30, 2016 Rule Making Activities improve the education of all of our students and hold our schools and The above revisions to the proposed rule require revisions to the districts accountable for students’ success but recommended that the Com- Compliance Requirements section of the Local Governments section of mon Core standards be thoroughly reviewed and revised consistent as the previously published Regulatory Flexibility Analysis as follows: reflected in the report and that the State assessments be amended to reflect 2. COMPLIANCE REQUIREMENTS: such revisions. In addition, the Task Force recommended that until the In September 2015, Governor Andrew Cuomo formed the Common new system is fully phased in, the results from the grades 3-8 English Core Task Force to undertake a comprehensive review of the current status language arts and mathematics State assessments and the use of any State- and use of the Common Core State Standards and assessments in New provided growth model based on these tests or other State assessments York and to recommend potential reforms to the system. Following shall not have consequence for teachers or students. Specifically, Recom- multiple meetings, the Task Force reviewed and discussed information mendation 21 from the Task Force’s Final Report (“Report”) provides as presented at public sessions and submitted through the website, and has follows: made a number of recommendations regarding the implementation of the “…State-administered standardized ELA and Mathematics assessments Common Core Standards. for grades three through eight aligned to the Common Core or updated On December 10, 2015, the Task Force released their report, affirming standards shall not have consequences for individual students or teachers. that New York must have rigorous, high quality education standards to Further, any growth model based on these Common Core tests or other improve the education of all of our students and hold our schools and state assessments shall not have consequences and shall only be used on districts accountable for students’ success but recommended that the Com- an advisory basis for teachers. The transition phase shall last until the start of the 2019-2020 school year”. mon Core standards be thoroughly reviewed and revised consistent as Proposed amendment reflected in the report and that the State assessments be amended to reflect In an effort to implement the Task Force’s recommendation, the such revisions. In addition, the Task Force recommended that until the proposed amendment makes the following changes: new system is fully phased in, the results from the grades 3-8 English D Two new sections 30-2.14 and 30-3.17 are added to provide for a four language arts and mathematics State assessments and the use of any State- year transition period for annual professional performance reviews (AP- provided growth model based on these tests or other State assessments PRs) while the State completes the transition to higher learning standards shall not have consequence for teachers or students. Specifically, Recom- through new State assessments aligned to the higher learning standards, mendation 21 from the Task Force’s Final Report (“Report”) provides as and a revised State-provided growth model. During the transition period, follows: the Commissioner will determine transition scores and ratings that will “…State-administered standardized ELA and Mathematics assessments replace the original scores and HEDI ratings computed under the existing for grades three through eight aligned to the Common Core or updated provisions of Subpart 30-2 and 30-3 of the Regents Rules for evaluation of standards shall not have consequences for individual students or teachers. teachers and principals whose APPRs are based, in whole or in part, on Further, any growth model based on these Common Core tests or other State assessments in grades 3-8 ELA and mathematics assessments and state assessments shall not have consequences and shall only be used on State-provided growth scores on Regents examinations. The transition pe- an advisory basis for teachers. The transition phase shall last until the start riod will end with the 2018-2019 school year. of the 2019-2020 school year”. D Section 30-2.14 relates to evaluations under Education Law § 3012-c Proposed amendment and Subpart 30-2 of the Regents Rules and applies to evaluations for the In an effort to implement the Task Force’s recommendation, the 2015-2016 school year only, as school districts conduct the negotiations proposed amendment makes the following changes: necessary to come into compliance with new Education Law § 3012-d. D Two new sections 30-2.14 and 30-3.17 are added to provide for a four Section 30-3.17 relates to evaluations under Education Law § 3012-d, and year transition period for annual professional performance reviews (AP- applies to evaluations for the 2015-2016 through the 2018-2019 school PRs) while the State completes the transition to higher learning standards year. through new State assessments aligned to the higher learning standards, D During the transition period, transition scores and HEDI ratings will and a revised State-provided growth model. During the transition period, replace the scores and HEDI ratings for teachers and principals whose the Commissioner will determine transition scores and ratings that will HEDI scores are based, in whole or in part, on State assessments in grades replace the original scores and HEDI ratings computed under the existing 3-8 ELA or mathematics (including where State-provided growth scores provisions of Subpart 30-2 and 30-3 of the Regents Rules for evaluation of are used) or on State-provided growth scores on Regents examinations. teachers and principals whose APPRs are based, in whole or in part, on D In the case of evaluations conducted pursuant to Education Law State assessments in grades 3-8 ELA and mathematics assessments and § 3012-c and new § 30-2.14, the overall transition scores and ratings will State-provided growth scores on Regents examinations. The transition pe- be determined based upon the remaining subcomponents of the annual riod will end with the 2018-2019 school year. professional performance review that are not based on the grade 3-8 ELA D Section 30-2.14 relates to evaluations under Education Law § 3012-c or mathematics State assessments and/or a State-provided growth score on and Subpart 30-2 of the Regents Rules and applies to evaluations for the Regents examinations. 2015-2016 school year only, as school districts conduct the negotiations D In the case of evaluations pursuant to Education Law § 3012-d and necessary to come into compliance with new Education Law § 3012-d. new § 30-3.17, transition scores and ratings for the student performance Section 30-3.17 relates to evaluations under Education Law § 3012-d, and category and the overall transition rating will be determined using the applies to evaluations for the 2015-2016 through the 2018-2019 school scores/ratings in the subcomponents of the student performance category year. that are not based on the grade 3-8 ELA or mathematics State assessments D During the transition period, transition scores and HEDI ratings will and/or a State-provided growth score on Regents examinations or, in in- replace the scores and HEDI ratings for teachers and principals whose stances where no scores/ratings in the subcomponents of the student per- HEDI scores are based, in whole or in part, on State assessments in grades formance category can be generated, for the 2016-2017 school year 3-8 ELA or mathematics (including where State-provided growth scores through the 2018-2019 school year, a back-up SLO shall be developed by are used) or on State-provided growth scores on Regents examinations. the district/BOCES consistent with guidelines prescribed by the Commis- D In the case of evaluations conducted pursuant to Education Law sioner using assessments approved by the Department that are not State § 3012-c and new § 30-2.14, the overall transition scores and ratings will assessments. be determined based upon the remaining subcomponents of the annual D State provided growth scores will continue to be computed for advi- professional performance review that are not based on the grade 3-8 ELA sory purposes only and overall HEDI ratings will continue to be provided or mathematics State assessments and/or a State-provided growth score on to teachers and principals based on such growth scores. However, during Regents examinations. the transition period, only the transition score and rating will be used for D In the case of evaluations pursuant to Education Law § 3012-d and purposes of Education Law §§ 3012-c and 3012-d and Subparts 30-2 and new § 30-3.17, transition scores and ratings for the student performance 30-3, and for purposes of employment decisions, including tenure category and the overall transition rating will be determined using the determinations, individual employment records and for purposes of scores/ratings in the subcomponents of the student performance category proceedings under Education Law §§ 3020-a and 3020-b and teacher and that are not based on the grade 3-8 ELA or mathematics State assessments principal improvement plans. and/or a State-provided growth score on Regents examinations or, in in- D However, for purposes of public reporting of aggregate data and stances where no scores/ratings in the subcomponents of the student per- disclosure to parents pursuant to subdivision 10 of section 3012-c of the formance category can be generated, for the 2016-2017 school year Education Law, the original composite score and rating and the transition through the 2018-2019 school year, a back-up SLO shall be developed by composite score and rating must be reported with an explanation of such the district/BOCES consistent with guidelines prescribed by the Commis- transition composite score and rating. sioner using assessments approved by the Department that are not State Revised Regulatory Flexibility Analysis assessments. Since publication of a Notice of Proposed Rule Making in the State D State provided growth scores will continue to be computed for advi- Register on December 30, 2015, the proposed rule was revised as set forth sory purposes only and overall HEDI ratings will continue to be provided in the Revised Regulatory Impact Statement herewith. to teachers and principals based on such growth scores. However, during

5 Rule Making Activities NYS Register/March 30, 2016 the transition period, only the transition score and rating will be used for or mathematics State assessments and/or a State-provided growth score on purposes of Education Law §§ 3012-c and 3012-d and Subparts 30-2 and Regents examinations. 30-3, and for purposes of employment decisions, including tenure D In the case of evaluations pursuant to Education Law § 3012-d and determinations, individual employment records and for purposes of new § 30-3.17, transition scores and ratings for the student performance proceedings under Education Law §§ 3020-a and 3020-b and teacher and category and the overall transition rating will be determined using the principal improvement plans. scores/ratings in the subcomponents of the student performance category D However, for purposes of public reporting of aggregate data and that are not based on the grade 3-8 ELA or mathematics State assessments disclosure to parents pursuant to subdivision 10 of section 3012-c of the and/or a State-provided growth score on Regents examinations or, in in- Education Law, the original composite score and rating and the transition stances where no scores/ratings in the subcomponents of the student per- composite score and rating must be reported with an explanation of such formance category can be generated, for the 2016-2017 school year transition composite score and rating. through the 2018-2019 school year, a back-up SLO shall be developed by Revised Rural Area Flexibility Analysis the district/BOCES consistent with guidelines prescribed by the Commis- Since publication of a Notice of Proposed Rule Making in the State sioner using assessments approved by the Department that are not State Register on December 30, 2015, the proposed rule was revised as set forth assessments. in the Revised Regulatory Impact Statement herewith. D State provided growth scores will continue to be computed for advi- The above revisions to the proposed rule require revisions to the Report- sory purposes only and overall HEDI ratings will continue to be provided ing, Recordkeeping, and Other Compliance Requirements, and Profes- to teachers and principals based on such growth scores. However, during sional Services section of the previously published Rural Area Flexibility the transition period, only the transition score and rating will be used for Analysis as follows: purposes of Education Law §§ 3012-c and 3012-d and Subparts 30-2 and 2. REPORTING, RECORDKEEPING, AND OTHER COMPLIANCE 30-3, and for purposes of employment decisions, including tenure REQUIREMENTS; AND PROFESSIONAL SERVICES: determinations, individual employment records and for purposes of In September 2015, Governor Andrew Cuomo formed the Common proceedings under Education Law §§ 3020-a and 3020-b and teacher and Core Task Force to undertake a comprehensive review of the current status principal improvement plans. and use of the Common Core State Standards and assessments in New D However, for purposes of public reporting of aggregate data and York and to recommend potential reforms to the system. Following disclosure to parents pursuant to subdivision 10 of section 3012-c of the multiple meetings, the Task Force reviewed and discussed information Education Law, the original composite score and rating and the transition presented at public sessions and submitted through the website, and has composite score and rating must be reported with an explanation of such made a number of recommendations regarding the implementation of the transition composite score and rating. Common Core Standards. Revised Job Impact Statement On December 10, 2015, the Task Force released their report, affirming The purpose of proposed rule is necessary to implement the recommenda- that New York must have rigorous, high quality education standards to tions of the Common Core Task Force which were released on December improve the education of all of our students and hold our schools and 10, 2015. The Task Force recommended that until the new Learning Stan- districts accountable for students’ success but recommended that the Com- dards and State assessments are fully phased in, the results from the State mon Core standards be thoroughly reviewed and revised consistent as assessments (Grades 3-8 English language arts and mathematics) and the reflected in the report and that the State assessments be amended to reflect use of any State-provided growth model based on these tests or other State such revisions. In addition, the Task Force recommended that until the assessments shall not have evaluative consequence for teachers or new system is fully phased in, the results from the grades 3-8 English students. Because it is evident from the nature of the proposed rule that it language arts and mathematics State assessments and the use of any State- provided growth model based on these tests or other State assessments will have no impact on the number of jobs or employment opportunities in shall not have consequence for teachers or students. Specifically, Recom- New York State, no further steps were needed to ascertain that fact and mendation 21 from the Task Force’s Final Report (“Report”) provides as none were taken. Accordingly, a job impact statement is not required and follows: one has not been prepared. “…State-administered standardized ELA and Mathematics assessments Assessment of Public Comment for grades three through eight aligned to the Common Core or updated Since publication of a Notice of Proposed Rule Making in the State standards shall not have consequences for individual students or teachers. Register on December 31, 2015, the State Education Department (SED) Further, any growth model based on these Common Core tests or other received the following comments: state assessments shall not have consequences and shall only be used on 1. COMMENT: an advisory basis for teachers. The transition phase shall last until the start We still need to address the over-testing and inefficiency in the testing of the 2019-2020 school year”. of High School students in order to assess teachers. I work in a vocational Proposed amendment high school, and the students have to submit to two pre-tests and post tests In an effort to implement the Task Force’s recommendation, the in addition to their curriculum based testing and licensure testing. The proposed amendment makes the following changes: APPR system needs to be modified, streamlined- reconsidered. It is not in D Two new sections 30-2.14 and 30-3.17 are added to provide for a four the best interest of students. Some students are forced to repeat identical year transition period for annual professional performance reviews (AP- tests in home schools and in BOCES programs for the purpose of data. It PRs) while the State completes the transition to higher learning standards creates a chaotic and disheartening beginning and end to the school year, through new State assessments aligned to the higher learning standards, does not instill love of learning, does not exemplify humanism or good and a revised State-provided growth model. During the transition period, teaching and learning. the Commissioner will determine transition scores and ratings that will DEPARTMENT RESPONSE: replace the original scores and HEDI ratings computed under the existing Neither Education Law § 3012-d nor Subpart 30-3 of the Rules of the provisions of Subpart 30-2 and 30-3 of the Regents Rules for evaluation of Board of Regents require districts/BOCES to use pre-assessments as teachers and principals whose APPRs are based, in whole or in part, on baseline data when setting SLO growth targets. In fact, the Department State assessments in grades 3-8 ELA and mathematics assessments and has released a number of resources to assist districts and BOCES in State-provided growth scores on Regents examinations. The transition pe- minimizing assessments used in APPR, including the SLO 103 webinar, riod will end with the 2018-2019 school year. available on EngageNY at: https://www.engageny.org/resource/slo-103- D Section 30-2.14 relates to evaluations under Education Law § 3012-c for-teachers which provides guidance to districts and BOCES on using and Subpart 30-2 of the Regents Rules and applies to evaluations for the historical data and past performance trends to set growth targets. On the 2015-2016 school year only, as school districts conduct the negotiations contrary, this guidance suggests that districts/BOCES may use a student’s necessary to come into compliance with new Education Law § 3012-d. prior academic history as the baseline and is not required to use pre- Section 30-3.17 relates to evaluations under Education Law § 3012-d, and assessments. applies to evaluations for the 2015-2016 through the 2018-2019 school Additionally, Teach More, Test Less Testing Transparency Reports year. were provided to all districts and BOCES in New York State in 2014 D During the transition period, transition scores and HEDI ratings will wherein the Department reviewed each district’s/BOCES’ APPR plans replace the scores and HEDI ratings for teachers and principals whose and notified them of places in their APPR plans where they could take lo- HEDI scores are based, in whole or in part, on State assessments in grades cal action to reduce assessments in their district/BOCES. These letters are 3-8 ELA or mathematics (including where State-provided growth scores available on the NYSED website at: http://usny.nysed.gov/rttt/test/ are used) or on State-provided growth scores on Regents examinations. teachers-leaders/teach-more-test-less/home.html. D In the case of evaluations conducted pursuant to Education Law Moreover, pursuant to Section 30-3.4(b)(1)(iii) of the Rules of the § 3012-c and new § 30-2.14, the overall transition scores and ratings will Board of Regents, districts or BOCES who want to avoid additional test- be determined based upon the remaining subcomponents of the annual ing in their APPR plans may use SLOs based on school- or BOCES-wide, professional performance review that are not based on the grade 3-8 ELA group, team or linked results from the grades 4 or 8 State Science exams

6 NYS Register/March 30, 2016 Rule Making Activities or Regents exams for grades/subjects where no State assessment or part, that “State-administered standardized ELA and Mathematics assess- Regents exam currently exists. ments for grades three through eight aligned to the Common Core or 2. COMMENT: updated standards shall not have consequences for individual students or While I am appreciative of the proposed moratorium prohibiting the use teachers. Further, any growth model based on these Common Core tests or of Grades 3-8 State Assessments for evaluation purposes, I am encourag- other state assessments shall not have consequences and shall only be used ing you to rethink its use at all. We can’t ignore that the opt-out movement on an advisory basis for teachers during the period of time in which the in our State was motivated by student performance being linked to teacher/ State transitions to higher learning standards and a revised State growth principal evaluation. There is minimal evidence to support that State As- model.” sessments being linked to evaluations improve student achievement. On Newly appointed Commissioner MaryEllen Elia then recommended to the other hand, having 100% participation on an appropriately designed the Board of Regents that the State Education Department undertake a assessment will improve instructional practice, especially when combined searching review of the Common Core standards, Grades 3-8 Common with an effective data analysis process. Decoupling student performance Core ELA and Math assessments and the State provided growth model from evaluations will reverse the opt-out trend, thereby positively impact- used to measure student growth on those assessments for APPR purposes, ing student achievement. to be conducted over a four year period. At that point strict application of DEPARTMENT RESPONSE: new § 3012-d, which relied heavily on the State provided growth model to Education Law § 3012-d(4)(a)(1)(a) requires that State-provided evaluate the performance of teachers and provided, became untenable and could have resulted in unjust results and hardship to teachers and principals growth scores be used for evaluative purposes, where available, to provide that could not have been intended by the Legislature when it enacted sec- a score and rating in the required subcomponent of the Student Perfor- tion 3012-d. Because the APPR is a continuous process involving collec- mance category. Further, that same provision of the Education Law also tive negotiations between school districts and BOCES and the employee requires that State assessments be used as the underlying evidence for organizations representing classroom teachers and building principals, im- Student Learning Objectives (SLOs) where they exist. A statutory amend- mediate action was necessary to eliminate the potential for hardship and ment would be needed to permanently decouple State assessments from unjust results if the State provided growth model continued to be used for evaluations. high stakes decisions involving teachers and students while it, the growth 3. COMMENT: model, as well as the Common Core standards and assessments were be- There is a lot of discussion at the state and federal level about local ing reviewed and potentially modified. Based on Recommendation No. 21 control. I was disappointed that it appears that the regulations went too far of the Common Core Task Force, which included representation from the and took some of that local control away. To ‘‘forbid’’ the use of 3-8 test Governor and the Legislature, the Board of Regents adopted the regula- results took an option away that my district negotiated and had approved. tory language found in sections 30-2.14 and 30-3.17 of the Rules of the In good faith we negotiated building-wide growth scores K-6 based upon Board of Regents to avoid having the State-provided growth model used the 3-6 assessments and 7-12 building-wide growth scores based upon the for high stakes determinations for teachers and principals in circumstances 7-8 State Assessments and Regents Exams. I believe the Growth scores that the Legislature could not have anticipated and under which the we received were the best number despite the flawed implementation of Legislature could not have intended it be used for high stakes. the reform agenda and despite tests that are certainly not perfect. Had the Furthermore, sections 30-2.14 and 30-3.17 of the Rules of the Board of emergency regulations provided the option to use or not use results from Regents do not eliminate the requirement that districts and BOCES imple- the 3-8 tests, that would have been more in line with respecting local ment their APPR plans in their entirety during the transition period. Scores control, and I would have proposed to continue with our plan as is and and ratings pursuant to all of the measures found in the approved APPR other Districts could have chosen differently if desired. plan, including State-provided growth scores and measures that utilize the DEPARTMENT RESPONSE: grades 3-8 ELA and math State assessments, will continue to be calculated The regulatory language found in sections 30-2.14 and 30-3.17 of the and provided to educators for advisory purposes and districts/BOCES will Rules of the Board of Regents is intended to implement Recommendation continue to report this information to the State, and the State will continue #21 of the Governor’s Common Core Task Force, which was comprised to report aggregate data to the public. The regulations merely take scores of a diverse and highly qualified group of education officials, teachers, for those portions of the evaluation related to State-provided growth scores parents, the Governor and state legislative representatives. Recommenda- and SLOs based on State assessments out of the evaluation for employ- tion #21 states, in part, that “State-administered standardized ELA and ment purposes, including tenure determinations, individual employment Mathematics assessments for grades three through eight aligned to the records and teacher and principal improvement plans. Common Core or updated standards shall not have consequences for indi- 5. COMMENT: vidual students or teachers. Further, any growth model based on these To be forced to now potentially purchase and administer an additional Common Core tests or other state assessments shall not have consequences assessment so close to the State Assessments is both a financial burden on and shall only be used on an advisory basis for teachers during the period the district and is counterproductive to the edict from the State to reduce of time in which the State transitions to higher learning standards and a student assessments. revised State growth model.” The regulation implements the recommen- DEPARTMEENT RESPONSE: dation of the Governor’s Task Force, which was to prohibit the use 3-8 Sections 30-2.14 and 30-3.17 as adopted by the Board of Regents dur- Common Core assessments for evaluative purposes. See also Response to ing their February 2016 meeting do not require the creation of alternate Comment #4. SLOs in the 2015-16 school year. Based on feedback received from the 4. COMMENT: field, an amendment was made to the proposed rule at the February meet- It seems that the regulations are in conflict with the law, if the law ing to clarify that the alternate SLO requirement is only applicable to AP- dictates that 3-8 tests are to be administered and used. for informational PRs completed during the remainder of the transition period (2016-17 purposes only at this point, what would the ramifications be from the state through 2018-19 school years). Moreover, the regulation does not require level if a District chose to adhere to the law as opposed to the regulations districts/BOCES to purchase and/or create new assessments. On the con- by using the 3-8 results anyway, if I am correct that there is a conflict be- trary, districts/BOCES should consider utilizing any other assessments tween the two? that are currently being administered in classrooms when developing DEPARTMENT RESPONSE: alternate SLOs during the transition period. In many instances, the use of The Board of Regents have authority under Education Law section 207 formative and diagnostic assessments in combination with a summative to establish rules to carry into effect the laws and policies of the State re- assessment or performance task are already in use and can be authentic lating to education. In this instance, subsequent to the enactment of and meaningful measures of student performance. Further, districts/ Chapter 56 of the Laws of 2015, which enacted new § 3102-d of the BOCES have the option to use school- or district-wide measures based on Education Law to establish new requirements for annual professional per- State assessments that are not the grades 3-8 ELA and math State assess- formance reviews (APPRs) of teachers and principals, there was a ments, e.g., the grades 4 and 8 State Science assessments or the Regents profound change in circumstances that could not have been anticipated by examinations. the Legislature and the Governor at the time of enactment,. The Governor 6. COMMENT: appointed a Common Core Task Force, comprised of a diverse and highly Those of us that complied and successfully negotiated 3012-d plans qualified group of education officials, teachers, parents, and state legisla- should be able to use or not use results from 3-8 state tests if desired, and tive representatives, to review the Common Core standards and assess- we should not be forced to buy or create other assessments. If the ments that form the underpinning of the APPRs. The Common Core Task Commissioner/Board of Regents is able to permit Districts the option to Force recommended that the State Education Department thoroughly use Rubric scores only, great;. but please do not take away the option to review both the Common Core standards and assessments and the State- use the State Provided Growth Scores and/or results from the 3-8 state provided growth model used to measure growth on those assessments, and tests if a District so desires to do so. Perhaps the transitional regulations that there be a transition period established during which the grades 3-8 could/should state that approved 3012-d plans remain in effect ‘‘as is’’ un- assessments would not be used for high stakes decisions for teachers or less otherwise re-negotiated at the local level based on any permitted op- students. Specifically, the Task Force’s Recommendation #21 states, in tions that are identified.

7 Rule Making Activities NYS Register/March 30, 2016

DEPARTMENT RESPONSE: score ‘‘shall include the use of any back up SLOs developed by the district/ See Responses to Questions 3 and 5. BOCES in lieu of the State-provided growth score on State assessments.’’ 7. COMMENT: Before this revision, back up SLOs for teachers or principals whose Commenters request a one-year moratorium for districts that effectively student growth measure rested upon State assessments/Regents had to be negotiated and have approved by the State Education Department § 3012-d based upon those assessments. There would be no ‘‘back up’’ SLO based plans that include: no additional testing for districts that have approved upon another assessment. It is unclear whether 30-2.14(b)(2) now requires § 3012-d plans; districts whose § 3012-d plans contain group goals and/or acquisition of a State approved assessment and development of a new individual teacher scores based on state assessment or growth scores SLO, or whether these individuals' APPR composite scores would be should only utilize the teacher/principal observation portion of the matrix based solely on the remaining components that do not rely on State assess- included in a teacher or principal’s final rating if state assessments are not ments or Regents. permitted; back-up or new SLO’s whose targets are set after December 1, DEPARTMENT RESPONSE: 2015 should not be allowed for the 2015-2016 school year; for the 2016- Regarding the term “back-up SLO,” the Department agrees. Based on 2017 school year, information on new testing or additional tests that must feedback received from the field, section 30-3.17 of the Rules of the Board be purchased must be given to districts prior to budget development; there of Regents specifically uses the term “alternate SLO” instead of “back-up should be an acknowledgement that districts with approved § 3012-d plans SLO” when describing the measures that must be selected by districts and negotiated in good faith with teacher and administrative unions, and that BOCES during the 2016-17 through 2018-19 school years in the event given compliance with the new law the districts should be given wider that there are no remaining student performance measures for an educator discretion in implementation of our plans for at least the 2015-2016 school after the results of the grades 3-8 ELA and math State assessments and year; an unintended consequence of not including NYSED Science exam- any State-provided growth scores are excluded from the calculation of ination in the definition of state assessments is that some plans will have a transition scores and ratings. total focus on 4 and 8 science as a group measure for all teachers and Additionally, the Department agrees with your concerns over develop- principals, this needs to be addressed; and there must be material changes ing alternate SLOs during the 2015-16 school year. Based on feedback to the regulations that address the points above in relation to § 3012-d. from the field, the amended version of section 30-3.17 adopted by the DEPARTMENT RESPONSE: Board of Regents at their February meeting only requires the creation of Sections 30-2.14 and 30-3.17 as adopted by the Board of Regents dur- alternate SLOs during the 2016-17 through 2018-19 school years. ing their February 2016 meeting do not require the creation of alternate With respect to your concerns regarding additional testing, please see SLOs in the 2015-16 school year. Based on feedback from the field, an the response to Comment #5. amendment was made to the proposed rule at the February Regents meet- Regarding the use of Regents assessments as part of Student Perfor- ing to clarify that the alternate SLO requirement is only applicable to AP- mance measures for teachers whose courses end in those assessments, sec- PRs completed during the remainder of the transition period (2016-17 tions 30-2.14 and 30-3.17 of the Rules of the Board of Regents do not through 2018-19 school years). Additionally, districts and BOCES will preclude the use of Regents assessments as the underlying evidence for continue to have the ability to submit material changes to their APPR SLOs (see, e.g., Question 10 of the Department’s APPR Transition FAQ, plans during the transition period. Thus, if they desire to make changes to available on EngageNY at: https://www.engageny.org/resource/guidance- the measures specified in the APPR plan in light of the transition regula- on-new-york-s-annualprofessional-performance-review-law-and- tions, they are able to do so. For districts/BOCES will APPR plans already regulations). approved pursuant to Education Law § 3012-d in the 2015-16 school year, Alternate SLOs do not require additional testing. On the contrary, the description of the alternate SLOs that will be used during the transition districts/BOCES should consider utilizing any other assessments that are period shall be submitted to the Department on a supplemental form to currently being administered in those classrooms. In many instances, the their currently approved § 3012-d APPR plans (rather than re-opening use of formative and diagnostic assessments in combination with a sum- their plan in the Review Room portal). These districts/BOCES can submit mative assessment or performance task are already in use and can be the supplemental form to the Department any time between March 2, 2016 authentic and meaningful measures of student performance. However, and March 1, 2017 for implementation in the 2016-17 school year. Thus, please remember that all non-State assessments must be approved through there is a significant amount of time being provided to districts and the Assessment RFQ. BOCES to consider what measures they wish to use prior to implementa- Further, districts/BOCES have the option to use school- or district-wide tion for the 2016-17 school year. measures based on State assessments that are not the grades 3-8 ELA and Regarding the commenter’s concern relating to overreliance on the math State assessments, e.g., the grades 4 and 8 State Science assessments grades 4 and 8 State Science assessments, as indicated in the response to or the Regents examinations. Comment #3, Recommendation #21 from the Governor’s Common Core Regarding the commenter’s concern of having to create both back-up Task Force called for the exclusion of grades 3-8 ELA and math State as- SLOs and alternate SLOs during the transition period, the Department is sessments aligned to the Common Core, and did not include any reference considering this feedback and will take these comments into consideration. to State Science assessments. 9. COMMENT: 8. COMMENT: The transition period scoring regulations will result in multiple catego- The emergency regulations relating to 3012-d transition scores (30- ries of APPRs for 2015/16 under 3012-c and 3012-d: Teachers/principals 3.17) require that, where no scores/ratings in the student performance cat- whose score includes observations; Student growth based upon State ap- egory can be generated because they rely on State assessments, a new proved assessments; and Student achievement based upon State approved ‘‘back up’’ SLO must be developed using approved assessments other assessments (3012-c); Teachers/principals whose score includes observa- than State assessments. Compliance with this new requirement poses tions; and Student achievement based upon State approved assessments numerous challenges: (3012-c); Teachers/principals whose score is based solely upon observa- D The term ‘‘back up SLO’’ is misplaced as the new SLO is being tions (3012-c); Teachers/principals whose score is based upon observa- developed based upon an assessment not used previously for this purpose. tions; and Student growth based upon State approved assessments in ac- Districts have not budgeted for acquisition or development of approved cordance with previously negotiated APPR (3012-d); and Teachers/ assessments or necessarily provided training on the use of the assessment. principals whose score is based upon observations; and Student growth D It is much too late in the school year to measure a full year of growth based upon newly developed SLOs using State approved assessments in based upon a new assessment. order to comply with 30-3.17. We are concerned that the lack of consis- D Because students must still take state assessments and Regents, add- tency in the APPR measures for 2015/16 will raise questions of equity for ing new assessments for APPR purposes increases testing time for our teachers and principals. students. DEPARTMENT RESPONSE: D Whether directly or indirectly, high school teachers have been evalu- The regulatory language found in sections 30-2.14 and 30-3.17 of the ated at least partially on their Regents results long before the advent of Rules of the Board of Regents is intended to implement Recommendation Common Core. Their SLO's and the core business of the high schools #21 of the Governor’s Common Core Task Force, which was comprised support this model. Excluding non-Common Core Regents exams mid- of a diverse and highly qualified group of education officials, teachers, year without a clear and vetted alternative, or adding an additional assess- parents, and state representatives. Recommendation #21 states, in part, ment for evaluation purposes, fundamentally shifts the focus of the high that “State-administered standardized ELA and Mathematics assessments school program. for grades three through eight aligned to the Common Core or updated There is similar confusion regarding the use of ‘‘back up SLOs’’ in the standards shall not have consequences for individual students or teachers. revisions to 3012-c regulations. New section 30-2.14 (b)(2) states that, for Further, any growth model based on these Common Core tests or other the transition period, the composite APPR score and rating shall be gener- state assessments shall not have consequences and shall only be used on ated based upon the ‘‘remaining subcomponents of the annual profes- an advisory basis for teachers during the period of time in which the State sional performance review that are not based on State assessments and/or transitions to higher learning standards and a revised State growth model. a State-provided growth score on Regents examinations’’ and that this The law requires that districts’ and BOCES’ APPR plans require that

8 NYS Register/March 30, 2016 Rule Making Activities the same measures be used for all teachers of the same grade and subject state assessments shall not have consequences and shall only be used on across a district for the required subcomponent of the Student Perfor- an advisory basis for teachers during the period of time in which the State mance category. Therefore, the calculation of transition scores and ratings transitions to higher learning standards and a revised State growth model. must include the same components for all teachers of the same grade and The Department is requiring districts/BOCES to use an alternate SLO subject, but not necessarily across the district. for the 2016-2017 school year through the 2018-2019 school year because 10. COMMENT: the Department believes that consistent with the intent of Education Law At the local level, school districts and BOCES have worked tirelessly to § 3012-d, it is important to measure a teacher’s or principal’s performance maintain working relationships with negotiating units through the itera- based on both student performance and observations. As a result, the tions of APPR. This is becoming increasingly difficult, reflecting the Department is requiring districts/BOCES to develop alternate SLOs in uncertainty over the years in APPR. lieu of the State-provided growth scores. However, based on feedback DEPARTMENT RESPONSE: from the field, alternate SLOs will not be required in the 2015-2016 school The Department is committed to continuing its work with stakeholder year. groups as the State completes the transition to higher learning standards 15. COMMENT: through new State assessments aligned to higher learning standards, and a Convene a panel of nationally recognized experts in the areas of teach- revised State-provided growth model and hopes this transition period will ing and learning, curriculum development and psychometrics. The panel provide some stability in APPR. should also include seasoned practitioners, including teachers, principals 11. COMMENT: and superintendents. The charge to the panel should be to create a For school districts issued waivers, it will now be impossible to reach meaningful teacher and principal evaluation system that links practice to consensus on 3012-d compliant APPR with local negotiating units as it is measurable student outcomes. very unclear what the rules will be. We recommend that currently issued DEPARTMENT RESPONSE: waivers be deemed effective at least through the 2015/16 school year Section 30-3.1(e) of the Rules of the Board of Regents indicates that the without the need for further application. Board of Regents shall convene an assessment and evaluation workgroup DEPARTMENT RESPONSE: or workgroups, comprised of stakeholders and experts in the field to The Department has notified each superintendent in a district with an provide recommendations to the Board of Regents on assessments and approved hardship waiver who is implementing an APPR plan pursuant to evaluations that could be used for annual professional performance Education Law § 3012-c that such Waiver has been automatically reviews in the future. extended through August 31, 2016. Notice of the Hardship Waiver ap- 16. COMMENT: proval status for applicable districts has also been posted on each district’s On behalf of our school district clients, I would like to ask for clarifica- APPR plan page on the Department’s “Approved APPR Plans” webpage tion in the regulations about districts’ duties to continue to create and at http://usny.nysed.gov/rttt/teachers-leaders/plans/. Thus, the Department implement back-up SLOs based on the now-prohibited State assessments. believes this concern has been addressed. That is, since the 3-8 State assessments will still be used for advisory 12. COMMENT: scores, should there not be enough students in a class taking the Math/ Substituting alternative assessments for state assessments in the ELA exams for the teacher to receive a SPGS, does the district then have development of student learning objectives (SLOs) may actually require to do the original version of a back-up SLO based on that State assess- an increase in budgets spent on assessments and/or reallocate limited fis- ment? I would ask that the Department please consider the increased cal resources to fund the development of new teacher-developed SLO workload this will have for districts if the answer is yes, since beginning assessments. Given the Task Force’s recommendation of the review and next year districts would then have to do 2 back-up SLOs for each of their the revision of the Common Core Learning Standards, we believe that grades 3-8 teachers and principals – a State assessment back up SLO and developing any new assessments liked to standards still under review will an alternate, non-State assessment back-up SLO. continue to erode our communities’ confidence in our system. DEPARTMENT RESPONSE: DEPARTMENT RESPONSE: Back-up SLO requirements are not specifically addressed in sections The regulatory language found in sections 30-2.14 and 30-3.17 of the 30-2.14 or 30-3.17 of the Rules of the Board of Regents. The Department Rules of the Board of Regents is intended to implement Recommendation will take this feedback into consideration when making revisions to the #21 of the Governor’s Common Core Task Force, which was comprised APPR Transition Guidance document, which the Department anticipates of a diverse and highly qualified group of education officials, teachers, releasing shortly. parents, and state representatives. Recommendation #21 states, in part, 17. COMMENT: that “State-administered standardized ELA and Mathematics assessments Please do not require that § 3012-d districts use back-up SLO's for for grades three through eight aligned to the Common Core or updated Grades 3-8 ELA and Math. § 3012-d districts should be allowed to use standards shall not have consequences for individual students or teachers. 100% observation for 2015-16. This would provide those of us that went Further, any growth model based on these Common Core tests or other ahead and did the right thing by seeking approval for § 3012-d, to have state assessments shall not have consequences and shall only be used on equity with § 3012-districts. an advisory basis for teachers during the period of time in which the State DEPARTMENT RESPONSE: transitions to higher learning standards and a revised State growth model. Based on feedback received from the field, the regulations were As for your concerns relating to additional testing and/costs to create an amended to eliminate the requirement for alternate SLOs for the 2015- alternate SLO, please see the Response to No. 5. 2016 school year. The amended version of section 30-3.17 adopted by the 13. COMMENT: Board of Regents at their February meeting only requires the creation of Declare a full moratorium on Common Core-derived NYSED assess- alternate SLOs during the 2016-17 through 2018-19 school years. Thus, ment data for the purpose of student/teacher evaluation, including related during the 2015-16 school year, if after excluding the results of the grades local assessments. Such a moratorium shall remain in effect until such 3-8 ELA and math State assessments and any State-provided growth time as the newly designed assessments are proven valid, reliable and scores, there are no remaining student performance measures, then aligned to the new standards. No assessments should be utilized until the educator’s evaluations will be based only on the observation/school visit revised standards have been adopted. category. Also, see Response to Comment #16. DEPARTMENT RESPONSE: 18. COMMENT: See response to Comment #3. While I commend the Regents for your responsiveness, I hope that you 14. COMMENT: might consider that the widely stated concerns about the use of student as- Implement a teacher and principal evaluation that will be based on the sessment data are not limited to Common Core tests, and are in fact preva- subcomponents currently defined and assessed through state-approved lent with any measure of student performance that is used to evaluate rubrics during the moratorium. These components will shift in weight teachers and principals. As such, I ask that the Board of Regents consider from 50 to 100 points and require a supervisor to use a range of student as- suspending the use of all student performance measures, including those sessment data as a component of teacher/principal evaluation. based on any State assessment, Regents exam, or other State approved as- DEPARTMENT RESPONSE: sessment, both for the current school year and throughout the transition The regulatory language found in sections 30-2.14 and 30-3.17 of the period. Rules of the Board of Regents is intended to implement Recommendation Within a given school or district, some educators will be evaluated #21 of the Governor’s Common Core Task Force, which was comprised based on student performance results and others will not. This creates an of a diverse and highly qualified group of education officials, teachers, inequity and inconsistency that will surely fuel the negativity and divisive- parents, and state representatives. Recommendation #21 states, in part, ness related to the APPR. This inequity will seemingly be resolved next that “State-administered standardized ELA and Mathematics assessments year and through the transition period, wherein the regulations require the for grades three through eight aligned to the Common Core or updated development of an alternate SLO, using State-approved assessments other standards shall not have consequences for individual students or teachers. than grades 3?128;8 ELA or math State assessments. While the results Further, any growth model based on these Common Core tests or other of diagnostic formative assessments may be used for these alternate SLOs,

9 Rule Making Activities NYS Register/March 30, 2016 it must be considered that most districts selected such assessments for use the current plan, my scores are based on a different set of evaluative in screening students for academic intervention, and may have intention- criteria than others in my kindergarten through 4th grade building. I have ally excluded them from previous APPR plans. Not only were these as- test scores beyond my control AND an observation while colleagues have sessments not designed to be used as a measure of educator effectiveness; an observation alone. Shouldn't we all just be observed - especially this to use them for this purpose would lead to the same level of anxiety and year? resistance that has surfaced with grades 3-?128;8 ELA and math DEPARTMENT RESPONSE: assessments. As a result, the valuable and informative student learning The law requires that APPR plans use the same measures for all teach- data from these assessments may be compromised, particularly as a result ers of the same grade and subject across a district for the required of parents opting out, thereby limiting districts’ ability to use this data for subcomponent of the Student Performance category. Thus, the calculation its intended purpose – to monitor student progress in learning. of transition scores and ratings must include the same measures for all DEPARTMENT RESPONSE: teachers of the same grade and subject. See Responses to No. 3, 5 and 9. In addition, when creating an alternate Additionally, please see the response to Comment #9. SLO during the transition period, school districts, boards of cooperative 22. COMMENT: educational services should consider this comment when selecting an as- I recognize and appreciate the right of the state education department to sessment for the SLO. change the APPR procedures. However, doing so at mid-year is neither 19. COMMENT: fair nor morally right. I believe that any changes made this year in the The regulations allow for the development of SLOs, including school APPR process should not go into effect until next year. For this year we or district?128;wide measures, using other State assessments such as the should go under the old APPR procedures. As teachers, we have planned grades 4 and 8 State Science assessments or Regents examinations. While and prepared for the APPR process as it has been and was until the recent this may seem to be a viable alternative for the transition period, it must be changes. considered that the SLO target setting process is typically arbitrary, DEPARTMENT RESPONSE: nonscientific, and not based on a statistically valid or reliable growth Based on feedback received from the field, an amendment was made to model. While superintendents must assure the Department that all SLO the proposed rule at the February meeting to clarify that alternate SLOs growth targets represent a minimum of one year of expected growth, are only applicable to APPRs completed during the 2016-17 through districts must establish these targets with a narrow and limited data set, 2018-19 school years. Therefore, no changes will be needed to approve without access to comparable data for similar students, and without the plans for use in the 2015-2016 school year. ability to conduct the robust statistical analysis that is inherent in the State- However, sections 30-2.14 and 30-3.17 of the Rules of the Board of provided growth scores. In fact, we find it most disconcerting that the Regents still require your district/BOCES to calculate and provide to most reliable and valid measure of student performance available – that of teachers the original scores and ratings calculated using all of the measures the State?128;provided growth score – must be set aside entirely, and specified in the approved APPR plan for advisory purposes. Thus, the replaced with locally?128;determined academic goals that do not meet Department hopes that these original scores and ratings will continue to be any industry standard of statistical reliability or validity. used at the local level for advisory purposes. DEPARTMENT RESPONSE: 23. COMMENT: Education Law § 3012-d(4)(a)(1) requires that Student Learning Objec- I do not think it is fair for some teachers to receive only an observation tives be used in instances where there is no State-provided growth score score. All teachers should only receive an observation score. We should available. During the transition period, an educators’ transition scores and not just use the regents and science for exams for a score. Aren't they ratings cannot use State-provided growth scores, SLOs must be used. The student assessments, too that are illegal to use? Department has developed a number of resources around developing DEPARTMENT RESPONSE: meaningful SLOs. These resources are available on EngageNY at: https:// Please see responses to Comments 9 and 18. www.engageny.org/resource/student-learning-objectives. 24. COMMENT: 20. COMMENT: Please remove this rating system for ALL teachers until we can agree Thank you for providing the field with the FAQ dated January 15, 2016. on something else. If possible, could you please further clarify the following points? DEPARTMENT RESPONSE: 1. In the document, it states that for the 15-16 school year, grades 4-8 Education Law § 3012-d requires that all teachers be evaluated using a will have state growth scores excluded, but the score should still be comprehensive evaluation system. A statutory change would be needed to reported to the teacher as an advisory score. If the school district has not eliminate the teacher and principal evaluation system. finished writing back-up SLOs, should they continue this process, since 25. COMMENT: the score will be excluded and the back-up is for ‘‘emergency’’ purposes If made permanent in its current form, § 30-3.17 will prohibit districts only? This would seem to be one of the undue burdens mentioned in the from using student performance on State Assessments for any teacher or FAQ, principal evaluative purpose. This, in and of itself, is violative of Educa- 2. Until 2019, the document states, the teachers who receive state tion Law § 3012-d(1) which provides that, “for a teacher whose course growth scores, should be given the score in an advisory capacity, but ends in a state-created or administered test for which there is a state- should create a SLO or have a group measure based on one of the alterna- provided growth model, such teacher shall have a state-provided growth tive measures. Should the teacher not have a high enough ‘‘n’’ to generate score based upon such model…” Further, under § 3012-d(2), where a the advisory growth score, does the teacher still need the back-up SLO course ends in a State-created or administered test, but there is no State- based on the state assessment in addition to the SLO or group metric provided growth score, “such assessment must be used as the underlying described in the guidance, in order to provide the teacher with the advi- assessment for such SLO.” sory score? Again, this seems to fall in the undue burden category, but we As I understand the transition regulations, the State will continue to uti- would like clarification to guarantee we are in compliance. lize a growth model and calculate growth scores, § 30-3.17(b)(1), which 3. In all previous guidance, teachers could only be linked to tests that may be used only for advisory purposes and not to determine the manda- were given in their building. Language often said ‘‘school-wide’’, in the tory student performance subcomponent rating, § 30-3.17(b)(2). This is in FAQ dated 1/15/16 there are references to ‘‘district-wide measures’’. Does direct conflict with the statute. Even if it is argued that, the “advisory” this mean a district could link a k-3 building to the 4th grade science exam score is not based upon an approved, State-provided growth model and, or all of the students to the results of the regents exams? If a district-wide therefore, it is not a true State-provided growth score, State Assessments measure is a possibility, is it only allowable during the transition period or must nevertheless be used for the SLO. The corrosive effect of agency will districts be allowed to link all teachers, who do not receive a growth mandated violations of § 3012-d on the future acceptance of APPR cannot score, to a district measure after 2019? be underestimated, especially where, as I understand, the “need to comply DEPARTMENT RESPONSE: with the statute,” is the stated basis for the additional testing burdens Regarding items 1 and 2, back-up SLO requirements are not specifi- placed on districts discussed below. All evaluations under the emergency cally addressed in sections 30-2.14 or 30-3.17 of the Rules of the Board of regulations will be subject to attack, as none will comply with the law. Regents. The Department will take this feedback into consideration when DEPARTMENT RESPONSE: making revisions to the APPR Transition Guidance document. The regulatory language found in sections 30-2.14 and 30-3.17 of the Regarding item #3, the provisions relating to district-wide measures in Rules of the Board of Regents is intended to implement Recommendation the Department’s APPR Transition FAQ refer only to alternate SLOs used #21 of the Governor’s Common Core Task Force, which was comprised during the transition period, not traditional SLOs used for teachers whose of a diverse and highly qualified group of education officials, teachers, courses do not end in a State assessment. The Department will take the parents, and state legislative representatives. Recommendation #21 states, commenter’s feedback into consideration when revising the APPR Guid- in part, that “State-administered standardized ELA and Mathematics as- ance documents. sessments for grades three through eight aligned to the Common Core or 21. COMMENT: updated standards shall not have consequences for individual students or As a veteran first grade teacher, I think it is terribly unfair that based on teachers. Further, any growth model based on these Common Core tests or

10 NYS Register/March 30, 2016 Rule Making Activities other state assessments shall not have consequences and shall only be used Please see the Responses to Comments #3, 5 and 9. on an advisory basis for teachers during the period of time in which the 30. COMMENT: State transitions to higher learning standards and a revised State growth We are concerned that certain language now appearing in 30-2.14(c) model. The regulations implement these recommendations. and 30-3.17(b), if adopted on a permanent basis, could have the impact of 26. COMMENT: severely reducing the utility of the teacher or principal improvement plan, Under the emergency regulations, Districts must either (1) use ad- and will deprive educational leaders of an important tool in developing ef- ditional State-approved assessments to create SLOs; or (2) generate SLOs fective teachers and principals. based upon group goals on State-created assessments that are far removed Specifically, our concern is that there is a strong possibility that the from the teachers being evaluated. Although the State believes that most regulatory language identified above will be used to support an argument districts already use State-approved assessments for some purpose, many that from now on an improvement plan can only be prepared and imple- districts, such as my own, have taken heed of the statutory proscriptions mented for a classroom teacher or principal after a transition rating is on unnecessary additional testing and have eliminated most, if not all, derived and that rating is either Developing or Ineffective. non-State assessments. For many, additional assessments are confined to DEPARTMENT RESPONSE: the primary grades, K-2, which have no State-created assessments. Thus, Districts/BOCES must use transition scores and ratings when making under the emergency regulations, many districts may be forced to use determinations regarding whether an educator will be placed on an scarce resources – in a year where the tax cap is 0.12%, to cover the cost improvement plan. of purchasing and implementing new assessments. More importantly, the However, the Department believes that all educators will benefit from emergency regulations increase the amount of testing that is required for the development of Personal Professional Development Plans (PPDPs). our students, as the State Assessments will not be eliminated during the We recommend that districts work collaboratively with each of their transition period. We note that the requirements of 8 NYCRR § 30- educators to ensure the development of individualized PPDPs for every 3.3(a)(3), limiting the amount of time that may be devoted to test prepara- teacher and principal in order to support continuous improvements for all tion have not been lifted. educators, regardless of their rating. DEPARTMENT RESPONSE: 31. COMMENT: Please see response to Comments #5 and 9. Commenters expressed concern about the proposed language for regula- 27. COMMENT: tions 30-2.14(c) and 30-3.17(b). The specific language in the Regents We understand that the emergency regulations allow back-up SLOs Rules that causes us concern is this: based upon group goals using State-approved assessments, which may § 30-2.14(c) “The requirement for a teacher or principal improvement include third-party assessments and State-created assessments such as the plan shall be based on the teacher’s or principal’s transition composite eighth grade science assessment or Regents examinations. Again for score and rating.” districts that do not already use State-approved, third party assessments, § 30-3.17(b) “The requirement for a teacher or principal improvement this could create a new testing burden. The alternative is to evaluate teach- plan shall be based on the teacher’s or principal’s overall transition com- ers using assessments far removed from the teachers’ actual classrooms. posite rating.” While unions in many districts have warmed up to group goals using Commenters do not take issue with SED’s intention of blocking use of the State Assessments to help reduce testing and disruptions to instruction, the statutorily-determined rating under 3012-c and 3012-d, but think this these assessments are close to the teachers at the elementary level. It is language could be used by teacher associations to argue that improvement easy to explain to a third grade teacher that their efforts directly influence plans can only be initiated under these limited circumstances. Comment- the performance of students in the fourth or fifth grade. It is almost ers suggest that the problem can be avoided if the Final Rules are adopted inconceivable that they would accept that a third grade teacher would be with the following language: held accountable to a Regents examination or that the eighth grade science 8 NYCRR 30-2.14(c): “During the transition period defined by this sec- teachers would have the burden of accountability for the entire 3-8, or tion, whether the preparation of a teacher or principal improvement plan is potentially K-8, population. Yes, SLOs are controlled by the Superinten- required by subsection 4 of section 3012-c of the Education Law shall be dent, but districts must still negotiate APPR agreements with the unions. determined by the teacher’s or principal’s transition composite score and DEPARTMENT RESPONSE: rating.” Or, alternately, “The requirement for a teacher or principal Please see response to Comments #5 and 9. Also, an elementary teacher improvement plan shall be based on the teacher’s or principal’s transition could be evaluated based on the 4th and 8th grade State science composite score and rating for subsection 4 of section 3012-c of the Educa- assessments. tion Law. This does not prevent a teacher or principal improvement plan 28. COMMENT: from being required under other circumstances unrelated to composite Regardless of whether districts are able to negotiate new agreements, scores and ratings.’’ the integrity and validity of such agreements would be questionable at 8 NYCRR 30-3.17(b): “During the transition period defined by this best. What are superintendents to say to unions and the community who section, whether the preparation of a teacher or principal improvement object to additional burdensome testing or to the fundamental unfairness plan is required by subsection 15 of section 3012-d and subsection 4 of of evaluating a teacher on the performance of students years removed section 3012-c of the Education Law shall be determined by the teacher’s from their classroom? “We must comply with the law.” If this is the case, or principal’s overall transition composite rating.” Or, alternately, “The how do we respond when we are asked why we must when the emergency requirement for a teacher or principal improvement plan shall be based on regulations, themselves, do not? “We just need to get through this so we the teacher’s or principal’s overall transition composite rating. This does don’t lose our funding.” If this is case, why are we using scarce and valu- not prevent a teacher or principal improvement plan from being required able resources for the sake of compliance without educational benefit? If under other circumstances unrelated to composite scores and ratings.” § 3012-d agreements are not negotiated, how will the State justify DEPARTMENT RESPONSE: withdrawing funding for failure to comply with the law, when the emer- The Department will consider clarifying the intent of the regulation in gency regulations do not? its next iteration of the APPR transition guidance. DEPARTMENT RESPONSE: 32. COMMENT: Please see the response to Comment #5 and 9.Regarding withholding of By removing the State Assigned Building Score, the largest weighted a district’s State aid, Education Law § 3012-d(11) specifically links part of a teacher’s SLO is no longer included. Out of a teaching staff of implementation of 3012-d and Subpart 30-3 to a district’s State aid about 300, only 23 teachers have SLOs solely based on students they increase. A legislative amendment would be needed to decouple State aid instruct in a course ending in a RE. All others had had SLOs based in the from the evaluation system. 3-8 testing or had a Building Score coupled with RE results. I’m having 29. COMMENT: difficulty not only in the idea of removing the Building Score for a large Rather than force districts to comply, for compliance sake, with regula- portion of my HS staff as mentioned above, but also assigning SLOs to tions that themselves do not comply with statutory requirements, we ask less than 10% of my staff that do not have the Building Score in their SLO that the State either (1) reconsider allowing State Assessments to be used equation. There is a clear equity issue with this. An option might be to re- for SLOs, noting that the Commissioner has the statutory authority to open and complete a material change to Part 2 of our APPR plan. determine and develop the goal-setting process and can use this authority Alternately, you could just remove the Student Performance section for to develop a fair transition; or (2) revise the regulations so that districts everyone this year. with no alternatives to State Assessments for Student Performance in their DEPARTMENT RESPONSE: APPR plans can revert to using the Teacher Observation or School Visit See Response to Comments No. 9. category only. It is preferable to develop a transition that is compliant with 33. COMMENT: the statute, but if we are to be out of compliance with the statute, why do With more and more plans calling for building-wide measures- and in so in a way that places additional burdens on districts and further risks the the future especially with district-wide measures, there will be a great integrity of APPR? number of questions on who can actually score assessments in the district. DEPARTMENT RESPONSE: RESPONSE:

11 Rule Making Activities NYS Register/March 30, 2016

The Department will consider this comment as it moves forward and person or entity licensed, registered, incorporated or otherwise formed districts/BOCES should consider this when developing their APPR plans. pursuant the Banking Law. Text of emergency rule: Part 501 NOTICE OF EXPIRATION BANKING DIVISION ASSESSMENTS The following notice has expired and cannot be reconsidered un- § 501.1 Background. less the Education Department publishes a new notice of proposed Pursuant to the Financial Services Law (“FSL”), the New York State rule making in the NYS Register. Banking Department (“Banking Department”) and the New York State In- surance Department were consolidated on October 3, 2011 into the Off-Premises Delivery of Prescription Medications by New York Department of Financial Services (“Department”). Prior to the consolidation, assessments of institutions subject to the Resident Pharmacies Banking Law (“BL”) were governed by Section 17 of the BL. Effective I.D. No. Proposed Expiration Date October 3, 2011, assessments are governed by Section 206 of the FSL, EDU-10-15-00011-P March 11, 2015 March 10, 2016 provided that Section 17 of the BL continues to apply to assessments for the fiscal year commencing on April 1, 2011. Both Section 17 of the BL and Section 206 of the FSL provide that all expenses (including, but not limited to, compensation, lease costs and other overhead costs) of the Department attributable to institutions subject Department of Financial Services to the BL are to be charged to, and paid by, such regulated institutions. These institutions (“Regulated Entities”) are now regulated by the Bank- ing Division of the Department. Under both Section 17 of the BL and Sec- EMERGENCY tion 206 of the FSL, the Superintendent is authorized to assess Regulated Entities for its total costs in such proportions as the Superintendent shall RULE MAKING deem just and reasonable. The Banking Department has historically funded itself entirely from Assessment of Entities Regulated by the Banking Division of the industry assessments of Regulated Entities. These assessments have Department of Financial Services covered all direct and indirect expenses of the Banking Department, which are activities that relate to the conduct of banking business and the regula- I.D. No. DFS-13-16-00002-E tory concerns of the Department, including all salary expenses, fringe Filing No. 278 benefits, rental and other office expenses and all miscellaneous and overhead costs such as human resource operations, legal and technology Filing Date: 2016-03-11 costs. Effective Date: 2016-03-13 This regulation sets forth the basis for allocating such expenses among Regulated Entities and the process for making such assessments. PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- § 501.2 Definitions. The following definitions apply in this Part: cedure Act, NOTICE is hereby given of the following action: (a) “Total Operating Cost” means for the fiscal year beginning on Action taken: Addition of Part 501 to Title 3 NYCRR. April 1, 2011, the total direct and indirect costs of operating the Banking Statutory authority: Banking Law, section 17; Financial Services Law, Division. For fiscal years beginning on April 1, 2012, “Total Operating section 206 Cost” means (1) the sum of the total operating expenses of the Depart- Finding of necessity for emergency rule: Preservation of general welfare. ment that are solely attributable to regulated persons under the Banking Law and (2) the proportion deemed just and reasonable by the Superin- Specific reasons underlying the finding of necessity: Pursuant to the tendent of the other operating expenses of the Department which under Financial Services Law (“FSL”), the New York State Banking Depart- Section 206(a) of the Financial Services Law may be assessed against ment (“Banking Department”) and the New York State Insurance Depart- persons regulated under the Banking Law and other persons regulated by ment were consolidated, effective October 3, 2011, into the Department of the Department. Financial Services (“Department”). (b) “Industry Group“ means the grouping to which a business entity Prior to the consolidation, assessments of institutions subject to the regulated by the Banking Division is assigned. There are three Industry Banking Law (“BL”) were governed by Section 17 of the BL; effective on Groups in the Banking Division: October 3, 2011, assessments are governed by Section 206 of the Financial (1) The Depository Institutions Group, which consists of all banking Services Law, provided that Section 17 continues to apply to assessments organizations and foreign banking corporations licensed by the Depart- for the fiscal year which commenced April 1, 2011. ment to maintain a branch, agency or representative office in this state; Both Section 17 of the Banking Law and Section 206 of the Financial (2) The Mortgage-Related Entities Group, which consists of all Services Law provide that all expenses (compensation, lease costs and mortgage brokers, mortgage bankers and mortgage loan servicers; and other overhead) of the Department in connection with the regulation and (3) The Licensed Financial Services Providers Group, which consists supervision (including examination) of any person or entity licensed, of all check cashers, budget planners, licensed lenders, sales finance registered, incorporated or otherwise formed pursuant to the BL are to be companies, premium finance companies and money transmitters. charged to, and paid by, the regulated institutions subject to the supervi- (c) “Industry Group Operating Cost” means the amount of the Total sion of in the Banking Division of the Department (the “Banking Operating Cost to be assessed to a particular Industry Group. The amount Division”). Under both statutes, the Superintendent is authorized to assess is derived from the percentage of the total expenses for salaries and fringe regulated institutions in the Banking Division in such proportions as the benefits for the examining, specialist and related personnel represented Superintendent shall deem just and reasonable. by such costs for the particular Industry Group. Litigation commenced in June, 2011 challenged the methodology used (d) “Industry Group Supervisory Component” means the total of the by the Banking Department to assess mortgage bankers. On May 3, 2012, Supervisory Components for all institutions in that Industry Group. the Appellate Division invalidated this methodology for the 2010 State (e) “Supervisory Component” for an individual institution means the Fiscal Year, finding that the former Banking Department had not followed product of the average number of hours attributed to supervisory oversight the requirements of the State Administrative Procedures Act. by examiners and specialists of all institutions of a similar size and type, In response to this ruling, the Department has determined to adopt this as determined by the Superintendent, in the applicable Industry Group, or new rule setting forth the assessment methodology applicable to all enti- the applicable sub-group, and the average hourly cost of the examiners ties regulated by the Banking Division for fiscal years beginning with fis- and specialists assigned to the applicable Industry Group or sub-group. cal year 2011. (f) “Industry Group Regulatory Component” means the Industry Group The emergency adoption of this regulation is necessary to implement Operating Cost for that group minus the Industry Group Supervisory the requirements of Section 17 of the Banking Law and Section 206 of the Component and certain miscellaneous fees such as application fees. Financial Services Law in light of the determination of the Court and the (g) “Industry Financial Basis” means the measurement tool used to ongoing need to fund the operations of the Department without distribute the Industry Group Regulatory Component among individual interruption. institutions in an Industry Group. Subject: Assessment of entities regulated by the Banking Division of the The Industry Financial Basis used for each Industry Group is as follows: Department of Financial Services. (1) For the Depository Institutions Group: total assets of all institu- Purpose: New Part 501 implements Section 17 of the Banking Law and tions in the group; Section 206 of the Financial Services Law and sets forth the basis for al- (2) For the Mortgage-Related Entities Group: total gross revenues locating all costs and expenses attributable to the operation of the Banking from New York State operations, including servicing and secondary mar- Division of the Department of Financial Services among and between any ket revenues, for all institutions in the group; and

12 NYS Register/March 30, 2016 Rule Making Activities

(3) For the Licensed Financial Services Providers Group: (i.) for banking business and the regulatory concerns of the Department, includ- budget planners, the number of New York customers; (ii.) for licensed ing all salary expenses, fringe benefits, rental and other office expenses lenders, the dollar amount of New York assets; (iii.) for check cashers, the and all miscellaneous and overhead costs such as human resource opera- dollar amount of checks cashed in New York; (iv.) for money transmitters, tions, legal and technology costs. the dollar value of all New York transactions; (v.) for premium finance This reflects a long-standing State policy that the regulated industries companies, the dollar value of loans originated in New York; and (vi.) for are the appropriate parties to pay for their supervision in light of the sales finance companies, the dollar value of credit extensions in New York. financial benefits it provides to them to engage in banking and other (h) “Financial Basis” for an individual institution is that institution’s regulated businesses in New York. The statute specifically provides that portion of the measurement tool used in Section 501.2(g) to develop the these costs are to be allocated among such institutions in the proportions Industry Financial Basis. (For example, in the case of the Depository deemed just and reasonable by the Superintendent. Institutions Group, an entity’s Financial Basis would be its total assets.) While this type of allocation had been the practice of the former Bank- ing Department for many decades, Homestead found that a change to the (i) “Industry Group Regulatory Rate” means the result of dividing the methodology for mortgage bankers to include secondary market and Industry Group Regulatory Component by the Industry Financial Basis. servicing income should be accomplished through formal regulations (j) “Regulatory Component” for an individual institution is the product subject to the SAPA process. Given the nature of the Banking Division’s of the Financial Basis for the individual institution multiplied by the assessment methodology - - the calculation and payment of the assessment Industry Group Regulatory Rate for that institution. is ongoing throughout the year and any period of uncertainty as to the ap- § 501.3 Billing and Assessment Process. plicable rule would be extremely disruptive - - the Department has The New York State fiscal year begins April 1 and ends March 31 of the determined that it is necessary to adopt the rule on an emergency basis so following calendar year. Each institution subject to assessment pursuant as to avoid any possibility of disrupting the funding of its operations. to this Part is billed five times for a fiscal year: four quarterly assessments 3. Needs and Benefits (each approximately 25% of the anticipated annual amount) based on the The Banking Division regulates more than 250 state chartered banks Banking Division’s estimated annual budget at the time of the billing, and and licensed foreign bank branches and agencies in New York with total a final assessment (or “true-up”), based on the Banking Division’s actual assets of over $2 trillion. In addition, it regulates a variety of other entities expenses for the fiscal year. Any institution that is a Regulated Entity for engaged in delivering financial services to the residents of New York any part of a quarter shall be assessed for the full quarter. State. These entities include: licensed check cashers; licensed money § 501.4 Computation of Assessment. transmitters; sales finance companies; licensed lenders; premium finance The total annual assessment for an institution shall be the sum of its companies; budget planners; mortgage bankers and brokers; mortgage Supervisory Component and its Regulatory Component. loan servicers; and mortgage loan originators. § 501.5 Penalties/Enforcement Actions. Collectively, the regulated entities represent a spectrum, from some of All Regulated Entities shall be subject to all applicable penalties, the largest financial institutions in the country to the smallest, including late fees and interest, provided for by the BL, the FSL, the State neighborhood-based financial services providers. Their services are vital Finance law or other applicable laws. Enforcement actions for nonpay- to the economic health of New York, and their supervision is critical to ment could include suspension, revocation, termination or other actions. ensuring that these services are provided in a fair, economical and safe § 501.6 Effective Date. manner. This Part shall be effective immediately. It shall apply to all State Fis- This supervision requires that the Banking Division maintain a core of cal Years beginning with the Fiscal Year starting on April 1, 2011. trained examiners, plus facilities and systems. As noted above, these costs This notice is intended to serve only as a notice of emergency adoption. are by statute to be paid by all regulated entities in the proportions deemed This agency intends to adopt this emergency rule as a permanent rule and just and reasonable by the Superintendent. The new regulation is intended will publish a notice of proposed rule making in the State Register at some to formally set forth the methodology utilized by the Banking Division for future date. The emergency rule will expire June 8, 2016. allocating these costs. Text of rule and any required statements and analyses may be obtained 4. Costs from: Hadas A. Jacobi, Esq., Department of Financial Services, One State The new regulation does not increase the total costs assessed to the Street, New York, NY 10004, (212) 480-5890, email: regulated industries or alter the allocation of regulatory costs between the [email protected] various industries regulated by the Banking Division. Indeed, the only Regulatory Impact Statement change from the allocation methodology used by the Banking Department 1. Statutory Authority in the previous state fiscal years is that the regulatory costs assessed to the Pursuant to the Financial Services Law (“FSL”), the New York State mortgage banking industry will be divided among the entities in that group Banking Department (the “Banking Department”) and the New York State on a basis which includes income derived from secondary market and Insurance Department were consolidated, effective October 3, 2011, into servicing activities. The Department believes that this is a more appropri- the Department of Financial Services (the “Department”). ate basis for allocating the costs associated with supervising mortgage Prior to the consolidation, assessments of institutions subject to the banking entities. Banking Law (“BL”) were governed by Section 17 of the BL; effective on 5. Local Government Mandates October 3, 2011, assessments are governed by Section 206 of the Financial None. Services Law, provided that Section 17 continues to apply to assessments 6. Paperwork for the fiscal year which commenced April 1, 2011. The regulation does not change the process utilized by the Banking Both Section 17 of the BL and Section 206 of the FSL provide that all Division to determine and collect assessments. expenses (compensation, lease costs and other overhead) of the Depart- 7. Duplication ment in connection with the regulation and supervision of any person or The regulation does not duplicate, overlap or conflict with any other entity licensed, registered, incorporated or otherwise formed pursuant to regulations. the BL are to be charged to, and paid by, the regulated institutions subject 8. Alternatives to the supervision of the Banking Division of the Department (the “Bank- The purpose of the regulation is to formally set forth the process ing Division”). Under both statutes, the Superintendent is authorized to as- employed by the Department to carry out the statutory mandate to assess sess regulated institutions in the Banking Division in such proportions as and collect the operating costs of the Banking Division from regulated the Superintendent shall deem just and reasonable. entities. In light of Homestead, the Department believes that promulgating In response to a court ruling, In the Matter of Homestead Funding this formal regulation is necessary in order to allow it to continue to assess Corporation v. State of New York Banking Department et al., 944 N.Y.S. all of its regulated institutions in the manner deemed most appropriate by 2d 649 (2012) (“Homestead”), that held that the Department should adopt the Superintendent. Failing to formalize the Banking Division’s allocation changes to its assessment methodology for mortgage bankers through a methodology would potentially leave the assessment process open to fur- formal assessment rule pursuant to the requirements of the State Adminis- ther judicial challenges. trative Procedures Act (“SAPA”), the Department has determined to adopt 9. Federal Standards this new regulation setting forth the assessment methodology applicable to Not applicable. all entities regulated by the Banking Division for fiscal years beginning 10. Compliance Schedule with fiscal year 2011. The emergency regulations are effective immediately. Regulated 2. Legislative Objectives institutions will be expected to comply with the regulation for the fiscal The BL and the FSL make the industries regulated by the former Bank- year beginning on April 1, 2011 and thereafter. ing Department (and now by the Banking Division of the new Depart- Regulatory Flexibility Analysis ment) responsible for all the costs and expenses of their regulation by the 1. Effect of the Rule: State. The assessments have covered all direct and indirect expenses of the The regulation does not have any impact on local governments. Banking Department, which are activities that relate to the conduct of The regulation simply codifies the methodology used by the Banking

13 Rule Making Activities NYS Register/March 30, 2016

Division of the Department of Financial Services (the “Department”) to Department) located in all areas of the State, including rural areas. assess all entities regulated by it, including those which are small However, this rule simply codifies the methodology currently used by the businesses. The regulation does not increase the total costs assessed to the Department to assess all entities regulated by it. The regulation does not regulated industries or alter the allocation of regulatory costs between the alter that methodology, and thus it does not change the cost of assessments various industries regulated by the Banking Division. Indeed, the only change from the allocation methodology used by the on regulated entities, including regulated entities located in rural areas. Banking Department in the previous state fiscal years is that the regulatory costs assessed to the mortgage banking industry will be divided among the Compliance Requirements: The regulation would not change the cur- entities in that group on a basis which includes income derived from sec- rent compliance requirements associated with the assessment process. ondary market and servicing activities. The Department believes that this is a more appropriate basis for allocating the costs associated with Costs: While the regulation formalizes the assessment process, it does supervising mortgage banking entities. It is expected that the effect of this change will be that larger members of the mortgage banking industry will not change the amounts assessed to regulated entities, including those lo- pay an increased proportion of the total cost of regulating that industry, cated in rural areas. while the relative assessments paid by smaller industry members will be reduced. Minimizing Adverse Impacts: The regulation does not increase the total 2. Compliance Requirements: amount assessed to regulated entities by the Department. It simply codi- The regulation does not change existing compliance requirements. Both fies the methodology which the Superintendent has chosen for determin- Section 17 of the Banking Law and Section 206 of the Financial Services ing the just and reasonable proportion of the Department’s costs to be Law provide that all expenses (compensation, lease costs and other charged to and paid by each regulated institution. overhead) of the Department in connection with the regulation and supervision of any person or entity licensed, registered, incorporated or Rural Area Participation: This rule simply codifies the methodology otherwise formed pursuant to the Banking Law are to be charged to, and which the Department currently uses for determining the just and reason- paid by, the regulated institutions subject to the supervision of the Bank- able proportion of the Department’s costs to be charged to and paid by ing Division. Under both statutes, the Superintendent is authorized to as- each regulated institution, including regulated institutions located in rural sess regulated institutions in the Banking Division in such proportions as the Superintendent shall deem just and reasonable. areas. The overall methodology was adopted in 2005 after extensive 3. Professional Services: discussion with regulated entities and industry associations representing None. groups of regulated institutions, including those located in rural areas. It 4. Compliance Costs: followed the loss of several major banking institutions that had paid sig- All regulated institutions are currently subject to assessment by the nificant portions of the former Banking Department’s assessments. Banking Division. The regulation simply formalizes the Banking Divi- sion’s assessment methodology. It makes only one change from the al- Thereafter, the Department applied assessments against all entities location methodology used by the Banking Department in the previous subject to its regulation. In addition, for fiscal 2010, the Department state fiscal years. That change affects only one of the industry groups changed this overall methodology slightly with respect to assessments regulated by the Banking Division. Regulatory costs assessed to the against the mortgage banking industry to include income derived from mortgage banking industry are now divided among the entities in that secondary market income and servicing income. This latter change was group on a basis which includes income derived from secondary market challenged by a mortgage banker, and in early May, the Appellate Divi- and servicing activities. Even within the one industry group affected by sion determined that the latter change should have been made in confor- the change, additional compliance costs, if any, are expected to be mity with the State Administrative Procedures Act. The challenged part of minimal. the methodology had the effect of increasing the proportion of assess- 5. Economic and Technological Feasibility: All regulated institutions are currently subject to the Banking Division’s ments against the mortgage banking industry paid by its larger members, assessment requirements. The formalization of the Banking Division’s as- while reducing the assessments paid by smaller participants. sessment methodology in a regulation will not impose any additional economic or technological burden on regulated entities which are small Job Impact Statement businesses. 6. Minimizing Adverse Impacts: The regulation is not expected to have an adverse effect on employment. Even within the mortgage banking industry, which is the one industry group affected by the change in assessment methodology, the change will not affect the total amount of the assessment. Indeed, it is anticipated that All institutions regulated by the Banking Division (the “Banking Divi- this change may slightly reduce the proportion of mortgage banking sion”) of the Department of Financial Services are currently subject to as- industry assessments that is paid by entities that are small businesses. sessment by the Department. The regulation simply formalizes the assess- 7. Small Business and Local Government Participation: ment methodology used by the Banking Division. It makes only one This regulation does not impact local governments. change from the allocation methodology used by the former Banking This regulation simply codifies the methodology which the Banking Department in the previous state fiscal years. Division uses for determining the just and reasonable proportion of the Banking Division’s costs to be charged to and paid by each regulated That change affects only one of the industry groups regulated by the institution, including regulated institutions which are small businesses. Banking Division. It somewhat alters the way in which the Banking The overall methodology was adopted in 2005 after extensive discussion Division’s costs of regulating mortgage banking industry are allocated with regulated entities and industry associations representing groups of among entities within that industry. In any case, the total amount assessed regulated institutions, including those that are small businesses. against regulated entities within that industry will remain the same. Thereafter, the Banking Department applied assessments against all entities subject to its regulation. In addition, for fiscal 2010, the Banking Department changed its overall methodology slightly with respect to assessments against the mortgage banking industry to include income derived from secondary market and servicing activities. Litigation was New York State Gaming commenced challenging this latter change, and in a recent decision, In the Commission Matter of Homestead Funding Corporation v. State of New York Banking Department et al., 944 N.Y.S. 2d 649 (2012), the court determined that the Department should adopt a change to its assessment methodology for mortgage bankers through a formal assessment rule promulgated pursuant ERRATUM to the requirements of the State Administrative Procedures Act. The chal- A Notice of Adoption, I.D. No. SGC-52-15-00007-A, pertaining to lenged change in methodology had the effect of increasing the proportion of assessments against the mortgage banking industry paid by its larger Prohibiting the Administration of Stanozolol to Racehorses, published in members, while reducing the assessments paid by smaller participants, the March 16, 2016 issue of the State Register contained an incorrect including those which are small businesses. effective date of the rule. The correct effective date of this notice of Rural Area Flexibility Analysis adoption is September 16, 2016. Types and Estimated Numbers: There are entities regulated by the New The Department of State apologizes for any confusion this may have York State Department of Financial Services (formerly the Banking caused.

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(7) “Public institution of higher education” shall mean the state university of New York, as defined in subdivision 3 of section 352 of the Higher Education Services education law, a community college as defined in subdivision 2 of section 6301 of the education law, or the city university of New York as defined in Corporation subdivision 2 of section 6202 of the education law. (8) “School year” shall mean the period commencing on the first day of July in each year and ending on the thirtieth day of June next following. EMERGENCY (9) “Science, technology, engineering and mathematics” programs shall mean those undergraduate degree programs designated by the RULE MAKING corporation on an annual basis and published on the corporation’s web site. New York State Science, Technology, Engineering and (10) “Successful completion of a term” shall mean that at the end Mathematics Incentive Program of any academic term, the recipient: (i) met the eligibility requirements for the award pursuant to sections 661 and 669-e of the education law; (ii) I.D. No. ESC-13-16-00001-E completed at least 12 credit hours or its equivalent in a course of study Filing No. 276 leading to an approved undergraduate degree in the field of science, Filing Date: 2016-03-10 technology, engineering, or mathematics; and (iii) possessed a cumulative grade point average (GPA) of 2.5 as of the date of the certification by the Effective Date: 2016-03-10 institution. Notwithstanding, the GPA requirement is preliminarily waived for the first academic term for programs whose terms are organized in PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- semesters, and for the first two academic terms for programs whose terms cedure Act, NOTICE is hereby given of the following action: are organized on a trimester basis. In the event the recipient’s cumulative GPA is less than a 2.5 at the end of his or her first academic year, the re- Action taken: Addition of section 2201.13 to Title 8 NYCRR. cipient will not be eligible for an award for the second academic term for Statutory authority: Education Law, sections 653, 655 and 669-e programs whose terms are organized in semesters or for the third aca- Finding of necessity for emergency rule: Preservation of general welfare. demic term for programs whose terms are organized on a trimester basis. Specific reasons underlying the finding of necessity: This statement is In such case, the award received for the first academic term for programs being submitted pursuant to subdivision (6) of section 202 of the State whose terms are organized in semesters and for the first two academic Administrative Procedure Act and in support of the New York State terms for programs whose terms are organized on a trimester basis must Higher Education Services Corporation’s (“HESC”) Emergency Rule be returned to the corporation and the institution may reconcile the Making seeking to add a new section 2201.13 to Title 8 of the Official student’s account, making allowances for any other federal, state, or Compilation of Codes, Rules and Regulations of the State of New York. institutional aid the student is eligible to receive for such terms unless: (A) This regulation implements a statutory student financial aid program the recipient’s GPA in his or her first academic term for programs whose providing for awards to be made to students beginning with the fall 2014 terms are organized in semesters was a 2.5 or above, or (B) the recipient’s term. Emergency adoption is necessary to avoid an adverse impact on the GPA in his or her first two academic terms for programs whose terms are processing of awards to eligible scholarship applicants. The statute organized on a trimester basis was a 2.5 or above, in which case the provides for tuition benefits to college-going students who, beginning institution may retain the award received and only reconcile the student’s August 2014, pursue an undergraduate program of study in science, account for the second academic term for programs whose terms are technology, engineering, or mathematics at a New York State public organized in semesters or for the third academic term for programs whose institution of higher education. High school students entering college in terms are organized on a trimester basis. The corporation shall issue a August must inform the institution of their intent to enroll no later than guidance document, which will be published on its web site. May 1. Therefore, it is critical that the terms of the program as provided in (b) Eligibility. An applicant for an award under this program pursuant the regulation be available immediately in order for HESC to process to section 669-e of the education law must also satisfy the general eligibil- scholarship applications so that students can make informed choices. To ity requirements provided in section 661 of the education law. accomplish this mandate, the statute further provides for HESC to (c) Class rank or placement. As a condition of an applicant’s eligibility, promulgate emergency regulations to implement the program. For these the applicant’s high school shall provide the corporation: reasons, compliance with section 202(1) of the State Administrative Pro- (1) official documentation from the high school either (i) showing the cedure Act would be contrary to the public interest. applicant’s class rank together with the total number of students in such applicant’s high school class or (ii) certifying that the applicant is in the Subject: New York State Science, Technology, Engineering and Math- top 10 percent of such applicant’s high school class; and ematics Incentive Program. (2) the applicant’s most current high school transcript; and Purpose: To implement the New York State Science, Technology, (3) an explanation of how the size of the high school class, as defined Engineering and Mathematics Incentive Program. in subdivision (a), was determined and the total number of students in Text of emergency rule: New section 2201.13 is added to Title 8 of the such class using such methodology. If the high school does not rank the New York Code, Rules and Regulations to read as follows: students in such high school class, the high school shall also provide the Section 2201.13 New York State Science, Technology, Engineering and corporation with an explanation of the method used to calculate the top 10 Mathematics Incentive Program. percent of students in the high school class, and the number of students in (a) Definitions. The following definitions apply to this section: the top 10 percent, as calculated. Each methodology must comply with the (1) “Award” shall mean a New York State Science, Technology, terms of this program as well as be rational and reasonable. In the event Engineering and Mathematics Incentive Program award pursuant to sec- the corporation determines that the methodology used by the high school tion 669-e of the New York State education law. fails to comply with the term of the program, or is irrational or unreason- (2) “Employment” shall mean continuous employment for at least able, the applicant will be denied the award for failure to satisfy the thirty-five hours per week in the science, technology, engineering or eligibility requirements; and mathematics field, as published on the corporation’s web site, for a public (4) any additional information the corporation deems necessary to or private entity located in New York State for five years after the comple- determine that the applicant has graduated within the top 10 percent of tion of the undergraduate degree program and, if applicable, a higher his or her high school class. degree program or professional licensure degree program and a grace (d) Administration. period as authorized by section 669-e(4) of the education law. (1) Applicants for an award shall: (3) “Grace period” shall mean a six month period following a recip- (i) apply for program eligibility on forms and in a manner ient’s date of graduation from a public institution of higher education prescribed by the corporation. The corporation may require applicants to and, if applicable, a higher degree program or professional licensure provide additional documentation evidencing eligibility; and degree program as authorized by section 669-e(4) of the education law. (ii) postmark or electronically transmit applications for program (4) “High school class” shall mean the total number of students eligibility to the corporation on or before the date prescribed by the eligible to graduate from a high school in the applicable school year. corporation for the applicable academic year. Notwithstanding any other (5) “Interruption in undergraduate study or employment” shall mean rule or regulation to the contrary, such applications shall be received by a temporary period of leave for a definitive length of time due to circum- the corporation no later than August 15th of the applicant’s year of gradu- stances as determined by the corporation, including, but not limited to, ation from high school. maternity/paternity leave, death of a family member, or military duty. (2) Recipients of an award shall: (6) “Program” shall mean the New York State Science, Technology, (i) execute a service contract prescribed by the corporation; Engineering and Mathematics Incentive Program codified in section 669-e (ii) apply for payment annually on forms specified by the corpora- of the education law. tion;

15 Rule Making Activities NYS Register/March 30, 2016

(iii) confirm annually their enrollment in an approved undergradu- tions in support of state student aid programs. Also, consistent with Educa- ate program in science, technology, engineering, or mathematics; tion Law § 655(9), HESC’s President is authorized to receive assistance (iv) receive such awards for not more than four academic years of from any Division, Department or Agency of the State in order to properly full-time undergraduate study or five academic years if the program of carry out his or her powers, duties and functions. Finally, Education Law study normally requires five years, as defined by the commissioner pursu- § 655(12) provides HESC’s President with the authority to perform such ant to article thirteen of the education law, excluding any allowable inter- other acts as may be necessary or appropriate to carry out effectively the ruption of study; and general objects and purposes of HESC. (v) respond to the corporation’s requests for a letter from their Legislative objectives: employer attesting to the employee’s job title, the employee’s number of The Education Law was amended to add a new section 669-e to create hours per work week, and any other information necessary for the the “New York State Science, Technology, Engineering and Mathematics corporation to determine compliance with the program’s employment Incentive Program” (Program). This Program is aimed at increasing the requirements. number of individuals working in the fields of science, technology, (e) Amounts. engineering and mathematics (STEM) in New York State to meet the (1) The amount of the award shall be determined in accordance with increasingly critical need for those skills in the State’s economy. section 669-e of the education law. Needs and benefits: (2) Disbursements shall be made each term to institutions, on behalf According to a February 2012 report by President Obama’s Council of of recipients, within a reasonable time upon successful completion of the Advisors on Science and Technology, there is a need to add to the Ameri- term subject to the verification and certification by the institution of the can workforce over the next decade approximately one million more sci- recipient’s GPA and other eligibility requirements. ence, technology, engineering and mathematics (STEM) professionals (3) Awards shall be reduced by the value of other educational grants than the United States will produce at current rates in order for the country and scholarships limited to tuition, as authorized by section 669-e of the to stay competitive. To meet this goal, the United States will need to education law. increase the number of students who receive undergraduate STEM degrees (f) Failure to comply. by about 34% annually over current rates. The report also stated that fewer (1) All award monies received shall be converted to a 10-year student than 40% of students who enter college intending to major in a STEM loan plus interest for recipients who fail to meet the statutory, regulatory, field complete a STEM degree. Further, a recent Wall Street Journal article contractual, administrative or other requirement of this program. reported that New York state suffers from a shortage of graduates in STEM (2) The interest rate for the life of the loan shall be fixed and equal to fields to fill the influx of high-tech jobs that occurred five years ago. At a that published annually by the U.S. Department of Education for under- plant in Malta, about half the jobs were filled by people brought in from graduate unsubsidized Stafford loans at the time the recipient signed the outside New York and 11 percent were foreigners. According to the article, service contract with the corporation. Bayer Corp. is due to release a report showing that half of the recruiters (3) Interest shall begin to accrue on the day each award payment is from large U.S. companies surveyed couldn’t find enough job candidates disbursed to the institution. with four-year STEM degrees in a timely manner; some said that had led (4) Interest shall be capitalized on the day the award recipient to more recruitment of foreigners. About two-thirds of the recruiters violates any term of the service contract or the date the corporation deems surveyed said that their companies were creating more STEM positions the recipient was no longer able or willing to perform the terms of the ser- than other types of jobs. There are also many jobs requiring a two-year vice contract. Interest on this amount shall be calculated using simple degree. In an effort to deal with this shortage, companies are using more interest. internships, grants and scholarships. (5) Where a recipient has demonstrated extreme hardship as a result The Program is aimed at increasing the number New York graduates of a total and permanent disability, labor market conditions, or other such with two and four year degrees in STEM who will be working in STEM circumstances, the corporation may, in its discretion, postpone converting fields across New York state. Eligible recipients may receive annual the award to a student loan, temporarily suspend repayment of the amount awards for not more than four academic years of undergraduate full-time owed, prorate the amount owed commensurate with service completed, study (or five years if enrolled in a five-year program) while matriculated discharge the amount owed, or such other appropriate action. Where a re- in an approved program leading to a career in STEM. cipient has demonstrated in-school status, the corporation shall temporar- The maximum amount of the award is equal to the annual tuition ily suspend repayment of the amount owed for the period of in-school charged to New York State resident students attending an undergraduate status. program at the State University of New York (SUNY), including state operated institutions, or City University of New York (CUNY). The cur- This notice is intended to serve only as a notice of emergency adoption. rent maximum annual award for the 2014-15 academic year is $6,170. This agency intends to adopt this emergency rule as a permanent rule and Payments will be made directly to schools on behalf of students upon cer- will publish a notice of proposed rule making in the State Register at some tification of their successful completion of the academic term. future date. The emergency rule will expire June 7, 2016. Students receiving a New York State Science, Technology, Engineer- Text of rule and any required statements and analyses may be obtained ing and Mathematics Incentive Program award must sign a service agree- from: Cheryl B. Fisher, NYS Higher Education Services Corporation, 99 ment and agree to work in New York state for five years in a STEM field Washington Avenue, Room 1325, Albany, New York 12255, (518) 474- and reside in the State during those five years. Recipients who do not 5592, email: [email protected] fulfill their service obligation will have the value of their awards converted Regulatory Impact Statement to a student loan and be responsible for interest. Statutory authority: Costs: The New York State Higher Education Services Corporation’s a. It is anticipated that there will be no costs to the agency for the (“HESC”) statutory authority to promulgate regulations and administer implementation of, or continuing compliance with this rule. the New York State Science, Technology, Engineering and Mathematics b. The maximum cost of the program to the State is $8 million in the Incentive Program (“Program”) is codified within Article 14 of the Educa- first year based upon budget estimates. tion Law. In particular, Part G of Chapter 56 of the Laws of 2014 created c. It is anticipated that there will be no costs to Local Governments for the Program by adding a new section 669-e to the Education Law. Subdivi- the implementation of, or continuing compliance with, this rule. sion 5 of section 669-e of the Education Law authorizes HESC to d. The source of the cost data in (b) above is derived from the New promulgate emergency regulations for the purpose of administering this York State Division of the Budget. Program. Local government mandates: Pursuant to Education Law § 652(2), HESC was established for the No program, service, duty or responsibility will be imposed by this rule purpose of improving the post-secondary educational opportunities of upon any county, city, town, village, school district, fire district or other eligible students through the centralized administration of New York State special district. financial aid programs and coordinating the State’s administrative effort Paperwork: in student financial aid programs with those of other levels of government. This proposal will require applicants to file an electronic application for In addition, Education Law § 653(9) empowers HESC’s Board of Trust- each year they wish to receive an award up to and including five years of ees to perform such other acts as may be necessary or appropriate to carry eligibility. Recipients are required to sign a contract for services in out the objects and purposes of the corporation including the promulgation exchange for an award. Recipients must submit annual status reports until of rules and regulations. a final disposition is reached in accordance with the written contract. HESC’s President is authorized, under Education Law § 655(4), to Duplication: propose rules and regulations, subject to approval by the Board of Trust- No relevant rules or other relevant requirements duplicating, overlap- ees, governing, among other things, the application for and the granting ping, or conflicting with this rule were identified. and administration of student aid and loan programs, the repayment of Alternatives: loans or the guarantee of loans made by HESC; and administrative func- The proposed regulation is the result of HESC’s outreach efforts to

16 NYS Register/March 30, 2016 Rule Making Activities financial aid professionals with regard to this Program. Several alternatives were considered in the drafting of this regulation. For example, several alternatives were considered in defining terms/phrases used in the Department of Law regulation as well as the academic progress requirement. Given the statutory language as set forth in section 669-e of the Education Law, a “no action” alternative was not an option. NOTICE OF ADOPTION

Federal standards: Disclosure Requirements for Condominium Offerors Renting, This proposal does not exceed any minimum standards of the Federal Rather Than Selling, Unsold Condominium Units Government, and efforts were made to align it with similar federal subject areas as evidenced by the adoption of the federal unsubsidized Stafford I.D. No. LAW-49-15-00011-A loan rate in the event that the award is converted into a student loan. Filing No. 310 Filing Date: 2016-03-15 Compliance schedule: Effective Date: 2016-04-15 The agency will be able to comply with the regulation immediately upon its adoption. PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- Regulatory Flexibility Analysis cedure Act, NOTICE is hereby given of the following action: Action taken: Amendment of Part 20 of Title 13 NYCRR. This statement is being submitted pursuant to subdivision (3) of section 202-b of the State Administrative Procedure Act and in support of the Statutory authority: General Business Law, section 352-e(2-b) New York State Higher Education Services Corporation’s (“HESC”) Subject: Disclosure requirements for condominium offerors renting, rather Emergency Rule Making, seeking to add a new section 2201.13 to Title 8 than selling, unsold condominium units. of the Official Compilation of Codes, Rules and Regulations of the State Purpose: To clarify a condominium offeror's disclosure obligations in a of New York. newly-constructed, vacant, or non-residential condominium. It is apparent from the nature and purpose of this rule that it will not Text or summary was published in the December 9, 2015 issue of the impose an adverse economic impact on small businesses or local Register, I.D. No. LAW-49-15-00011-P. governments. HESC finds that this rule will not impose any compliance Final rule as compared with last published rule: No changes. requirement or adverse economic impact on small businesses or local Text of rule and any required statements and analyses may be obtained governments. Rather, it has potential positive impacts inasmuch as it from: Jacqueline Dischell, Department of Law, 120 Broadway, 23rd Floor, implements a statutory student financial aid program that provides tuition New York, NY 10271, (212) 416-8655, email: [email protected] benefits to college students who pursue their undergraduate studies in the fields of science, technology, engineering, or mathematics at a New York Initial Review of Rule State public institution of higher education. Students will be rewarded for As a rule that requires a RFA, RAFA or JIS, this rule will be initially remaining and working in New York, which will provide an economic reviewed in the calendar year 2017, which is no later than the 3rd year af- benefit to the State’s small businesses and local governments as well. ter the year in which this rule is being adopted. Assessment of Public Comment Rural Area Flexibility Analysis The agency received no public comment. This statement is being submitted pursuant to subdivision (4) of section 202-bb of the State Administrative Procedure Act and in support of the New York State Higher Education Services Corporation’s Emergency Rule Making, seeking to add a new section 2201.13 to Title 8 of the Of- Department of Motor Vehicles ficial Compilation of Codes, Rules and Regulations of the State of New York. It is apparent from the nature and purpose of this rule that it will not NOTICE OF ADOPTION impose an adverse impact on rural areas. Rather, it has potential positive impacts inasmuch as it implements a statutory student financial aid Safety Hearings program that provides tuition benefits to college students who pursue their I.D. No. MTV-04-16-00005-A undergraduate studies in the fields of science, technology, engineering, or mathematics at a New York State public institution of higher education. Filing No. 308 Students will be rewarded for remaining and working in New York, which Filing Date: 2016-03-15 will benefit rural areas around the State as well. Effective Date: 2016-03-30 This agency finds that this rule will not impose any reporting, record keeping or other compliance requirements on public or private entities in PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- rural areas. cedure Act, NOTICE is hereby given of the following action: Action taken: Amendment of section 127.6 of Title 15 NYCRR. Job Impact Statement Statutory authority: Vehicle and Traffic Law, sections 215(a), 303(f), This statement is being submitted pursuant to subdivision (2) of section 398-f, 415(9-a), 510(3) and 1194(2)(c) 201-a of the State Administrative Procedure Act and in support of the Subject: Safety hearings. New York State Higher Education Services Corporation’s Emergency Purpose: Conforms standard of proof to Court of Appeals decision and Rule Making seeking to add a new section 2201.13 to Title 8 of the Of- DMV practice. ficial Compilation of Codes, Rules and Regulations of the State of New York. Text or summary was published in the January 27, 2016 issue of the Reg- ister, I.D. No. MTV-04-16-00005-P. It is apparent from the nature and purpose of this rule that it will not Final rule as compared with last published rule: No changes. have any negative impact on jobs or employment opportunities. Rather, it has potential positive impacts inasmuch as it implements a statutory Text of rule and any required statements and analyses may be obtained student financial aid program that provides tuition benefits to college from: Heidi Bazicki, Department of Motor Vehicles, 6 Empire State Plaza, students who pursue their undergraduate studies in the fields of science, Rm. 526, Albany, NY 12228, (518) 474-0871, email: technology, engineering, or mathematics at New York State public institu- [email protected] tion of higher education. Students will be rewarded for remaining and Assessment of Public Comment working in New York, which will benefit the State as well. The agency received no public comment.

17 Rule Making Activities NYS Register/March 30, 2016

NOTICE OF ADOPTION Data, views or arguments may be submitted to: Ida L. Traschen, Depart- ment of Motor Vehicles, 6 Empire State Plaza, Rm. 522A, Albany, NY International Registration Plan 12228, (518) 474-0871, email: [email protected] Public comment will be received until: 45 days after publication of this I.D. No. MTV-04-16-00006-A notice. Filing No. 309 Consensus Rule Making Determination Filing Date: 2016-03-15 This proposed regulation would amend 15 NYCRR section 29.12(b) to increase the Suffolk County motor vehicle use tax collected by the Depart- Effective Date: 2016-03-30 ment of Motor Vehicles. Pursuant to the authority contained in Tax Law section 1202(g) and Vehicle and Traffic Law section 401(6)(d)(ii), the PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- Commissioner must collect a motor vehicle use tax if a county has enacted cedure Act, NOTICE is hereby given of the following action: a local law requiring the collection of such tax. Action taken: Amendment of section 28.1 of Title 15 NYCRR. On November 23, 2015, the Suffolk County Legislature enacted a local Statutory authority: Vehicle and Traffic Law, sections 215(a) and 405-i providing for an increase in the motor vehicle use tax be imposed on passenger and commercial vehicles. Pursuant to this local law, the tax will Subject: International Registration Plan. increase from five to fifteen dollars per annum on a passenger vehicle Purpose: To remove the exemption for charter buses from the International weighing 3,500 pounds or less, from ten to thirty dollars per annum on a Registration Plan. passenger vehicle weighing more than 3,500 pounds, and from ten to thirty Text or summary was published in the January 27, 2016 issue of the Reg- dollars per annum on all commercial vehicles. There are certain exempt ister, I.D. No. MTV-04-16-00006-P. vehicles, such as vehicles used by non-profit religious, charitable, or Final rule as compared with last published rule: No changes. educational organizations, and vehicles used only in connection with the Text of rule and any required statements and analyses may be obtained operation of a farm by the owner or tenant of the farm. from: Heidi Bazicki, Department of Motor Vehicles, 6 Empire State Plaza, This is a consensus rule because the Commissioner has no discretion Rm. 526, Albany, NY 12228, (518) 474-0871, email: about whether to collect the tax and the amount of the tax, i.e., it must be [email protected] collected per the mandate of the Suffolk County local law. DMV is merely Assessment of Public Comment carrying out the will expressed by the Suffolk County Legislature. The agency received no public comment. Job Impact Statement A Job Impact Statement is not submitted with this rule because it will not PROPOSED RULE MAKING have an adverse impact on job creation or development. NO HEARING(S) SCHEDULED Suffolk County Motor Vehicle Use Tax Office for People with I.D. No. MTV-13-16-00004-P Developmental Disabilities 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: This is a consensus rule making to amend section 29.12(b) of Title 15 NYCRR. Article 16 Clinic Services and Independent Practitioner Services Statutory authority: Vehicle and Traffic Law, sections 215(a) and 401(6)(d)(ii); Tax Law, section 1202(g) for Individuals with Developmental Disabilities (IPSIDD) Subject: Suffolk County motor vehicle use tax. I.D. No. PDD-42-15-00002-A Purpose: To increase the Suffolk County motor vehicle use tax. Filing No. 280 Text of proposed rule: Subdivision (b) of section 29.12 is amended to Filing Date: 2016-03-11 read as follows: Effective Date: 2016-04-01 (b) Suffolk County. The County Legislature adopted Local Law No. [1156-2001] 33-2015, which was approved by the County Executive on [December 20, 2001] November 23, 2015, amending Local Law [33-1991] PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- 1156-2001 to establish a Suffolk County motor vehicle use tax. The cedure Act, NOTICE is hereby given of the following action: County Executive of Suffolk County entered into an agreement with the Action taken: Amendment of Part 679, sections 635-10.4, 671.5; and ad- Commissioner of Motor Vehicles for the collection of the tax in accor- dition of Subpart 635-13 to Title 14 NYCRR. dance with the provisions of this Part on December 17, 1991, for the col- Statutory authority: Mental Hygiene Law, sections 13.07, 13.09(b) and lection of such tax on original registrations made on and after January 1, 16.00 1992 and upon the renewal of registrations expiring on and after March 1, 1992. The County Executive is the appropriate fiscal officer, except that, Subject: Article 16 Clinic Services and Independent Practitioner Services (i) for the purposes of Section 29.5(a), Deposit of taxes, the County Trea- for Individuals with Developmental Disabilities (IPSIDD). surer is the appropriate fiscal officer, and (ii) for the purposes of Section Purpose: To discontinue off-site article 16 clinic services and add require- 29.8, Right to audit, the County Comptroller is the appropriate fiscal of- ments for IPSIDD. ficer, and the County Attorney is the appropriate legal officer of the Text or summary was published in the October 21, 2015 issue of the Reg- County of Suffolk referred to in this Part. The tax due on passenger motor ister, I.D. No. PDD-42-15-00002-P. vehicles for which the registration fee is established in paragraph (a) of Final rule as compared with last published rule: No changes. subdivision (6) of Section 401 of the Vehicle and Traffic Law shall be [$5] $15 per annum on such motor vehicles weighing 3500 lbs. or less and Revised rule making(s) were previously published in the State Register [$10] $30 per annum for such motor vehicles weighing in excess of 3500 on February 3, 2016. lbs. The tax due on trucks, buses and other commercial motor vehicles for Text of rule and any required statements and analyses may be obtained which the registration fee is established in subdivision (7) of Section 401 from: OPWDD Counsel's Office, Office for People With Developmental of the Vehicle and Traffic Law used principally in connection with a busi- Disabilities (OPWDD), 44 Holland Avenue, 3rd floor, Albany, NY 12229, ness carried on within Suffolk County, except when owned and used in (518) 474-7700, email: [email protected] connection with the operation of a farm by the owner or tenant thereof Additional matter required by statute: Pursuant to the requirements of the shall be [$10] $30 per annum. The increased fees provided in Local Law State Environmental Quality Review Act, OPWDD, as lead agency, has No. [1156-2001] 33-2015 shall apply to original registrations made on or determined that the action described herein will have no effect on the after [July 1, 2002] June 1, 2016 and upon renewal of registrations expir- environment, and an E.I.S. is not needed. ing on and after [October 1, 2002] August 1, 2016. Assessment of Public Comment Text of proposed rule and any required statements and analyses may be This document contains responses to public comments submitted dur- obtained from: Heidi Bazicki, Department of Motor Vehicles, 6 Empire ing the public comment period for revised proposed regulations concern- State Plaza, Rm. 522A, Albany, NY 12228, (518) 474-0871, email: ing clinic treatment service locations and IPSIDD. [email protected] Comment: A commenter sought clarification on paragraph 679.99(t)(4)

18 NYS Register/March 30, 2016 Rule Making Activities of the revised proposed regulation concerning services provided at satel- lated Companies and Oxford Properties on March 4, 2016 in case 16-E- lite clinics. The commenter stated that the language seems to imply that 0138 requesting an Order establishing a mechanism by which Offset Tariff any individual who has a need for the services provided at the clinic must customers could benefit from the standby rate exemption. be accommodated upon their request. Statutory authority: Public Service Law, sections 5(1), 65(1), (2), (3), Response: The revised proposed regulation in paragraph 679.99(t)(4) 66(1), (2), (3), (5), (8), (9), (10) and (12) states: “Services delivered at a satellite site must be available, by appointment, to any individual who is eligible to receive such services.” Subject: Standby rate exemption for Offset Tariff customers. The regulations provides that services at the satellite clinic location are Purpose: Consideration of the standby rate exemption for Offset Tariff available to any individual who is eligible to receive services at a clinic customers. pursuant to Part 679 regulations, including individuals with a developmen- Substance of proposed rule: The New York State Public Service Com- tal disability, and individuals without a developmental disability, who mission (Commission) is considering a petition filed by Related Compa- meet specified criteria in paragraph 679.3(u) of the regulations. Many sat- nies and Oxford Properties (Related) on March 4, 2016 in case 16-E-0138. ellite clinics are established at locations co-located with other OPWDD In the Petition, Related asserts that the options for Offset Tariff customers programs/services (most frequently day habilitation programs). The provi- provided by Consolidated Edison Company of New York, Inc. (Con sion clarifies, consistent with current practice, that services at a satellite Edison) effectively deny the standby rate exemption for those customers. clinic location must not be limited to individuals receiving services at a Related requests that the Commission direct Con Edison to establish a co-located program. The satellite must be willing and able to serve other mechanism by which Offset Tariff customers could benefit from the individuals who may need services, who do not receive services at a co- standby rate exemption. The Commission may adopt, reject or modify, in located program. Clinic services are available by appointment only. whole or in part, the relief proposed and may resolve related matters. Text of proposed rule and any required statements and analyses may be obtained by filing a Document Request Form (F-96) located on our website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John Public Service Commission Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New York 12223-1350, (518) 486-2655, email: [email protected] Data, views or arguments may be submitted to: Kathleen H. Burgess, PROPOSED RULE MAKING Secretary, Public Service Commission, 3 Empire State Plaza, Albany, NO HEARING(S) SCHEDULED New York 12223-1350, (518) 474-6530, email: [email protected] Public comment will be received until: 45 days after publication of this Notice of Intent to Submeter Electricity notice. Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural I.D. No. PSC-13-16-00007-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 Public Service Commission is considering the No- (16-E-0138SP1) tice of Intent, filed by Sky View Parc II, LP, to submeter electricity at 131-05, 131-03 and 131-01 40th Road, Flushing, 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. Notice of Intent to Submeter Electricity Purpose: To consider the Notice of Intent to submeter electricity at 131- 05, 131-03 and 131-01 40th Road, Flushing, New York. I.D. No. PSC-13-16-00009-P Substance of proposed rule: The Commission is considering the Notice of Intent, filed by Sky View Parc II, LP on March 3, 2016, to submeter PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- electricity at 131-05, 131-03 and 131-01 40th Road, Flushing, New York, cedure Act, NOTICE is hereby given of the following proposed rule: located in the service territory of Consolidated Edison Company of New Proposed Action: The Public Service Commission is considering a Notice York, Inc. The Commission may adopt, reject or modify, in whole or in of Intent filed by Franklin Place Condominium to submeter electricity at 5 part, the relief proposed and may resolve related matters. Franklin Place, New York, New York. Text of proposed rule and any required statements and analyses may be Statutory authority: Public Service Law, sections 2, 4(1), 30, 32-48, 52, obtained by filing a Document Request Form (F-96) located on our 53, 65(1), 66(1), (2), (3), (4), (12) and (14) website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John Subject: Notice of Intent to submeter electricity. Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New York 12223-1350, (518) 486-2655, email: [email protected] Purpose: To consider the Notice of Intent of Franklin Place Condomin- ium to submeter electricity at 5 Franklin Place, New York, New York. Data, views or arguments may be submitted to: Kathleen H. Burgess, Secretary, Public Service Commission, 3 Empire State Plaza, Albany, Substance of proposed rule: The Commission is considering a Notice of New York 12223-1350, (518) 474-6530, email: [email protected] Intent filed by Franklin Place Condominium on February 17, 2016 to submeter electricity at 5 Franklin Place, New York, New York, located in Public comment will be received until: 45 days after publication of this the service territory of Consolidated Edison Company of New York, Inc. notice. The Commission may adopt, reject or modify, in whole or in part, the Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural relief proposed and may resolve related matters. Area Flexibility Analysis and Job Impact Statement Text of proposed rule and any required statements and analyses may be Statements and analyses are not submitted with this notice because the obtained by filing a Document Request Form (F-96) located on our proposed rule is within the definition contained in section 102(2)(a)(ii) of website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John the State Administrative Procedure Act. Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New (16-E-0131SP1) York 12223-1350, (518) 486-2655, email: [email protected] Data, views or arguments may be submitted to: Kathleen H. Burgess, PROPOSED RULE MAKING Secretary, Public Service Commission, 3 Empire State Plaza, Albany, NO HEARING(S) SCHEDULED New York 12223-1350, (518) 474-6530, email: [email protected] Public comment will be received until: 45 days after publication of this Standby Rate Exemption for Offset Tariff Customers notice. Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural I.D. No. PSC-13-16-00008-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 a petition filed by Re- (16-E-0082SP1)

19 Rule Making Activities NYS Register/March 30, 2016

PROPOSED RULE MAKING Text of proposed rule and any required statements and analyses may be obtained by filing a Document Request Form (F-96) located on our NO HEARING(S) SCHEDULED website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New Transfer of a 1985 Bell 206L-3 Helicopter York 12223-1350, (518) 486-2655, email: [email protected] I.D. No. PSC-13-16-00010-P Data, views or arguments may be submitted to: Kathleen H. Burgess, Secretary, Public Service Commission, 3 Empire State Plaza, Albany, New York 12223-1350, (518) 474-6530, email: [email protected] PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- Public comment will be received until: 45 days after publication of this cedure Act, NOTICE is hereby given of the following proposed rule: notice. Proposed Action: The Commission is considering a petition filed by Ni- Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural agara Mohawk Power Corporation d/b/a National Grid (NMPC) for the Area Flexibility Analysis and Job Impact Statement transfer of a 1985 Bell 206L-3 helicopter to Fly Hangar 13, LLC. Statements and analyses are not submitted with this notice because the Statutory authority: Public Service Law, sections 65, 66 and 70 proposed rule is within the definition contained in section 102(2)(a)(ii) of Subject: Transfer of a 1985 Bell 206L-3 helicopter. the State Administrative Procedure Act. Purpose: To consider the transfer of a 1985 Bell 206L-3 helicopter from (16-W-0126SP1) NMPC to Fly Hangar 13, LLC. Substance of proposed rule: The Public Service Commission is considering a petition filed on February 17, 2016 by Niagara Mohawk Power Corporation d/b/a National Grid (NMPC) regarding approval of the transfer of a 1985 Bell 206L-3 helicopter to Fly Hangar 13, LLC. NMPC Department of Taxation and asserts that the proposed transaction is in the public interest given that the helicopter is no longer used and useful to the NMPC, and that the listed Finance purchase price is reasonable comparing to other similar models on the market. The Commission may adopt, reject, or modify, in whole or in part, the petition request and may resolve related matters. EMERGENCY Text of proposed rule and any required statements and analyses may be RULE MAKING obtained by filing a Document Request Form (F-96) located on our website http://www.dps.ny.gov/f96dir.htm. For questions, contact: John City of New York Withholding Tables and Other Methods Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, New York 12223-1350, (518) 486-2655, email: [email protected] I.D. No. TAF-05-16-00002-E Data, views or arguments may be submitted to: Kathleen H. Burgess, Filing No. 312 Public Service Commission, 3 Empire State Plaza, Albany, New York Filing Date: 2016-03-15 12223-1350, (518) 474-6530, email: [email protected] Effective Date: 2016-03-15 Public comment will be received until: 45 days after publication of this notice. Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- Area Flexibility Analysis and Job Impact Statement cedure Act, NOTICE is hereby given of the following action: Statements and analyses are not submitted with this notice because the Action taken: Repeal of Appendix 10-C; and addition of new Appendix proposed rule is within the definition contained in section 102(2)(a)(ii) of 10-C to Title 20 NYCRR. the State Administrative Procedure Act. Statutory authority: Tax Law, sections 171, subdivision First, 671(a)(1), (16-M-0083SP1) 697(a), 1309 and 1312(a); Administrative Code of the City of New York, sections 11-1771(a) and 11-1797(a); L. 2015, ch. 59, part B PROPOSED RULE MAKING Finding of necessity for emergency rule: Preservation of general welfare. NO HEARING(S) SCHEDULED Specific reasons underlying the finding of necessity: As part of the enacted Budget legislation, Part B of Chapter 59 of the Laws of 2015 Transfer of Stock made certain changes to the personal income tax law that require the Com- missioner to adjust the withholding tables and other methods in Appendix I.D. No. PSC-13-16-00011-P 10-C of 20 NYCRR, and to promulgate rules to implement the changes as soon as practicable. Section 4 of Part B specifically authorizes emergency PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- action to adopt rules implementing these changes. These rules are being cedure Act, NOTICE is hereby given of the following proposed rule: adopted on an emergency basis in accordance with the requirement that rules be adopted and effective as soon as practicable, and to keep the rule Proposed Action: The Public Service Commission is considering a Joint in effect until the Notice of Adoption is published in the State Register. Petition filed February 25, 2016 on behalf of Bruce McNab and Trustee of Specifically, the amendments to Appendix 10-C reflect the revision of the the Zane Klein Residuary Trust for approval to sell 100% of outstanding City of New York tax tables in accordance with the increased rate of New capital stock of Crystal Water Corp. York City personal income tax applicable to income over $500,000 Statutory authority: Public Service Law, section 89-h enacted by Part B of Chapter 59 of the Laws of 2015, implemented over a Subject: Transfer of stock. twelve month period for the 2016 tax year, rather than the shorter Purpose: To consider the sale of all outstanding Crystal Water Corp. stock implementation period required for tax year 2015, and the requirement to Bruce McNab. that the withholding rates reflect the full amount of tax liability as accurately as practicable. The amendments also make technical changes to Substance of proposed rule: The Commission is considering a joint peti- reformat and repaginate the tables. tion filed February 25, 2016 on behalf of Bruce McNab (the buyer), and Billie Marks, Lawrence Rutherford, Barbara Klein Asselta as trustee of Subject: City of New York withholding tables and other methods. the Zane Klein Residuary Trust (the sellers), to approve, pursuant to Sec- Purpose: To provide current City of New York withholding tables and tion 89-h of the Public Service Law (“PSL”), the sale of 100% of the other methods. capital stock of Crystal Water Corp. (Crystal Water or the Company). Substance of emergency rule: Section 1309 of the Tax Law and section Crystal Water Corp. is a regulated public Water Utility that provides flat 11-1771 of the Administrative Code of the City of New York mandate that rate water service to 101 town homes and the Windham Mountain Village employers withhold from employee wages amounts that are substantially Homeowner Association’s clubhouse (102 connections), in a townhome equivalent to the amount of City of New York personal income tax on community in an area known as Windham Mountain Village Develop- residents reasonably estimated to be due for the taxable year. The provi- ment in the Town of Windham, Greene County. The Company does not sions authorize the Commissioner of Taxation and Finance to provide for provide fire protection service. Mr. McNab is the current operator of withholding of these taxes through regulations promulgated by the Crystal Water, and Billie Marks, Lawrence Rutherford, Barbara Klein As- Commissioner. selta are the shareholders of Crystal Water. The Commission may adopt, This rule is identical to that adopted as an emergency measure on Janu- reject or modify, in whole or in part, the relief proposed and may also ary 15, 2016, repealing and replacing Appendix 10-C of Title 20 NYCRR, resolve related matters. New York City Personal Income Tax on Residents Withholding Tables

20 NYS Register/March 30, 2016 Rule Making Activities and Other Methods of such Title, to provide new City of New York withholding tables and other methods are due to such statutes, and not to this holding tables and other methods. The amendments to Appendix 10-C rule. reflect the revision of the City of New York tax tables in accordance with (b) Costs to this agency, the State and local governments for the the increased rate of New York City personal income tax applicable to implementation and continuation of this rule: Since the need to make income over $500,000 enacted by Part B of Chapter 59 of the Laws of amendments to the New York City Personal Income Tax on Residents 2015, implemented over a twelve month period for the 2016 tax year, Regulations and to Appendix 10-C arises due to the statutory changes in rather than the shorter implementation period required for tax year 2015, the rates of the City of New York personal income tax on residents, there and the requirement that the withholding rates reflect the full amount of are no costs to this agency or the State and local governments that are due tax liability as accurately as practicable. The rule keeps the amendments to the promulgation of this rule. adopted as an emergency measure on January 15, 2016 effective until the (c) Information and methodology: This analysis is based on a review of Notice of Adoption of the amendments as a permanent rule is published in the statutory requirements and on discussions among personnel from the Department’s Taxpayer Guidance Division, Office of Tax Policy Analy- the State Register. sis, Office of Budget and Management Analysis, and Management Analy- The rule applies to wages and other compensation subject to withhold- sis and Project Services Bureau. ing paid on or after January 1, 2016. 5. Local government mandates: Local governments, as employers, This notice is intended to serve only as a notice of emergency adoption. would be required to implement the new withholding tables and other This agency intends to adopt the provisions of this emergency rule as a methods in the same manner and at the same time as any other employer. permanent rule, having previously submitted to the Department of State a 6. Paperwork: This rule will not require any new forms or information. notice of proposed rule making, I.D. No. TAF-05-16-00002-EP, Issue of The reporting requirements for employers are not changed by this rule. January 15, 2016. The emergency rule will expire May 13, 2016. Employers will be notified of the amendments to the tables and other methods and directed to the Department’s website for the updated tables Text of rule and any required statements and analyses may be obtained and other methods. from: Kathleen D. O'Connell, Tax Regulations Specialist 1, Department 7. Duplication: This rule does not duplicate any other requirements. of Taxation and Finance, Office of Counsel, Building 9, Room 200, W.A. 8. Alternatives: Since section 11-1771(a) of the Administrative Code of Harriman Campus, Albany, NY 12227, (518) 530-4153, email: the City of New York and Chapter 59 of the Laws of 2015 require that [email protected] withholding tables and other methods be promulgated, there are no viable Regulatory Impact Statement alternatives to providing such tables and other methods. 1. Statutory authority: Tax Law, section 171, subdivision First, gener- 9. Federal standards: This rule does not exceed any minimum standards ally authorizes the Commissioner of Taxation and Finance to promulgate of the federal government for the same or similar subject area. regulations; section 671(a)(1) provides that the method of determining the 10. Compliance schedule: The required information was made avail- amounts of New York State personal income tax to be withheld will be able to affected employers in sufficient time to implement the revised City prescribed by regulations promulgated by the Commissioner; section of New York withholding tables and other methods for wages and other 697(a) provides the authority for the Commissioner to make such rules compensation paid on or after January 1, 2016, when the rule was adopted and regulations as are necessary to enforce the personal income tax; sec- as an emergency measure on January 15, 2016. This rule keeps the amend- tion 1309 (not subdivided) provides that City of New York personal ments in effect until the Notice of Adoption of the amendments as a per- income tax withholding shall be withheld from city residents in the same manent rule is published in the State Register. manner and form as that required by New York State; section 1312(a) Regulatory Flexibility Analysis provides that any personal income tax imposed on New York City 1. Effect of rule: Small businesses, within the meaning of the State residents by the City of New York shall be administered and collected by Administrative Procedure Act, that are currently subject to the City of the Commissioner of Taxation and Finance in the same manner as the tax New York withholding requirements will continue to be subject to these imposed by Article 22 of the Tax Law, except where noted; Administra- requirements. This rule should, therefore, have little or no effect on small tive Code of the City of New York, section 11-1771(a) provides that the businesses other than the requirement of conforming to the new withhold- method of determining the amount of City tax withholding will be ing tables and other methods. All small businesses that are employers or prescribed by regulations promulgated by the Commissioner; section 11- are otherwise subject to the withholding requirements must comply with 1797(a) provides for the Commissioner to make such rules and regulations the provisions of this rule. that are necessary to enforce the provisions of the Administrative Code of 2. Compliance requirements: This rule requires small businesses and the City of New York. Section 4 of Part B of Chapter 59 of the Laws of local governments that are already subject to the City of New York with- 2015 requires the Commissioner to adopt rules to implement changes in holding requirements to continue to deduct and withhold amounts from the withholding tax tables and methods relating to the personal income tax employees using the revised City of New York withholding tables and increases made by Part B. other methods. The promulgation of this rule will not require small busi- 2. Legislative objectives: The rule amends Appendix 10-C related to nesses or local governments to submit any new information, forms, or the exact calculation method (Method II) for the City of New York paperwork. personal income tax on residents for withholding purposes as required by 3. Professional services: Many small businesses currently utilize book- Chapter 59 of the Laws of 2015. Because the income tax changes made by keepers, accountants and professional payroll services in order to comply Chapter 59 relate to taxpayers with incomes over certain amounts, the with existing withholding requirements. This rule will not encourage or wage bracket table method (Method I) tables are not affected. The amend- discourage the use of such services. ments implement revised City of New York withholding tables and other 4. Compliance costs: Small businesses and local governments are al- methods applicable to wages and other compensation paid on or after Janu- ready subject to the City of New York withholding requirements. ary 1, 2016. Specifically, the amendments reflect the increased rate of Therefore, small businesses and local governments are accustomed to New York City personal income tax applicable to income over $500,000 withholding revisions, including minor programming changes for federal, provided in Part B of Chapter 59, implemented over a twelve month pe- state, City of New York, and City of Yonkers purposes. As such, these riod for the 2016 tax year, rather than the shorter implementation period changes should place no additional burdens on small businesses and local required for tax year 2015. The rule also makes technical changes to governments. See, also, section 4(a) of the Regulatory Impact Statement reformat and repaginate the tables. for this rule. 3. Needs and benefits: This rule sets forth amendments to the City of 5. Economic and technological feasibility: This rule does not impose New York withholding tables and other methods, applicable to wages and any economic or technological compliance burdens on small businesses or other compensation paid on or after January 1, 2016, reflecting the revi- local governments. sion of the tax rates contained in Part B of Chapter 59 of the Laws of 6. Minimizing adverse impact: Section 671(a)(1) of the Tax Law 2015. This rule benefits taxpayers by providing City of New York with- mandates that New York State withholding tables and other methods be holding rates that more accurately reflect the current income tax rates. If promulgated. Section 1309 of the Tax Law mandates, in part, that the City this rule is not promulgated, the use of the existing withholding tables of New York withholding of tax on wages shall be administered and col- would cause some under-withholding for some taxpayers. lected by the Commissioner of Taxation and Finance in the same manner 4. Costs: (a) Costs to regulated parties for the implementation and as the tax imposed by Article 22 of the Tax Law. There are no provisions continuing compliance with this rule: Since (i) the Tax Law and the in the Tax Law that exclude small businesses and local governments from Administrative Code of the City of New York already mandate withhold- the withholding requirements. The regulation provides some relief to small ing in amounts that are substantially equivalent to the amounts of City of businesses and local governments with respect to the methods allowed to New York personal income tax on residents reasonably estimated to be comply with the withholding requirements by continuing to provide due for the taxable year, and (ii) this rule conforms Appendix 10-C of employers with more than one method of computing the amount to with- Title 20 NYCRR to the rates of the City of New York personal income tax hold from their employees. Look-up tables are provided for employers on residents, as required by Chapter 59 of the Laws of 2015, any compli- who prepare their payrolls manually, and an exact calculation method is ance costs to employers associated with implementing the revised with- provided for employers with computer-based systems.

21 Rule Making Activities NYS Register/March 30, 2016

7. Small business and local government participation: The following EMERGENCY/PROPOSED organizations were given an opportunity to participate in the rule's development: the Association of Towns of New York State; the Office of RULE MAKING Coastal, Local Government, and Community Sustainability of the New NO HEARING(S) SCHEDULED York State Department of State; the Division for Small Business of Empire State Development; the National Federation of Independent Businesses; Metropolitan Transportation Business Tax Surcharge the New York State Association of Counties; the New York Conference of I.D. No. TAF-13-16-00005-EP Mayors and Municipal Officials; the Small Business Committee of the New York State Business Council; the Retail Council of New York State; Filing No. 311 and the New York Association of Convenience Stores; the Tax Section of Filing Date: 2016-03-15 the New York State Bar Association; the Association of the Bar of the Effective Date: 2016-03-15 City of New York; the New York State Society of Enrolled Agents; the New York State Society of CPAs; and the Taxation Committee of the PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- Business Council of New York State. In addition, the City of New York cedure Act, NOTICE is hereby given of the following action: was consulted. Proposed Action: Addition of Part 9 to Title 20 NYCRR. Rural Area Flexibility Analysis Statutory authority: Tax Law, subdivision First of section 171 and 1. Types and estimated numbers of rural areas: Every employer, includ- subdivision First of section 209-B; and L. 2014, ch. 59, part A, section 7 ing any public or private employer located in a rural area as defined in sec- Finding of necessity for emergency rule: Preservation of general welfare. tion 102(10) of the State Administrative Procedure Act, that is currently Specific reasons underlying the finding of necessity: The purpose of the subject to the City of New York withholding requirements will continue to rule is to add a new Part 9 to 20 NYCRR, to implement section 209-B of be subject to such requirements and will be required to comply with the the Tax Law, as amended by Section 7 of Part A of Chapter 59 of the provisions of this rule. The number of employers that are also public or Laws of 2014. Section 209-B, as amended, generally imposes a tax sur- private interests in rural areas cannot be determined with any degree of charge on every corporation subject to section 209 of the Tax Law, other certainty. The effect on employers in rural areas is minimized because the than a New York S corporation, for the privilege of exercising the changes relate to the New York City personal income tax on residents corporation’s corporate franchise, or of doing business, or of employing withholding requirements. There are 44 counties throughout this State that capital, or of owning or leasing property in a corporate or organized capa- are rural areas (having a population of less than 200,000) and 9 more coun- city, or of maintaining an office, or of deriving receipts from activity in ties having towns that are rural areas (with population densities of 150 or the metropolitan commuter transportation district, for all or any part of the fewer people per square mile). corporation’s taxable year. 2. Reporting, recordkeeping and other compliance requirements; and The Commissioner is required, pursuant to section 209-B(1)(f) of the professional services: This rule requires employers that are already subject Tax Law, to adjust the rate of the metropolitan transportation business tax to the City of New York withholding requirements to continue to deduct surcharge for taxable years beginning on or after January 1, 2016. The rate and withhold amounts from employees using the revised withholding is to be adjusted as necessary to ensure that the receipts attributable to the tables and other methods. The promulgation of this rule will not require surcharge will meet and not exceed the financial projections for state fis- employers to submit any new information, forms, or other paperwork. cal year 2016-2017, as reflected in the enacted budget for that fiscal year. Further, many employers currently utilize bookkeepers, accountants, Section 209-B(1)(e) of the Tax Law requires the Commissioner to and professional payroll services in order to comply with existing with- adjust the thresholds at which a corporation is deemed to be deriving holding requirements. This rule will not encourage or discourage the use receipts from activity in the metropolitan commuter transportation district of any such services. for purposes of imposing the metropolitan transportation business tax sur- 3. Costs: Employers are already subject to the City of New York with- charge, after reviewing, at the end of each year, the cumulative percentage holding requirements. Therefore, employers are accustomed to withhold- change in the consumer price index and adjusting such receipts thresholds ing revisions, including minor programming changes for federal, state, if the consumer price index has changed by 10 percent or more since Janu- City of New York, and City of Yonkers purposes. As such, these City of ary 1, 2015 or since the date that the thresholds were last adjusted by the New York changes should place no additional burdens on employers lo- Commissioner. cated in rural areas. See, also, section 4(a) of the Regulatory Impact State- These rules are being adopted on an emergency basis in order to have ment for this rule. the metropolitan transportation business tax surcharge rate for Tax Year 4. Minimizing adverse impact: Section 11-1771(a) of the Administra- 2016 in place on January 1, 2016, and to continue to have the rate in effect tive Code of the City of New York mandates that City of New York with- until the permanent rule establishing the rate is adopted. holding tables and other methods be promulgated. There are no provisions Subject: Metropolitan Transportation Business Tax Surcharge. in the Tax Law or the Administrative Code of the City of New York that Purpose: To provide metropolitan transportation business tax rate for tax exclude employers located in rural areas from the withholding year 2016. requirements. Substance of emergency/proposed rule (Full text is posted at the follow- 5. Rural area participation: The following organizations are being given ing State website:https://www.tax.ny.gov/): The purpose of the rule is to an opportunity to participate in the rule's development: the Association of add a new Part 9 to 20 NYCRR, to implement section 209-B of the Tax Towns of New York State; the Office of Coastal, Local Government, and Law, as amended by Section 7 of Part A of Chapter 59 of the Laws of Community Sustainability of New York State Department of State; the 2014. Section 209-B, as amended, generally imposes a tax surcharge on Division for Small Business of Empire State Development; the National every corporation subject to section 209 of the Tax Law, other than a New Federation of Independent Businesses; the New York State Association of York S corporation, for the privilege of exercising the corporation’s Counties; the New York Conference of Mayors and Municipal Officials; corporate franchise, or of doing business, or of employing capital, or of the Small Business Committee of the Business Council of New York State; owning or leasing property in a corporate or organized capacity, or of the Retail Council of New York State; the New York Association of Con- maintaining an office, or of deriving receipts from activity in the metro- venience Stores; the Tax Section of the New York State Bar Association; politan commuter transportation district, for all or any part of the the Association of the Bar of the City of New York; the New York State corporation’s taxable year. Society of Enrolled Agents; the New York State Society of CPAs; and the The Commissioner is required, pursuant to section 209-B(1)(f) of the Taxation Committee of the Business Council of New York State. In addi- Tax Law, to adjust the rate of the metropolitan transportation business tax tion, the City of New York was consulted. surcharge for taxable years beginning on or after January 1, 2016. The rate Job Impact Statement is to be adjusted as necessary to ensure that the receipts attributable to the A Job Impact Statement is not being submitted with this rule because it is surcharge will meet and not exceed the financial projections for state fis- evident from the subject matter of the rule that it would have no adverse cal year 2016-2017, as reflected in the enacted budget for that fiscal year. impact on jobs and employment opportunities. The purpose of the rule is Part 9 complies with the mandate of section 209-B(1)(f), setting forth to provide City of New York withholding tables and other methods, ap- the rate for taxable years beginning on or after January 1, 2016. The previ- plicable for compensation paid on or after January 1 2016, which reflect ously established statutory rate was 25.6 percent of the tax imposed under the revision of the New York City rate enacted pursuant to Chapter 59 of section 209 of the Tax Law. As required by section 209-B(1)(f), the com- the Laws of 2015. missioner has computed the metropolitan transportation business tax surcharge, using the state fiscal year 2016-2017 fiscal projections, at the rate Assessment of Public Comment of 28 percent of the tax imposed under section 209 of the Tax Law for tax- The agency received no public comment since publication of the last as- able years beginning on or after January 1, 2016 and before January 1, sessment of public comment. 2017.

22 NYS Register/March 30, 2016 Rule Making Activities

Part 9 also implements section 209-B(1)(e) of the Tax Law, which consumer price index, under section 209-B(1)(e) of the Tax Law, and requires the Commissioner to adjust the thresholds at which a corporation found that the consumer price index has not changed by 10 percent or is deemed to be deriving receipts from activity in the metropolitan com- more since January 1, 2015. The thresholds at which a corporation is muter transportation district for purposes of imposing the metropolitan deemed to be deriving receipts from activity in the metropolitan commuter transportation business tax surcharge, after reviewing, at the end of each transportation district for purposes of imposing the metropolitan transpor- year, the cumulative percentage change in the consumer price index and tation business tax surcharge will remain the same as set forth in section adjusting such receipts thresholds if the consumer price index has changed 209-B(1) of the Taw Law until such time as the Commissioner next by 10 percent or more since January 1, 2015 or since the date that the reviews the cumulative percentage change in the consumer price index thresholds were last adjusted by the Commissioner. and adjusts such receipts thresholds. The thresholds at which a corporation is deemed to be deriving receipts 3. Needs and benefits: This rule sets forth amendments to the Business from activity in the metropolitan commuter transportation district for Corporation Franchise Tax regulations reflecting amendments to Tax Law, purposes of imposing the metropolitan transportation business tax sur- section 209-B contained in Chapter 59 of the Laws of 2014, This rule charge will not be changed beginning on or after January 1, 2016, but will benefits taxpayers by putting in place the metropolitan transportation busi- remain the same as set forth in section 209-B(1) of the Taw Law, since the ness tax surcharge effective January 1, 2016 for Tax Year 2016. Commissioner has reviewed the cumulative percentage change in the 4. Costs: (a) Costs to regulated parties for the implementation and consumer price index, under section 209-B(1)(e) of the Tax Law, and continuing compliance with this rule: There is no additional cost or burden found that the consumer price index has not changed by 10 percent or to comply with these amendments. There is no additional time period more since January 1, 2015. The thresholds at which a corporation is needed for compliance. deemed to be deriving receipts from activity in the metropolitan commuter (b) Costs to this agency, the State and local governments for the transportation district for purposes of imposing the metropolitan transpor- implementation and continuation of this rule: Since the need to make tation business tax surcharge will remain the same as set forth in section amendments to the New York State Business Corporation Franchise Tax 209-B(1) of the Taw Law until such time as the Commissioner next regulations under Article 9 of the Tax Law arises due to the statutory reviews the cumulative percentage change in the consumer price index changes mandating that the commissioner adjust the metropolitan and adjusts such receipts thresholds. transportation business tax surcharge and thresholds at which a corpora- This notice is intended: to serve as both a notice of emergency adoption tion is deemed to be deriving receipts from activity in the metropolitan and a notice of proposed rule making. The emergency rule will expire commuter transportation district, there are no costs to this agency or the May 13, 2016. State and local governments that are due to the promulgation of this rule. (c) Information and methodology: This analysis is based on a review of Text of rule and any required statements and analyses may be obtained the statutory requirements and on discussions among personnel from the from: Kathleen D. O'Connell, Tax Regulations Specialist 1, Department Department’s Taxpayer Guidance Division, Office of Counsel, Office of of Taxation and Finance, Office of Counsel, Building 9, W.A. Harriman Tax Policy Analysis Bureau of Tax and Fiscal Studies, Office of Budget Campus, Albany, NY 12227, (518) 530-4153, email: and Management Analysis, and Management Analysis and Project Ser- [email protected] vices Bureau. Data, views or arguments may be submitted to: Same as above. 5. Local government mandates: Local governments, as employers, Public comment will be received until: 45 days after publication of this would be required to implement the new withholding tables and other notice. methods in the same manner and at the same time as any other employer. Regulatory Impact Statement 6. Paperwork: This rule will not require any new forms or information. 1. Statutory authority: Tax Law, section 171, subdivision First, gener- The reporting requirements for employers are not changed by this rule. ally authorizes the Commissioner of Taxation and Finance to promulgate 7. Duplication: This rule does not duplicate any other requirements. regulations; section 209-B of the Tax Law generally imposes a tax sur- 8. Alternatives: Since section 209-B, as amended by Section 7 of Part A charge on every corporation subject to section 209 of the Tax Law, other of Chapter 59 of the Laws of 2014 requires that the commissioner adjust, than a New York S corporation, for the privilege of exercising the under certain circumstances, the metropolitan transportation business tax corporation’s corporate franchise, or of doing business, or of employing surcharge and thresholds at which a corporation is deemed to be deriving capital, or of owning or leasing property in a corporate or organized capa- receipts from activity in the metropolitan commuter transportation district, city, or of maintaining an office, or of deriving receipts from activity in there are no viable alternatives to providing such rate and threshold adjust- the metropolitan commuter transportation district, for all or any part of the ments using the methodology prescribed in Tax Law, section 209-B. corporation’s taxable year. Section 7 of Part A of Chapter 59 of the Laws 9. Federal standards: This rule does not exceed any minimum standards of 2014 amended Tax Law, section 209-B(1)(f) to require the Commis- of the federal government for the same or similar subject area. sioner to adjust the rate of the metropolitan transportation business tax 10. Compliance schedule: The required rate information has been made surcharge for taxable years beginning on or after January 1, 2016. Section available to regulated parties, by means of the emergency adoption of 7 of Part A of Chapter 59 also amended Tax Law, section 209-B(1)(e) to New Part 9 of the Business Corporation Franchise Tax regulations on require the Commissioner to adjust the thresholds at which a corporation December 31, 2015, in sufficient time to implement the rate effective is deemed to be deriving receipts from activity in the metropolitan com- January 1, 2016. This rule readopts the rule establishing the rate as an muter transportation district for purposes of imposing the metropolitan emergency measure and proposes it as a permanent rule. transportation business tax surcharge. Regulatory Flexibility Analysis 2. Legislative objectives: New Part 9 of the Business Corporation A Regulatory Flexibility Analysis for Small Businesses and Local Franchise Tax regulations complies with the mandate of section 209- Governments is not being submitted with this rule because it will not B(1)(f), as amended, setting forth the rate for taxable years beginning on impose any adverse economic impact or any additional reporting, or after January 1, 2016. The previously established statutory rate was recordkeeping, or other compliance requirement on small businesses or 25.6 percent of the tax imposed under section 209 of the Tax Law. As local governments. required by section 209-B(1)(f), the commissioner has computed the met- The purpose of the rule is to add a new Part 9 to 20 NYCRR, to imple- ropolitan transportation business tax surcharge, using the state fiscal year ment section 209-B of the Tax Law, as amended by Section 7 of Part A of 2016-2017 fiscal projections, at the rate of 28 percent of the tax imposed Chapter 59 of the Laws of 2014. Section 209-B, as amended, generally under section 209 of the Tax Law for taxable years beginning on or after imposes a tax surcharge on every corporation subject to section 209 of the January 1, 2016 and before January 1, 2017. Tax Law, other than a New York S corporation, for the privilege of Part 9 also implements section 209-B(1)(e) of the Tax Law, which exercising the corporation’s corporate franchise, or of doing business, or requires the Commissioner to adjust the thresholds at which a corporation of employing capital, or of owning or leasing property in a corporate or is deemed to be deriving receipts from activity in the metropolitan com- organized capacity, or of maintaining an office, or of deriving receipts muter transportation district for purposes of imposing the metropolitan from activity in the metropolitan commuter transportation district, for all transportation business tax surcharge, after reviewing, at the end of each or any part of the corporation’s taxable year. year, the cumulative percentage change in the consumer price index and The Commissioner is required, pursuant to section 209-B(1)(f) of the adjusting such receipts thresholds if the consumer price index has changed Tax Law, to adjust the rate of the metropolitan transportation business tax by 10 percent or more since January 1, 2015 or since the date that the surcharge for taxable years beginning on or after January 1, 2016. The rate thresholds were last adjusted by the Commissioner. is to be adjusted as necessary to ensure that the receipts attributable to the The thresholds at which a corporation is deemed to be deriving receipts surcharge will meet and not exceed the financial projections for state fis- from activity in the metropolitan commuter transportation district for cal year 2016-2017, as reflected in the enacted budget for that fiscal year. purposes of imposing the metropolitan transportation business tax sur- Part 9 complies with the mandate of section 209-B(1)(f), setting forth charge will not be changed beginning on or after January 1, 2016, but will the rate for taxable years beginning on or after January 1, 2016. The previ- remain the same as set forth in section 209-B(1) of the Taw Law, since the ously established statutory rate was 25.6 percent of the tax imposed under Commissioner has reviewed the cumulative percentage change in the section 209 of the Tax Law. As required by section 209-B(1)(f), the com-

23 Rule Making Activities NYS Register/March 30, 2016 missioner has computed the metropolitan transportation business tax sur- Job Impact Statement charge, using the state fiscal year 2016-2017 fiscal projections, at the rate A Job Impact Statement is not being submitted with this rule because it of 28 percent of the tax imposed under section 209 of the Tax Law for tax- is evident from the subject matter of the rule that it will have no adverse able years beginning on or after January 1, 2016 and before January 1, impact on jobs and employment opportunities. The purpose of the rule is 2017. to add a new Part 9 to 20 NYCRR, to implement section 209-B of the Tax Part 9 also implements section 209-B(1)(e) of the Tax Law, which Law, as amended by Section 7 of Part A of Chapter 59 of the Laws of requires the Commissioner to adjust the thresholds at which a corporation 2014. Section 209-B, as amended, generally imposes a tax surcharge on is deemed to be deriving receipts from activity in the metropolitan com- every corporation subject to section 209 of the Tax Law, other than a New muter transportation district for purposes of imposing the metropolitan York S corporation, for the privilege of exercising the corporation’s transportation business tax surcharge, after reviewing, at the end of each corporate franchise, or of doing business, or of employing capital, or of year, the cumulative percentage change in the consumer price index and owning or leasing property in a corporate or organized capacity, or of adjusting such receipts thresholds if the consumer price index has changed maintaining an office, or of deriving receipts from activity in the metro- by 10 percent or more since January 1, 2015 or since the date that the politan commuter transportation district, for all or any part of the thresholds were last adjusted by the Commissioner. corporation’s taxable year. The thresholds at which a corporation is deemed to be deriving receipts The Commissioner is required, pursuant to section 209-B(1)(f) of the from activity in the metropolitan commuter transportation district for Tax Law, to adjust the rate of the metropolitan transportation business tax purposes of imposing the metropolitan transportation business tax surcharge will not be changed beginning on or after January 1, 2016, but will surcharge for taxable years beginning on or after January 1, 2016. The rate remain the same as set forth in section 209-B(1) of the Taw Law, since the is to be adjusted as necessary to ensure that the receipts attributable to the Commissioner has reviewed the cumulative percentage change in the surcharge will meet and not exceed the financial projections for state fis- consumer price index, under section 209-B(1)(e) of the Tax Law, and cal year 2016-2017, as reflected in the enacted budget for that fiscal year. found that the consumer price index has not changed by 10 percent or Section 209-B(1)(e) of the Tax Law, as amended, requires the Commis- more since January 1, 2015. The thresholds at which a corporation is sioner to adjust the thresholds at which a corporation is deemed to be deemed to be deriving receipts from activity in the metropolitan commuter deriving receipts from activity in the metropolitan commuter transporta- transportation district for purposes of imposing the metropolitan transpor- tion district for purposes of imposing the metropolitan transportation busi- tation business tax surcharge will remain the same as set forth in section ness tax surcharge, after reviewing, at the end of each year, the cumulative 209-B(1) of the Taw Law until such time as the Commissioner next percentage change in the consumer price index and adjusting such receipts reviews the cumulative percentage change in the consumer price index thresholds if the consumer price index has changed by 10 percent or more and adjusts such receipts thresholds. since January 1, 2015 or since the date that the thresholds were last Rural Area Flexibility Analysis adjusted by the Commissioner. A Rural Area Flexibility Analysis is not being submitted with this rule This rule merely complies with the mandates of section 209-B of the because it will not impose any adverse impact on any rural areas. The Tax Law, as amended by Section 7 of Part A of Chapter 59 of the Laws of purpose of the rule is to add a new Part 9 to 20 NYCRR, to implement sec- 2014, by adding a new Part 9 to 20 NYCRR, setting forth the rate for the tion 209-B of the Tax Law, as amended by Section 7 of Part A of Chapter metropolitan business transportation tax surcharge for Tax Year 2016 and 59 of the Laws of 2014. Section 209-B, as amended, generally imposes a establishing that the thresholds at which a corporation is deemed to be tax surcharge on every corporation subject to section 209 of the Tax Law, deriving receipts from activity in the metropolitan commuter transporta- other than a New York S corporation, for the privilege of exercising the tion district will not be adjusted for Tax Year 2016. corporation’s corporate franchise, or of doing business, or of employing capital, or of owning or leasing property in a corporate or organized capa- PROPOSED RULE MAKING city, or of maintaining an office, or of deriving receipts from activity in NO HEARING(S) SCHEDULED the metropolitan commuter transportation district, for all or any part of the corporation’s taxable year. The Commissioner is required, pursuant to section 209-B(1)(f) of the Production of Daily Inventory Records to the Department, Upon Tax Law, to adjust the rate of the metropolitan transportation business tax Request, by Those Already Required to Maintain Such Records surcharge for taxable years beginning on or after January 1, 2016. The rate I.D. No. TAF-13-16-00006-P is to be adjusted as necessary to ensure that the receipts attributable to the surcharge will meet and not exceed the financial projections for state fiscal year 2016-2017, as reflected in the enacted budget for that fiscal year. PURSUANT TO THE PROVISIONS OF THE State Administrative Pro- Part 9 complies with the mandate of section 209-B(1)(f), setting forth cedure Act, NOTICE is hereby given of the following proposed rule: the rate for taxable years beginning on or after January 1, 2016. The previ- Proposed Action: Amendment of section 533.2(e) of Title 20 NYCRR. ously established statutory rate was 25.6 percent of the tax imposed under Statutory authority: Tax Law, sections 171, subd. First and 1135(d) section 209 of the Tax Law. As required by section 209-B(1)(f), the commissioner has computed the metropolitan transportation business tax sur- Subject: Production of daily inventory records to the department, upon charge, using the state fiscal year 2016-2017 fiscal projections, at the rate request, by those already required to maintain such records. of 28 percent of the tax imposed under section 209 of the Tax Law for tax- Purpose: To provide the department access to relevant existing data, in able years beginning on or after January 1, 2016 and before January 1, furtherance of the administration of the Tax Law. 2017. Text of proposed rule: Section 1. Subdivision (e) of section 533.2 of such Part 9 also implements section 209-B(1)(e) of the Tax Law, which regulations is amended, to add a new paragraph 8, to read as follows: requires the Commissioner to adjust the thresholds at which a corporation (8) Every person subject to the inventory monitoring for underground is deemed to be deriving receipts from activity in the metropolitan com- storage facilities requirements in New York State Department of Environ- muter transportation district for purposes of imposing the metropolitan mental Conservation Regulation 6 NYCRR 613, as may be amended from transportation business tax surcharge, after reviewing, at the end of each time to time, must maintain daily inventory records for each tank (or bat- year, the cumulative percentage change in the consumer price index and tery of tanks if they are interconnected) and provide or make available adjusting such receipts thresholds if the consumer price index has changed those records upon request by the New York State Department of Taxation by 10 percent or more since January 1, 2015 or since the date that the and Finance. thresholds were last adjusted by the Commissioner. Text of proposed rule and any required statements and analyses may be The thresholds at which a corporation is deemed to be deriving receipts obtained from: Kathleen D. O'Connell, Department of Taxation and from activity in the metropolitan commuter transportation district for Finance, Office of Counsel, Building 9, W.A. Harriman Campus, Albany, purposes of imposing the metropolitan transportation business tax sur- NY 12227, (518) 530-4153, email: [email protected] charge will not be changed beginning on or after January 1, 2016, but will remain the same as set forth in section 209-B(1) of the Taw Law, since the Data, views or arguments may be submitted to: Same as above. Commissioner has reviewed the cumulative percentage change in the Public comment will be received until: 45 days after publication of this consumer price index, under section 209-B(1)(e) of the Tax Law, and notice. found that the consumer price index has not changed by 10 percent or Regulatory Impact Statement more since January 1, 2015. The thresholds at which a corporation is 1. Statutory authority: Tax Law, section 171, subdivision First, gener- deemed to be deriving receipts from activity in the metropolitan commuter ally authorizes the Commissioner of Taxation and Finance to promulgate transportation district for purposes of imposing the metropolitan transpor- regulations; section 1135(d) requires persons selling or holding large tation business tax surcharge will remain the same as set forth in section volumes of petroleum to keep records for such periods and in the manner 209-B(1) of the Taw Law until such time as the Commissioner next prescribed by the commissioner pursuant to rules and regulations. Section reviews the cumulative percentage change in the consumer price index 1135(d) delineates certain information such records shall contain, includ- and adjusts such receipts thresholds. ing the number of gallons of petroleum products purchased and sold,

24 NYS Register/March 30, 2016 Rule Making Activities together with such additional information as the commissioner shall administration of the Tax Law, access to daily inventory records already require. required to be maintained. 2. Legislative objectives: The rule amends section 533.2(e) of the Rural Area Flexibility Analysis regulations to require that every person subject to the inventory monitor- A Rural Area Flexibility Analysis is not being submitted with this rule ing for underground storage facilities requirements in New York State Department of Environmental Conservation Regulation 6 NYCRR 613 because it will not impose any adverse impact on any rural areas. A that must already maintain daily inventory records for each tank (or bat- Regulatory Flexibility Analysis for Small Businesses and Local Govern- tery of tanks if they are interconnected) must also provide or make avail- ments is not being submitted with this rule because it will not impose any able those records upon request by the New York State Department of adverse economic impact or any additional reporting, recordkeeping, or Taxation and Finance. These inventory records are already required to be other compliance requirement on small businesses or local governments. kept, and provide detailed information to the department regarding the Section 1135(d) of the Tax Law requires persons selling or holding large volume of petroleum being stored on a daily basis. This information is rel- volumes of petroleum to keep records for such periods and in the manner evant in examining taxpayers’ books and records in the administration of prescribed by the commissioner pursuant to rules and regulations. Section the Tax Law. 1135(d) delineates certain information such records shall contain, includ- 3. Needs and benefits: The rule requires that every person subject to the ing the number of gallons of petroleum products purchased and sold, inventory monitoring for underground storage facilities requirements in together with such additional information as the commissioner shall New York State Department of Environmental Conservation Regulation 6 require. The rule amends section 533.2(e) of 20 NYCRR to require that NYCRR 613 that must already maintain daily inventory records for each every person subject to the inventory monitoring for underground storage tank (or battery of tanks if they are interconnected) must also provide or facilities requirements in New York State Department of Environmental make available those records upon request by the New York State Depart- Conservation Regulation 6 NYCRR 613 that must already maintain daily ment of Taxation and Finance. This rule furthers the administration of the inventory records for each tank (or battery of tanks if they are intercon- tax law by providing the department with accurate, detailed information, nected) must also provide or make available those records upon request by to ensure that the appropriate amount of tax is remitted in connection with the New York State Department of Taxation and Finance. the purchase and sale of petroleum products. The rule imposes no ad- The purpose of this rule is to provide to the department, in the ditional burdens on regulated parties in that it merely requires them to pro- administration of the Tax Law, access to daily inventory records already duce records they are already required to maintain under Department of required to be maintained. Environmental Conservation regulations. Job Impact Statement 4. Costs: (a) Costs to regulated parties for the implementation and A Job Impact Statement is not being submitted with this rule because it is continuing compliance with this rule: Since section 1135(d) of the Tax evident from the subject matter that the rule will have no impact on jobs Law already requires persons selling or holding large volumes of petro- and employment opportunities. The purpose of the rule is merely to require leum to keep records for such periods and in the manner prescribed by the that every person subject to the inventory monitoring for underground commissioner pursuant to rules and regulations, and this rule requires only those persons already required to maintain daily inventory records under storage facilities requirements in New York State Department of Environ- Department of Environmental Conservation regulations to provide or mental Conservation Regulation 6 NYCRR 613 that must already maintain make available these records upon request by the department, the rule daily inventory records for each tank (or battery of tanks if they are imposes no additional costs on regulated parties. interconnected) must also provide or make available those records upon (b) Costs to this agency, the State and local governments for the request by the New York State Department of Taxation and Finance. implementation and continuation of this rule: the rule provides for the production of daily inventory records in the discretion of the department. No additional costs are imposed on the agency for the implementation and continuation of the rule. (c) Information and methodology: This analysis is based on a review of the statutory requirements and on discussions among personnel from the Department’s Taxpayer Guidance Division, Office of Tax Policy Analy- sis, Office of Budget and Management Analysis, and Management Analy- sis and Project Services Bureau. 5. Local government mandates: The rule imposes no local government mandates. 6. Paperwork: This rule will not require any new forms or information. 7. Duplication: This rule does not duplicate any other requirements. 8. Alternatives: Since the daily inventory records subject to production are already required to be compiled and maintained under Department of Environmental Conservation regulations, there are no preferable viable alternatives. 9. Federal standards: This rule does not exceed any minimum standards of the federal government for the same or similar subject area. 10. Compliance schedule: Because the information in question is already required to be compiled and maintained, production upon request will be required when the rule becomes effective, upon publication of the Notice of Adoption in the State Register. Regulatory Flexibility Analysis A Regulatory Flexibility Analysis for Small Businesses and Local Governments is not being submitted with this rule because it will not impose any adverse economic impact or any additional reporting, recordkeeping, or other compliance requirement on small businesses or local governments. Section 1135(d) of the Tax Law requires persons selling or holding large volumes of petroleum to keep records for such periods and in the manner prescribed by the commissioner pursuant to rules and regulations. Section 1135(d) delineates certain information such records shall contain, including the number of gallons of petroleum products purchased and sold, together with such additional information as the commissioner shall require. The rule amends section 533.2(e) of 20 NYCRR to require that every person subject to the inventory monitoring for underground storage facilities requirements in New York State Depart- ment of Environmental Conservation Regulation 6 NYCRR 613 that must already maintain daily inventory records for each tank (or battery of tanks if they are interconnected) must also provide or make available those records upon request by the New York State Department of Taxation and Finance. The purpose of this rule is to provide to the department, in the

25 Rule Making Activities NYS Register/March 30, 2016

HEARINGS SCHEDULED FOR PROPOSED RULE MAKINGS Agency I.D. No. Subject Matter Location—Date—Time Environmental Conservation, Department of ENV-11-16-00004-P...... Solid waste management regulations Suffolk County Water Authority Education Center, 260 Motor Pkwy., Hauppauge, NY— June 2, 2016, 1:00 p.m. Department of Environmental Conservation, 625 Broadway, Rm. 129A, Albany, NY—June 6, 2016, 1:00 p.m. RIT Inn and Conference Center, Henrietta Ballroom, 5257 Henrietta Rd., Rochester, NY—June 7, 2016, 1:00 p.m. Lake George Park Commission LGP-06-16-00006-P ...... Mandatory inspection of trailered vessels for Bolton Town Hall, Bolton Landing, NY— aquatic invasive species prior to launching March 30, 2016, 4:00 p.m. into the waters of Lake George Park

26 NYS Register/March 30, 2016 Action Pending Index

ACTION PENDING INDEX

The action pending index is a list of all proposed rules which are in the action pending index, use the identification number to currently being considered for adoption. A proposed rule is 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 from agency, the issue of the Register in which the notice was printed, the index when any of the following occur: (1) the proposal is the year in which the notice was printed and the notice's serial adopted as a permanent rule; (2) the proposal is rejected and number. The following diagram shows how to read identification withdrawn from consideration; or (3) the proposal's notice number codes. 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 no- AAM 01 12 00001 P tices are identified by the word “exempt” in the second column. Actions pending for one year or more are preceded by an Action codes: P — proposed rule making; EP — emergency and asterisk(*). proposed rule making (expiration date refers to proposed rule); For additional information concerning any of the proposals listed RP — revised rule making

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

ADIRONDACK PARK AGENCY

APA-09-16-00005-P ...... 03/02/17 Access to Agency Records To conform Adirondack Park Agency rules to the Public Officers Law and rules promulgated by the Committee on Open Government

AGRICULTURE AND MARKETS, DEPARTMENT OF

AAM-28-15-00003-P ...... 07/14/16 Incorporate by reference in 1 NYCRR of the To incorporate by reference in 1 NYCRR the 2015 edition of National Institute of Standards 2015 edition of NIST Handbook 133 and Technology (‘‘NIST’’) Handbook 133

AAM-32-15-00001-P ...... 08/11/16 Petroleum products and delivery devices; To repeal requirements relating to petroleum exemption of maple syrup and honey devices and products, and to maple syrup and producers from food processing honey producers

CHILDREN AND FAMILY SERVICES, OFFICE OF

CFS-49-15-00005-P ...... 12/08/16 Youth development program funding and To implement changes in the Executive Law implementation regarding youth development program funding and implementation

CFS-07-16-00012-P ...... 02/16/17 Eligibility of successor guardians for kinship To enact standards for the appointment and guardianship assistance payments approval of a successor guardian upon the death or incapacity of a relative guardian

CFS-07-16-00014-P ...... 02/16/17 Casework contacts for foster children To implement federal standards which require monthly face-to-face, in person casework contact with foster children

CIVIL SERVICE, DEPARTMENT OF

*CVS-11-15-00004-P ...... 03/17/16 JurisdictionalClassification To classify a position in the non-competitive class

CVS-19-15-00005-P ...... 05/12/16 JurisdictionalClassification To classify a position in the non-competitive class

27 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

CIVIL SERVICE, DEPARTMENT OF CVS-29-15-00008-P ...... 07/21/16 JurisdictionalClassification To classify positions in the non-competitive class

CVS-29-15-00010-P ...... 07/21/16 JurisdictionalClassification To delete positions from the exempt class

CVS-34-15-00006-P ...... 08/25/16 Jurisdictional Classification To classify a position in the exempt class

CVS-34-15-00007-P ...... 08/25/16 Jurisdictional Classification To classify a position in the exempt class and to classify a position in the non-competitive class

CVS-34-15-00008-P ...... 08/25/16 Jurisdictional Classification To delete positions from the non-competitive class

CVS-34-15-00009-P ...... 08/25/16 Jurisdictional Classification To delete positions from and classify positions in the non-competitive class

CVS-34-15-00010-P ...... 08/25/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-34-15-00011-P ...... 08/25/16 Jurisdictional Classification To delete positions from and classify positions in the exempt class

CVS-34-15-00012-P ...... 08/25/16 Jurisdictional Classification To delete positions from and classify positions in the exempt class

CVS-34-15-00013-P ...... 08/25/16 Jurisdictional Classification To delete a position from and classify a position in the exempt class

CVS-36-15-00001-P ...... 09/08/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-36-15-00002-P ...... 09/08/16 Jurisdictional Classification To classify positions in the exempt class

CVS-36-15-00003-P ...... 09/08/16 Jurisdictional Classification To classify positions in the exempt class

CVS-36-15-00004-P ...... 09/08/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-36-15-00005-P ...... 09/08/16 Jurisdictional Classification To delete a position from and classify a position in the exempt class

CVS-36-15-00006-P ...... 09/08/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-36-15-00007-P ...... 09/08/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-36-15-00008-P ...... 09/08/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-36-15-00009-P ...... 09/08/16 Jurisdictional Classification To classify positions in the exempt class

CVS-36-15-00010-P ...... 09/08/16 Jurisdictional Classification To classify positions in the exempt class

CVS-36-15-00011-P ...... 09/08/16 Jurisdictional Classification To classify positions in the non-competitive class

CVS-36-15-00012-P ...... 09/08/16 Jurisdictional Classification To delete a position from and classify a position in the non-competitive class

28 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

CIVIL SERVICE, DEPARTMENT OF CVS-36-15-00013-P ...... 09/08/16 Jurisdictional Classification To delete positions from and classify positions in the non-competitive class

CVS-36-15-00014-P ...... 09/08/16 Jurisdictional Classification To delete a position from and classify positions in the non-competitive class

CVS-36-15-00015-P ...... 09/08/16 Jurisdictional Classification To delete positions/subheadings from and classify positions in the exempt class and delete positions from non-competitive class

CVS-36-15-00016-P ...... 09/08/16 Jurisdictional Classification To delete positions from and classify positions in the non-competitive class

CVS-36-15-00017-P ...... 09/08/16 Jurisdictional Classification To classify a position in the exempt class and to delete a position from the non-competitive class

CVS-36-15-00018-P ...... 09/08/16 Jurisdictional Classification To delete positions from and classify positions in the non-competitive class

CVS-44-15-00004-P ...... 11/03/16 Jurisdictional Classification To classify a position in the exempt class

CVS-44-15-00005-P ...... 11/03/16 Jurisdictional Classification To classify positions in the non-competitive class

CVS-44-15-00006-P ...... 11/03/16 Jurisdictional Classification To classify positions in the exempt class

CVS-44-15-00007-P ...... 11/03/16 Jurisdictional Classification To classify positions in the exempt class

CVS-44-15-00008-P ...... 11/03/16 Jurisdictional Classification To classify positions in the non-competitive class

CVS-44-15-00009-P ...... 11/03/16 Jurisdictional Classification To classify positions in the exempt class

CVS-44-15-00010-P ...... 11/03/16 Jurisdictional Classification To classify positions in the non-competitive class

CVS-44-15-00011-P ...... 11/03/16 Jurisdictional Classification To delete a position from and classify positions in the exempt class

CVS-44-15-00012-P ...... 11/03/16 Jurisdictional Classification To classify a subheading and positions in the non-competitive class

CVS-44-15-00013-P ...... 11/03/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-44-15-00014-P ...... 11/03/16 Jurisdictional Classification To delete a position from and classify a position in the non-competitive class

CVS-44-15-00015-P ...... 11/03/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-44-15-00016-P ...... 11/03/16 Jurisdictional Classification To delete a position from and classify a position in the non-competitive class

CVS-44-15-00017-P ...... 11/03/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-44-15-00018-P ...... 11/03/16 Jurisdictional Classification To classify positions in the exempt class and to classify a position from the non-competitive class

29 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

CIVIL SERVICE, DEPARTMENT OF CVS-45-15-00003-P ...... 11/09/16 Jurisdictional Classification To classify positions in the exempt class

CVS-45-15-00004-P ...... 11/09/16 Jurisdictional Classification To classify a position in the exempt class

CVS-45-15-00005-P ...... 11/09/16 Jurisdictional Classification To classify a position in the exempt class

CVS-45-15-00006-P ...... 11/09/16 Jurisdictional Classification To classify a position in the non-competitive class

CVS-45-15-00007-P ...... 11/09/16 Jurisdictional Classification To classify positions in the non-competitive class

CVS-51-15-00002-P ...... 12/22/16 JurisdictionalClassification To classify a position in the non-competitive class

CVS-51-15-00003-P ...... 12/22/16 JurisdictionalClassification To classify a position in the exempt class

CVS-02-16-00003-P ...... 01/12/17 Jurisdictional Classification To classify a position in the exempt class

CVS-02-16-00004-P ...... 01/12/17 Jurisdictional Classification To delete positions from and classify positions in the non-competitive class

CVS-02-16-00005-P ...... 01/12/17 Jurisdictional Classification To delete a position from and classify a position in the non-competitive class

CVS-02-16-00006-P ...... 01/12/17 Jurisdictional Classification To delete positions from the non-competitive class

CVS-07-16-00005-P ...... 02/16/17 JurisdictionalClassification To delete positions from and classify positions in the exempt class

CVS-07-16-00006-P ...... 02/16/17 JurisdictionalClassification To classify a position in the exempt class

CVS-07-16-00007-P ...... 02/16/17 JurisdictionalClassification To classify a position in the non-competitive class

CVS-07-16-00008-P ...... 02/16/17 JurisdictionalClassification To classify a position in the non-competitive class

CVS-07-16-00009-P ...... 02/16/17 JurisdictionalClassification To classify a position in the exempt class

CVS-07-16-00010-P ...... 02/16/17 JurisdictionalClassification To delete a position from and to classify a position in the non-competitive class

CVS-11-16-00001-P ...... 03/16/17 JurisdictionalClassification To delete positions from and classify positions in the exempt and non-competitive classes

CVS-11-16-00002-P ...... 03/16/17 JurisdictionalClassification To classify a position in the exempt class

CVS-11-16-00003-P ...... 03/16/17 JurisdictionalClassification To classify positions in the non-competitive class

CORRECTIONS AND COMMUNITY SUPERVISION, DEPARTMENT OF

CCS-35-15-00018-P ...... 09/01/16 Applicability of Title and Definitions Update the Department name and add new definitions

30 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

CORRECTIONS AND COMMUNITY SUPERVISION, DEPARTMENT OF CCS-52-15-00001-EP ...... 12/29/16 Standards of Inmate Behavior; Institutional Provide clarification regarding the definition of a Rules of Conduct; Rule Series 113 Contraband controlled substance for the purposes of this rule

CCS-52-15-00002-EP ...... 12/29/16 Contraband Drugs This proposal introduces a second testing system that may be utilized when testing for suspected contraband drugs

CCS-52-15-00003-P ...... 12/29/16 WashingtonCorrectional Facility Amend the age for general confinement to 18 years and older

CRIMINAL JUSTICE SERVICES, DIVISION OF

CJS-52-15-00018-P ...... 12/29/16 BasicCourse for Correction Officers Set forth minimum standards/clear and specific requirements of a basic course for correction officers

CJS-03-16-00002-P ...... 01/19/17 Victims of Human Trafficking To conform to the ‘‘Trafficking Victims Protection and Justice Act,’’ as added by Chapter 368 of the Laws of 2015

CJS-09-16-00002-P ...... 03/02/17 Central Registry of Police Officers and Peace To consolidate the police officer and peace Officers officer registries; and to clarify the reporting requirements

EDUCATION DEPARTMENT

EDU-13-15-00021-P ...... 03/31/16 Supplementary Teaching Certificates in To provide additional pathways for teacher Bilingual Education and English to Speakers of certification candidates to obtain supplementary Other Languages (ESOL) bilingual education extension and the ESOL supplementary certificate, for a three year period to conclude on June 30, 2018

EDU-27-15-00008-ERP ...... 07/07/16 School receivership To implement Education Law section 211-f, as added by Part EE, Subpart H of Ch. 56 of the Laws of 2015

EDU-40-15-00009-EP ...... 10/06/16 Graduate-level teacher and educational To establish minimum admission standards for leadership programs. graduate level teacher and leader prepartion programs and requirements

EDU-45-15-00014-P ...... 11/30/16 Preschool special education programs and To enact requirements relating to appointment of services 1:1 aide by Committee on Special Education (CSE); Special Education Itinerant Services (SEIS); related services; and standards for approved preschool providers

EDU-52-15-00017-ERP ...... 12/29/16 AnnualProfessional Performance Reviews To implement the recommendations of the New (APPR) of classroom teachers and building York Common Core Task Force Report by principals establishing transition ratings for teachers and building principals during a four-year transition period for APPRs

EDU-04-16-00003-RP ...... 01/26/17 NewYorkState Seal of Biliteracy To establish requirements for students to earn a State Seal of Biliteracy.

EDU-04-16-00004-P ...... 02/25/17 Procedures for State-level review of impartial To revise the procedures for appealing impartial hearing officer determinations regarding hearing officer decisions to a State review services for students with disabilities. officer.

31 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

EDUCATION DEPARTMENT EDU-05-16-00003-EP ...... 02/02/17 Examinations for Teacher Certification To provide a safety net for candidates who take and fail Part Two: Mathematics of the new Multi- Subject: Secondary Teachers Grades 7-12 Content Specialty Test (CST) which is required for Students with Disabilities, Grades 7-12, Generalist Teacher Cert.

EDU-06-16-00004-P ...... 02/09/17 School counseling, certification requirements To implement policy enacted by the Board of for school counselors and the school counselor Regents to enhance existing public school program registration requirements. district guidance programs to require comprehensive developmental counseling programs for all students in grades prekindergarten through 12 by certified school counselors

EDU-10-16-00006-P ...... 03/09/17 New York State High School Equivalency To establish the National External Diploma Diploma Program (NEDP) as a pathway to earn a NYS High School Equivalency Diploma

EDU-10-16-00015-P ...... 03/09/17 Citizenship requirements for professional To authorize the granting of licenses to licensure and certification in teaching and individuals in the Title VIII professions and the educational leadership service certification of teachers and educational leaders to otherwise qualified aliens who are not unlawfully present in the U.S.

EDU-10-16-00017-EP ...... 03/09/17 Execution by registered professional nurses of Authorize administration of other tests to non-patient specific orders to administer detect/screen for tuberculosis in addition to tuberculosis tests purified protein derivative (PPD) tests

EDU-10-16-00018-P ...... 03/09/17 Dental Anesthesia Certification Requirements To conform regulations to the current practice of for Licensed Dentists dental anesthesia administration

ELECTIONS, STATE BOARD OF

SBE-10-16-00003-P ...... 03/09/17 Disclosure of Independent Expenditures To conform 9 NYCRR 6200.10 to reflect amendment to Election Law 14-107 made by Chapter 56 of the Laws of 2015

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

ENV-19-15-00010-P ...... 05/12/16 Fishertrapping seasons and bag limits and Revise existing fisher seasons, establish a new general trapping regulations for furbearers season in central/western NY, update and clarify general trapping regulations

ENV-23-15-00008-RP ...... 07/28/16 Environmental Remediation - Brownfield To amend the Environmental Remediation Cleanup Program Program regulations that pertain to the Brownfield Cleanup Program

ENV-24-15-00013-P ...... 06/16/16 Rulemaking to implement ECL 17-0826-a To implement the reporting, notification and record keeping requirements of ECL 17-0826-a

ENV-34-15-00028-P ...... 08/25/16 Qualifications for License Issuing Agents and To remove regulatory requirements that exclude Wildlife Rehabilitators individuals with felonies from obtaining certain licenses and authorizations

ENV-45-15-00028-P ...... 11/09/16 Science-based State sea-level rise projections To establish a common source of sea-level rise projections for consideration in relevant programs and decision-making

ENV-50-15-00002-P ...... 12/15/16 The management of black sea bass Redefine the term trip limit to allow two fishers aboard a single vessel to possess and land the trip limit for black sea bass

32 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF ENV-50-15-00003-P ...... 12/15/16 Atlantic Ocean surfclam management To amend surfclam regulations to provide consistency with management measures of the Fishery Management Plan

ENV-50-15-00010-P ...... 12/15/16 Aquatic Invasive Species Spread Prevention To require that ‘‘reasonable precautions’’ are taken prior to placing watercraft into public waters to prevent the spread of AIS

ENV-51-15-00004-P ...... 02/10/17 Distributed generation (DG) sources that feed Establish emission limits for distributed the distribution grid or produce electricity for generation sources use at host facilities or both

ENV-51-15-00005-P ...... 12/22/16 Bigboreairrifles To allow big bore air rifles as legal implements for hunting big game

ENV-52-15-00010-P ...... 12/29/16 Procedures for modifying or extinguishing a Establish standards for the DEC to follow when conservation easement held by the NYS DEC modifying or extinguishing a CE and provide for a formal public review process

ENV-11-16-00004-P ...... 06/07/17 Solid Waste Management Regulations Amend the rules that implement the solid waste program in New York State to incorporate changes in law and technology

FINANCIAL SERVICES, DEPARTMENT OF

DFS-18-15-00009-P ...... 05/05/16 Title Insurance Rates, Expenses and Charges To insure proper, non-excessive rates, compliance with Ins. Law 6409(d), and reasonable charges for ancillary services

DFS-50-15-00004-P ...... 12/15/16 Regulating Transaction Monitoring and Filtering To improve efficiency and transparency in the Systems maintained by banks, check cashers mortgage banker and mortgage broker licensing and money transmitters process

DFS-03-16-00003-EP ...... 01/19/17 Standard financial aid award information sheet Provides guidance to institutions of higher for institutions of higher education education for the implementation of a financial aid award information sheet

DFS-08-16-00002-P ...... 02/23/17 Minimum Standards for Form, Content and To prohibit a health insurance policy or contract Sale of Health Insurance, Including Standards from providing coverage for conversion therapy of Full and Fair Disclosure to insureds under the age of 18

GAMING COMMISSION, NEW YORK STATE

SGC-39-15-00005-P ...... 09/29/16 Thoroughbred restricted time periods for To enhance the integrity and safety of various drugs thoroughbred horse racing

SGC-39-15-00006-P ...... 09/29/16 Reimbursement of awards for capital Clarify when VLG agent must reimburse State improvement projects at video lottery gaming upon divestment of a capital improvement for (‘‘VLG’’) facilities which capital award was received

SGC-07-16-00001-P ...... 02/16/17 Theuseofcellulartelephonesandelectronic To allow cellular telephones and other communication devices in the paddock communication devices in designated areas of a harness race track paddock

SGC-07-16-00011-P ...... 02/16/17 Thoroughbred pick-four, pick-five and pick-six To standardize and improve the pick-four, pick- wagers five and pick-six wagers in thoroughbred racing

SGC-12-16-00002-P ...... 03/23/17 Problem gambling awareness and training and To promote best responsible gaming practices to establish a process for gaming facility and establish a process for gaming facility patron self-exclusion patron self exclusion

33 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

GAMING COMMISSION, NEW YORK STATE SGC-12-16-00009-P ...... 03/23/17 Consequences for Commission licensees, To further enforce the age restriction laws for agents, and other regulated parties who violate gambling by imposing fines, suspensions and/or prohibition on underage wagering license revocation

GENERAL SERVICES, OFFICE OF

GNS-07-16-00013-P ...... 02/16/17 Outdoor lighting standards To provide lighting standards that will help state agencies comply with Public Buildings Law section 143

HEALTH, DEPARTMENT OF

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

*HLT-08-15-00003-RP ...... 05/25/16 Supplementary Reports of Certain Congenital To increase maximum age of reporting certain Anomalies for Epidemiological Surveillance; birth defects to the Congenital Malformations Filing Registry

HLT-16-15-00014-P ...... 04/21/16 RateRationalization – Prevocational Services, To establish new rate methodology effective July Respite, Supported Employment and 1, 2015 Residential Habilitation

HLT-30-15-00005-P ...... 07/28/16 Practice of radiologic technology To update regulations related to the practice of radiologic technology

HLT-30-15-00006-P ...... 07/28/16 Medicaid provider enrollment To make technical, conforming changes to regulations governing the enrollment of Medicaid providers of care, services and supplies

HLT-30-15-00007-P ...... 07/28/16 Reciprocal Emergency Medical Technician To replace the emergency medical technician- Certification Requirements intermediate category with the advanced emergency medical technician category

HLT-30-15-00008-P ...... 07/28/16 Controlled Substances for EMS Agency Agent To amend the regulations regarding the EMS and Requirements for an Advanced Life Agency Agent and the Requirements for an Support System Advanced Life Support System

HLT-30-15-00009-P ...... 07/28/16 Requirements for Manufacturers and To clarify and use language consistent with Distributors Regarding Controlled Substances current terminology used by the State Board of Pharmacy

HLT-39-15-00015-P ...... 09/29/16 Women Infants and Children (WIC) Program To align NYS WIC Program operations with Vendor Applicant Enrollment Criteria current federal requirements by amending the existing vendor enrollment criteria

HLT-43-15-00003-RP ...... 10/27/16 Immediate Need for Personal Care Services To implement 2015 State law changes regarding (PCS) and Consumer Directed Personal Medicaid applicants and recipients with Assistance (CDPA) immediate needs for PCS or CDPA

HLT-44-15-00003-P ...... 11/03/16 Transgender Related Care and Services To amend provisions regarding Medicaid coverage of transition-related transgender care and services

HLT-46-15-00006-P ...... 01/10/17 Early Intervention Program To conform existing program regulations to federal regulations and state statute

HLT-47-15-00003-P ...... 11/24/16 Sexually Transmitted Diseases (STDs) Control of Sexually Transmitted Diseases (STDs); Expedited Partner Therapy for Chlamydia Trachomatis Infection

34 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

HEALTH, DEPARTMENT OF HLT-51-15-00008-P ...... 12/22/16 Children’s Camps To include camps for children with developmental disabilities as a type of facility within the oversight of the Justice Center

HLT-06-16-00001-P ...... 02/09/17 Home Care Agencies to Obtain Written Medical Amend the clinical records rules for CHHAs & Orders from Physicians LHCSAs with regard to obtaining signed physician orders

HLT-06-16-00002-P ...... 02/09/17 Perinatal Services To update the Breastfeeding Mother's Bill of Rights to conform with recommended standards of care

HLT-06-16-00005-P ...... 02/09/17 Hospice Operational Rules To implement hospice expansion

HLT-06-16-00017-P ...... 02/09/17 Extended Mammography Hours for General Requires those general hospitals and hospital Hospitals and Hospital Extension Clinics extension clinics that offer mammography services to have extended hours

HUMAN RIGHTS, DIVISION OF

HRT-10-16-00019-P ...... 03/09/17 Discrimination based on relationship or To clarify it is unlawful to discriminate because association of relationship or association with members of a protected class

JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS

JCP-28-15-00008-EP ...... 07/14/16 Protocols for interviewing service recipients To enhance protections for people with special during investigations of abuse or neglect needs during investigations of abuse or neglect

LABOR, DEPARTMENT OF

LAB-21-15-00009-RP ...... 05/26/16 Methods of Payment of Wages This regulation provides clarification and specification as to the permissible methods of payment, including payroll debit cards

LAB-03-16-00009-P ...... 01/19/17 Employer Imposed Limitations on the Inquiry, This regulation sets forth standards for Discussion, and Disclosure of Wages limitations on inquiry, discussion, or the disclosure of wages amongst employees

LAKE GEORGE PARK COMMISSION

LGP-06-16-00006-P ...... 03/28/17 Mandatory inspection of trailered vessels for To prevent the introduction and spread of aquatic invasive species prior to launching into aquatic invasive species into the waters of the the waters of Lake George Park Lake George Park

LAW, DEPARTMENT OF

LAW-47-15-00007-ERP ...... 11/24/16 Clarification of Protections for Senior and To clarify the Martin Act’s non-purchasing Disabled Tenants During Condominium or tenant protections for eligible senior citizens and Cooperative Ownership Conversions eligible disabled persons

LIQUOR AUTHORITY, STATE

LQR-02-16-00002-P ...... 01/12/17 Update outdated Freedom of Information Law To update Authority procedures and ensure procedures utilized by Authority compliance with Freedom of information Law requirements under Pub. Off. Law., art. 6

35 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

LIQUOR AUTHORITY, STATE LQR-06-16-00003-P ...... 02/09/17 Alcohol Training and Awareness Program To enact statutorily required Alcohol Training (ATAP) application processes and program and Awareness Program (ATAP) application requirements processes and program requirements

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-02-16-00014-P ...... exempt Dynamic load management programs including To establish dynamic load management direct load control, peak shaving, and programs consistent with tariff revisions contingency load relief approved by the PSC for the regulated utilities

LPA-02-16-00015-P ...... exempt Community distributed generation net metering, To authorize community distributed generation remote net metering, and size limits for fuel net metering and to modify provisions for remote cells net metering and fuel cells

MENTAL HEALTH, OFFICE OF

OMH-08-16-00003-P ...... 02/23/17 Rights of Patients Make clear that conversion therapy is not a permissible treatment for minors in facilities under OMH jurisdiction

OMH-10-16-00005-P ...... 03/09/17 Directors of Mental Hygiene Facilities as Implement provisions of Mental Hygiene Law Representative Payees Section 33.07(e) regarding the management and protection of patient funds

METROPOLITAN TRANSPORTATION AGENCY

MTA-50-15-00005-P ...... 12/15/16 MTA Bus Company- Rules and Regulations Regulate conduct on MTA buses and facilities to enhance safety and protect employees, customers, bus facilities and the public

MOTOR VEHICLES, DEPARTMENT OF

MTV-13-16-00004-P ...... 03/30/17 Suffolk County motor vehicle use tax To increase the Suffolk County motor vehicle use tax

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

36 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PARKS, RECREATION AND HISTORIC PRESERVATION, OFFICE OF

PKR-04-16-00001-P ...... 01/26/17 Replaces outdated regional hunting regulations Better enable regions to manage hunting through with a statewide regulation establishing a permit conditions rather than regional regulations framework for regional hunting permits

PEOPLE WITH DEVELOPMENTAL DISABILITIES, OFFICE FOR

PDD-48-15-00003-P ...... 12/01/16 Agency Name Change and Terminology To update the agency name and other Updates terminology in the Title 14 NYCRR Part 600 series

PDD-11-16-00005-EP ...... 03/16/17 Conforming Changes Related to Chapter 106 To make changes to regulations to conform to of the Laws of 2015 recent statutory changes set forth in Chapter 106 of the Laws of 2015

PDD-12-16-00001-P ...... 03/23/17 Pathway to Employment Changes To make changes to requirements for the delivery and reimbursement of the Pathway to Employment service

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-42-15-00004-P ...... exempt Rates for the Sale of Power and Energy To recover the Authority's fixed costs

PAS-42-15-00005-P ...... exempt Rates for the Sale of Power and Energy To align rates and costs

PUBLIC SERVICE COMMISSION

*PSC-28-97-00032-P ...... exempt General service by Central Hudson Gas & To limit certain special provisions Electric Corporation

*PSC-34-97-00009-P ...... exempt Collection agency fees by Consolidated Edison To pass collection agency fees on to the Company of New York, Inc. customer

*PSC-04-98-00015-P ...... exempt Interconnection service overcharges by Niagara To consider a complaint by Azure Mountain Mohawk Power Corporation Power Co.

*PSC-19-98-00008-P ...... exempt Call forwarding by CPU Industries Inc./MKL To rehear the petition Net,etal.

*PSC-02-99-00006-EP ...... exempt Intralata freeze plan by New York Telephone To approve the plan Company

*PSC-09-99-00012-P ...... exempt Transfer of books and records by Citizens To relocate Ogden Telephone Company's books Utilities Company 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-50-99-00009-P ...... exempt Retail access uniform business practices by To approve a joint petition requesting a waiver The Brooklyn Union Gas Company and extension of a requirement set forth in the KeySpan Gas East Corporation d/b/a commission's order Brooklyn Union of Long Island

*PSC-52-99-00006-P ...... exempt Wide area rate center calling To implement number conservation measures

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

37 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *PSC-14-00-00004-EP ...... exempt NXX code in the 716 NPA by Broadview To assign an NXX code in Buffalo Networks

*PSC-14-00-00026-P ...... exempt Interconnection agreement between New York To review the terms and conditions of the Telephone Company d/b/a Bell Atlantic-New negotiated agreement York and Media Log, Inc.

*PSC-14-00-00027-P ...... exempt Interconnection agreement between New York To review the terms and conditions of the Telephone Company d/b/a Bell Atlantic-New negotiated agreement York and Pilgrim Telephone, Inc.

*PSC-14-00-00029-P ...... exempt Interconnection agreement between New York To review the terms and conditions of the Telephone Company d/b/a Bell Atlantic-New negotiated agreement York and CoreComm New York, Inc.

*PSC-16-00-00012-P ...... exempt Termination of local telecommunications traffic To determine appropriate compensation levels by Hyperion Communications of New York, Inc.

*PSC-21-00-00007-P ...... exempt Initial tariff schedule by Drew Road Association To set forth the rates, charges, rules and regulations

*PSC-31-00-00026-P ...... exempt Water service by Windover Water Works To abandon the water system

*PSC-33-00-00010-P ...... exempt Electric rate and restructuring plan by To evaluate possible modifications Rochester Gas and Electric Corporation

*PSC-36-00-00039-P ...... exempt Steam increase by Consolidated Edison To provide for an annual increase in the first Company of New York, Inc. year of a proposed four-year rate plan

*PSC-37-00-00001-EP ...... exempt Interruptible gas customers To ensure customers have an adequate supply of alternative fuel available

*PSC-39-00-00004-P ...... exempt Blockable central office codes by PaeTec To review the commission's requirements for Communications, Inc. assignment of numbering resources

*PSC-44-00-00014-P ...... exempt Recovery of costs through adjustment To permit the recovery of certain costs mechanisms by Consolidated Edison Company of New York, Inc.

*PSC-49-00-00007-P ...... exempt Gas sales and purchases by Corning Natural To determine whether certain gas sales and Gas Corporation purchases were in the public interest and whether customers should bear the resulting costs

*PSC-01-01-00023-P ...... exempt Installation, maintenance and ownership of To update and clarify the provisions service laterals by Rochester Gas and Electric Corporation

*PSC-06-01-00009-P ...... exempt Uniform system of accounts by Rochester Gas To defer an item of expense beyond the end of and Electric Corporation the year in which it was incurred

*PSC-13-01-00001-P ...... exempt Request for accounting authorization by To defer an item of expense beyond the end of Rochester Gas and Electric Corporation the year in which it was incurred

*PSC-13-01-00002-P ...... exempt Request for accounting authorization by To defer an item of expense beyond the end of Rochester Gas and Electric Corporation the year in which it was incurred

*PSC-13-01-00003-P ...... exempt Request for accounting authorization by To defer an item of expense beyond the end of Rochester Gas and Electric Corporation the year in which it was incurred

38 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *PSC-15-01-00012-P ...... exempt Transfer of a controlling leasehold interest by To approve the transfer Huntley Power LLC

*PSC-22-01-00006-P ...... exempt Con Edison's phase 4 plan for retail access by To review the request for rehearing AES Energy, Inc.

*PSC-26-01-00012-P ...... exempt Interconnection of networks between Sprint To review the terms and conditions of the PCS and Verizon New York Inc. negotiated agreement

*PSC-36-01-00010-P ...... exempt Competitive metering by eBidenergy.com To clarify meter ownership rules and requirements

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

*PSC-01-02-00007-P ...... exempt Accounting and rate treatment of proceeds by To consider proceeds from sale of nuclear Consolidated Edison Company of New York, generating facilities Inc.

*PSC-05-02-00005-P ...... exempt Uniform system of accounts by Consolidated To defer expenditures incurred in connection Edison Company of New York, Inc. with emergency response services affected by the World Trade Center disaster

*PSC-06-02-00015-P ...... exempt Network reliability performance mechanism by To earn rewards for meeting the targets of the Consolidated Edison Company of New York, network reliability performance mechanism Inc.

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

*PSC-29-02-00014-P ...... exempt Financing by Valley Energy, Inc. To issue a note and allocate costs

*PSC-49-02-00021-P ...... exempt Requests for lightened regulation by PSEG To consider the company's request Power Bellport, LLC

*PSC-08-03-00009-P ...... exempt Provision of gas service to World Kitchen To establish terms and conditions Incorporated

*PSC-09-03-00012-P ...... exempt Incremental service line installations by New To revise the current flat rate per foot charged York State Electric & Gas Corporation

*PSC-09-03-00014-P ...... exempt Deferral accounting by Consolidated Edison To defer expense items beyond the end of the Company of New York, Inc. and Orange and year(s) in which they were incurred Rockland Utilities, Inc.

*PSC-11-03-00012-P ...... exempt Economic development plan by New York To consider the plan State Electric & Gas Corporation

*PSC-18-03-00004-P ...... exempt Lightened regulation by East Hampton Power To provide for lightened regulation and grant and Light Corporation (EHPLC) financing approval

*PSC-22-03-00020-P ...... exempt Inter-departmental gas pricing by Consolidated To revise the method used in steam and steam- Edison Company of New York, Inc. electric generating stations

*PSC-32-03-00020-P ...... exempt Issuance of debt and approval of surcharge by To approve necessary financing Rainbow Water Company

*PSC-34-03-00019-P ...... exempt Issuance of securities by KeySpan East To obtain authorization to issue securities Corporation d/b/a KeySpan Energy Delivery Long Island

39 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *PSC-35-03-00009-P ...... exempt Interconnection agreement between Verizon To amend the agreement New York Inc. and MCIMetro Access Transmission Services LLC

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

*PSC-39-03-00013-P ...... exempt Complaint by State University of New York To consider the complaint (SUNY) regarding a NYSEG operating agreement

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

*PSC-41-03-00008-P ...... exempt Lightened regulation by Sterling Power To consider granting lightened regulation Partners, L.P.

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

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

*PSC-42-03-00005-P ...... exempt Interest rate by the Bath Electric, Gas, and To use an alternate interest rate Water Systems

*PSC-43-03-00036-P ...... exempt Merchant function backout credit and transition To continue the credit and account until May 31, balancing account by KeySpan Gas East 2005 Corporation

*PSC-43-03-00037-P ...... exempt Merchant function backout credit and transition To continue the credit and account until May 31, balancing account by The Brooklyn Union Gas 2005 Company

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

*PSC-47-03-00024-P ...... exempt Lightened regulation and financing approval by To consider the requests Medford Energy LLC

*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 industrial To submeter gas service to commercial and commercial customers by Hamburg customers located at the Buffalo Speedway 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

40 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 Consolidated To provide an application form 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

*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 Consolidated To implement the program Edison Company of New York, Inc.

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

41 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

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

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

*PSC-41-05-00013-P ...... exempt Annual reconciliation of gas expenses and gas To consider the filings 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

*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 benefits To extend the deadline to Central Hudson's 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

42 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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-39-06-00018-P ...... exempt Order establishing rate plan by Central Hudson To consider the petitions for rehearing Gas & Electric Corporation and the Consumer Protection Board

*PSC-39-06-00019-P ...... exempt Investigation of Richard M. Osborne by Corning To determine the interests, plans and Natural Gas Corporation commitments that will be in place if he is successful in blocking the merger of Corning Gas and C&T Enterprises

*PSC-39-06-00022-P ...... exempt Uniform business practices and related matters To establish a contest period by U.S. Energy Savings Corporation

*PSC-40-06-00005-P ...... exempt Orion Integral automatic meter reading To permit gas utilities in NYS to use the Badger transmitter by New York State Electric and Meter Incorporated Orion Integral transmitters Gas Corporation

*PSC-42-06-00011-P ...... exempt Submetering of electricity by 225 5th LLC To submeter electricity at 255 Fifth Ave., New York, NY

*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-44-06-00014-P ...... exempt Electric power outages in Northwest Queens To review the terms and conditions of the by Consolidated Edison Company of New agreement York, Inc.

*PSC-45-06-00007-P ...... exempt Alleged failure to provide electricity by Robert To assess validity of allegations and Andrews appropriateness of fines

*PSC-01-07-00031-P ...... exempt Enforcement mechanisms by National Fuel Gas To modify enforcement mechanisms Distribution Corporation

*PSC-04-07-00012-P ...... exempt Petition for rehearing by Orange and Rockland To clarify the order 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 staff's the Consolidated Edison Company of New 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.

43 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 by To seek rehearing New York State Electric & Gas Corporation

*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 codes code region

*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

44 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 tariff To grant or deny Turner's petition 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

*PSC-23-08-00008-P ...... exempt Petition requesting rehearing and clarification of To consider whether to grant or deny, in whole the commission's April 25, 2008 order denying or in part, the May 7, 2008 Public Utility Law 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 selection To establish policies and procedures regarding of regulatory proposals to meet reliability the selection of regulatory proposals to meet 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 the cost mitigation reserve (CMR) CMR

*PSC-32-08-00009-P ...... exempt The ESCO referral program for KEDNY to be To approve, reject or modify, in whole or in part, implemented by October 1, 2008 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 tariffs Consideration of the approval of RG&E's 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

45 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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

*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, to submetering of electricity 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 Commission's October 27, 2008 Order in Cases 08-G-0078 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 redefinition Citizens/Frontier 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

46 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

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

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

*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, New customer at Cooper Union, New York, NY 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 central codes available in the 718/347 numbering plan office codes available in the 718/347 numbering area 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 local distribution company (LDC) capacity distribution company (LDC) capacity

*PSC-17-09-00010-P ...... exempt Whether to permit the use of Elster REX2 solid To permit electric utilities in New York State to state electric meter for use in residential and use the Elster REX2 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 build antennas on land owned by National Grid 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

47 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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

*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 in part, the petition 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 tw local exchange service and exchange access telecom of new york l.p

*PSC-29-09-00006-P ...... exempt Petition for the submetering of electricity at a To consider the request of Shinda Management residential senior citizen facility Corp. to submeter electricity at 107-37 166th Street, Jamaica, New York

*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 the implemented by RG&E on June 1, 2009 non-bypassable charge implemented by RG&E on June 1, 2009

48 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 balances Benefit Adjustments with Positive Benefit Adjustments

*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 retail To revise the uniform Electronic Data access data between jurisdictional utilities and Interchange Standards and business practices 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 for condition of merger 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 Consolidated December 17, 2009 related to redevelopment of Edison's Hudson Avenue generating facility the Hudson Avenue 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 or Whether to grant, deny, or modify , in whole or in part, the rehearing petition filed in Case in part, the rehearing petition filed in Case 06-E- 06-E-0847 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

49 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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

*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 in Street, Fort Edward, New York 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 New its affiliated electric corporations in New York 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 relating To remove tariff regulations relating to retail 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 a 2001 Rate Order that NMPC Board of majority of NMPC Board of directors consist of Directors consist of ‘‘outside directors’’ ‘‘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

50 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 service gas service to a commercial customer at to a commercial customer at Quaker Crossing Quaker Crossing Mall 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

*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, Vernon, NY 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 all utilities 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 Benefits To encourage cost effective gas and electric Charge funds to pay State Cost Recovery Fee energy conservation in the State

*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

51 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 low- To promote energy conservation in New York 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%

*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 retirement requirements 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 hearing, or in part, Windstream New York's Petition For 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 as Consideration of Con Edison's proposal to 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

52 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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-52-11-00017-P ...... exempt Reparations and refunds Reparations and refunds

*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

*PSC-01-12-00009-P ...... exempt Recovery of expenses related to the expansion To determine how and to what extent expenses of Con Edison's ESCO referral program, related to the Expansion of Con Edison's ESCO PowerMove 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-17-12-00007-P ...... exempt Whether a proposed agreement for the Whether the Commission should issue an order provision of water service by Saratoga Water approving the proposed provision of water Services, Inc. is in the public interest service

*PSC-17-12-00008-P ...... exempt Whether a proposed agreement for the Whether the Commission should issue an order provision of water service by Saratoga Water approving the proposed provision of water Services, Inc. is in the public interest service

*PSC-17-12-00009-P ...... exempt Whether a proposed agreement for the Whether the Commission should issue an order provision of water service by Saratoga Water approving the proposed provision of water Services, Inc. is in the public interest service

*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 and performance program funding plan targets to fund the CHP program administered by NYSERDA

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

53 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 to and shareholders be applied following the conclusion of Corning's rate plan

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

*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-35-12-00014-P ...... exempt To implement an abandonment of White To approve the implementation of abandonment Knight's water system of White Knight's water system

*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-term To exempt Gipsy Trail Club, Inc. from 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 Commission policy and RG&E tariff 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 in part the petition of Con Edison to grant 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 Gas Corporation 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

54 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 255.9221(d) To determine whether a waiver of the timely completion of integrity assessments for certain completion of certain gas transmission line gas transmission lines. integrity assessments should be granted.

*PSC-14-13-00005-P ...... exempt Recovery of incremental expense. To consider petition for recovery of incremental expense.

*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

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

*PSC-21-13-00005-P ...... exempt To implement an abandonment of Windover's To approve the implementation of abandonment water system 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 certain litigation, determine the recovery of certain deferral amounts owed NFG from ratepayers deferred amounts owed NFG by 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-24-13-00009-P ...... exempt Repowering options for the Cayuga generating To establish whether utility plans should include station located in Lansing, New York, and repowering options for the Cayuga generating alternatives station, or other alternatives

*PSC-24-13-00010-P ...... exempt Repowering options for the Dunkirk generating To establish whether utility plans should include station located in Dunkirk, New York, and repowering options for the Dunkirk generating alternatives station, or other alternatives

55 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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-25-13-00011-P ...... exempt Waiver of certain Commission requirements To waive a utility's right to provide information to related to provision of customer information to credit reporting agencies related to customers' credit reporting agencies. payment histories.

*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 costs of transmission projects that reduce of transmission projects that reduce congestion congestion on certain interfaces on certain interfaces

*PSC-28-13-00016-P ...... exempt The request of NGT for lightened regulation as To consider whether to approve, reject, or 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 certain regulations that gas be odorized in certain lines 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 Uniform Business Practices 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 required to undertake actions to protect its to undertake actions to protect its name and to name and to minimize customer confusion minimize customer confusion

*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

56 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 section To consider a waiver of certain regulations 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 section To consider a waiver of certain regulations 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 section To consider a waiver of certain regulations 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 section To consider a waiver of certain regulations 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, 2013 submitted in support of a request for a change to support its next rate filing. in rates.

*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, 2013 submitted in support of a request for a change 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, 2013 submitted in support of a request for a change 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-01-14-00017-P ...... exempt Residential Time-of-Use Rates To establish residential optional time of use delivery and commodity rates

*PSC-03-14-00009-P ...... exempt disposition of tax refunds and other related to determine the disposition of tax refunds and matters other related matters

57 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *PSC-04-14-00005-P ...... exempt National Fuel Gas Corporation's Conservation To modify National Fuel Gas Corporation's Non- Incentive Programs. 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 ensure ESCO compliance ESCO compliance

*PSC-11-14-00003-P ...... exempt Provision for the recovery and allocation of To consider the recovery and allocation of costs costs of transmission projects that reduce of transmission projects that reduce congestion congestion on certain interfaces 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 CPCN of Plattsburgh after approval of a town wide is approved and impose PSL 25-a penalties. CPCN and to impose 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 proposal termination of service. 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

*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

58 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 adopted. enhance the efficiency, safety, reliability and 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 the Heat & Power Performance Program. Combined Heat & Power Performance Program.

*PSC-30-14-00026-P ...... exempt Petition for a waiver to master meter electricity. Considering the request of Renaissance 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 Michael Bonnie and Michael Cross Cross

*PSC-32-14-00009-P ...... exempt Refueling options for the Dunkirk generating To address the joint petition for rehearing of the station located in Dunkirk, New York, and Commission's Order related to refueling the alternatives Dunkirk generating station

*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

59 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 generation To consider regulation of a proposed electricity facility located in the Town of Brookhaven, NY generation facility located in the Town of 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 fuel State's electric utilities. 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 regarding The study and petition of Con Edison regarding use, accounting and ratemaking treatment for use, accounting and ratemaking treatment for 11-23 and 2-28 Hudson Ave. Brooklyn. 11-23 and 2-28 Hudson Ave. Brooklyn.

*PSC-38-14-00005-P ...... exempt Action on the report and petition of Con Edison Action on the report and petition of Con Edison regarding the Storm Hardening and Resiliency regarding the Storm Hardening and 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 regarding The study and petition of Con Edison regarding use, accounting and ratemaking treatment for use, accounting and ratemaking treatment for 11-23 and 2-28 Hudson Ave. Brooklyn. 11-23 and 2-28 Hudson Ave. Brooklyn.

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

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

*PSC-38-14-00018-P ...... exempt New electric utility demand response tariffs To develop mature DER markets by enabling the may be adopted. 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 residential customers. customers.

60 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *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 Centron AMR and AMI functionality. 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 gas and related facilities located in the Town of pipeline and related facilities located in the Town Ticonderoga, NY. 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-45-14-00003-P ...... exempt Notice of Intent to Submeter electricity To consider the request of Bedford-Stuyvesant South One LLC to submeter electricity at 27 Albany Avenue, Brooklyn, NY

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

*PSC-51-14-00006-P ...... exempt The Northeast Power Coordinating Council, To adopt revisions to various rules and Inc's A-Criteria documents and Criteria measurements of the Northeast Power Coordinating Council, Inc.

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

*PSC-52-14-00026-P ...... exempt Community Choice Aggregation. To consider action related to Community Choice Aggregation.

*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-01-15-00017-P ...... exempt Reimbursement of costs for construction under To determine proper reimbursement for costs 16 NYCRR 230 related to trenching and construction

*PSC-03-15-00002-P ...... exempt Waiver of tariff provisions related to SC 14 To determine whether a waiver is warranted Non-Core Transportation Services for Electric Generation

*PSC-04-15-00008-P ...... exempt Re-billing SC No. 2 customers from March To determine whether re-billing SC No. 2 2008 through March 2014. customers by the Companies' proposed methodology customers is appropriate.

61 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION *PSC-04-15-00010-P ...... exempt To modify the retail access program under SC To modify the retail access program to No. 19 - Seller Transportation Aggregation implement Tier 2A – Storage Capacity Release Service. and make other tariff changes.

*PSC-04-15-00011-P ...... exempt To modify the retail access program under SC To modify the retail access program to No. 8 - Seller Services. implement Tier 2A - Storage Capacity Release and make other tariff changes.

*PSC-04-15-00012-P ...... exempt Disposition of tax refunds and other related To determine the disposition of tax refunds and matters. other related matters.

*PSC-06-15-00003-P ...... exempt Petition for submetering of electricity To consider the request of City Point Residential LLC, to submeter electricity at 366 Flatbush Avenue Ext, Brooklyn, New York

*PSC-07-15-00006-P ...... exempt Whether to order a remand regarding Whether to order a remand regarding payphone payphone rates rates and award refunds

*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 its billing program. summary billing program.

*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 to file tariff changes 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 mechanism NYCRR Section 720.6.5

PSC-13-15-00024-P ...... exempt Whether Leatherstocking should be permitted To decide whether to approve Leatherstocking's to recover a shortfall in earnings 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-17-15-00004-P ...... exempt Rehearing of the Commission's Order Adopting Consideration of a petition for rehearing Regulatory Policy Framework and Implementation Plan

62 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-17-15-00006-P ...... exempt Petition to submeter electricity To consider the request of 56th and Park (NY) LLC, to submeter electricity at 432 Park Avenue, New York, New York

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-18-15-00004-P ...... exempt National Grid's electric Economic Development To revise the economic development assistance Programs to qualified businesses

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-18-15-00007-P ...... exempt National Grid's Economic Development To authorize a new economic development Programs program for National Grid's natural gas service territory

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

PSC-19-15-00015-P ...... exempt To consider the request of Hudson CBD To consider the request of Hudson CBD Flatbush LLC to submeter electricity at 626 Flatbush LLC to submeter electricity at 626 Flatbush Avenue, Brooklyn, New York Flatbush Avenue, Brooklyn, New York

PSC-20-15-00006-P ...... exempt Implementation of the proposed Microgrid Consider implementation of the proposed Business Model as a reliability and demand Microgrid Business Model as a reliability and management resource demand management resource

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 and 16 NYCRR 96.1(a) 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-23-15-00007-P ...... exempt Notice of Intent to Submeter electricity To consider the request of 200 W. 54 Corp. to submeter electricity at 200 West 54th Street, New York, New York

PSC-24-15-00011-P ...... exempt To consider adopting the recommendations of To consider the Staff Report on, and the Staff Report on addressing energy recommendations of, best practices for affordability for low income programs implementing utility low income programs

PSC-25-15-00007-P ...... exempt Waiver of certain Commission requirements To allow a non-profit entity acting as an related to blocking caller ID for emergency emergency service the ability to receive services unblocked caller ID numbers

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-26-15-00014-P ...... exempt To consider the request for partial waiver of To consider the request for partial waiver of the the energy audit requirements in 16 NYCRR energy audit requirements in 16 NYCRR Section Section 96.5(k) 96.5(k)

63 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-26-15-00016-P ...... exempt Petition to Submeter electricity To consider the request of 39 Plaza Housing Corporation to submeter electricity at 39 Plaza Street West, Brooklyn, 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

PSC-28-15-00006-P ...... exempt The minor electric rate filing of Mohawk Whether to increase Mohawk Municipal Municipal Commission Commission's annual electric revenues by approximately $113,119 or 13.74%

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-29-15-00020-P ...... exempt Whether to waive the requirement that the To waive the requirement that the customer customer have telecommunications service in have telecommunications service in place 30 place 30 days prior to July 1, 2015 days prior to July 1, 2015

PSC-29-15-00022-P ...... exempt Notice of Intent to Submeter electricity To consider the request of 92nd and 3rd Associates, LLC to submeter electricity at 205 East 92nd Street, New York, New York

PSC-29-15-00023-P ...... exempt Notice of Intent to Submeter electricity To consider the request of Bridge Land Hudson LLC to submeter electricity at 261 Hudson Street, New York, New York

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-31-15-00007-P ...... exempt Plan to convert petroleum pipeline into a Whether to approve the proposed conversion natural gas pipeline plan submitted by NIC Holding Corp

PSC-31-15-00010-P ...... exempt Whether to approve, reject or modify, in whole To revise Appendix B of the December 12, 2014 or in part, revisions to Appendix B of the Order December 12, 2014 Order

PSC-32-15-00005-P ...... exempt Petition for rehearing of the Order Adopting To consider a petition for rehearing of the Order Dynamic Load Management Filings with Adopting Dynamic Load Management Filings Modifications with Modifications

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

PSC-32-15-00007-P ...... exempt Approval of cost recovery and incentive To approve the cost recovery and incentive mechanisms for the NWA Project. mechanisms for the NWA Project.

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

PSC-33-15-00008-P ...... exempt Existing ratemaking, rate design and regulatory To use the Commission's ratemaking authority practices will be revised with a focus on to foster a DER-intensive system. outcomes and incentives.

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.

64 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-34-15-00014-P ...... exempt Notice of Intent to Submeter electricity To consider the request of Herkimer Street Residence, L.P. to submeter electricity at 437 Herkimer Street, Brooklyn, New York

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

PSC-35-15-00008-P ...... exempt Major electric revenue increase To consider an increase to its annual electric revenues by approximately $857,227 or 6.2%

PSC-35-15-00010-P ...... exempt Notice of Intent to Submeter Electricity To consider the request of 605 West 42nd Owner LLC to submeter electricity at 605 West 42nd Street, New York, New York

PSC-35-15-00011-P ...... exempt Demand based Standby Service Charges To consider a revision to demand based levied upon Offset Tariff customers accounts Standby Service Charges levied upon Offset Tariff customers accounts

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-37-15-00006-P ...... exempt Major electric rate filing To consider an increase in NYSEG's electric delivery revenues by approximately $122 million or 16.8%

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-37-15-00008-P ...... exempt Major gas rate filing To consider an increase in NYSEG's gas delivery revenues by approximately $36.3 million or 19.1%

PSC-37-15-00009-P ...... exempt Major electric rate filing To consider an increase in RG&E's electric delivery revenues by approximately $53 million or 12.1%

PSC-37-15-00010-P ...... exempt Major gas rate filing To consider an increase in RG&E's gas delivery revenues by approximately $21.8 million or 31.1%

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-39-15-00008-P ...... exempt Minor water rate filing To consider an increase in Windham Ridge Water Corp.'s annual water revenues by approximately $15,059 or 24.8%

PSC-39-15-00010-P ...... exempt Major gas revenue increase To consider an increase to its annual gas revenues by approximately $1,228,000 or 2.96%

PSC-39-15-00011-P ...... exempt A joint proposal filed on September 9, 2015 Resolution of Cases 09-M-0114 and 09-M- 0243 regarding alleged imprudent contractor- related construction expenditures

PSC-39-15-00012-P ...... exempt Petition to submeter electricity To consider the request of 47 East 34th Street (NY), L.P., to submeter electricity at 49 East 34th Street New York, New York

65 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-40-15-00012-P ...... exempt Establishment of the regulatory regime Consideration of approval of a lightened applicable to an approximately 106 MW regulatory regime for an approximately 106 MW electric generating facility electric generating facility

PSC-40-15-00013-P ...... exempt Issuance by Niagara Mohawk Power To consider a petition for authority to issue Corporation d/b/a National Grid of Long-Term long-term indebtedness in the amount of up to indebtedness of up to $2.07 billion $2.07 billion until March 31, 2020

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-41-15-00004-P ...... exempt Whether to permit the use of the Enetics NILM To consider permitting the use of the Enetics Recorders NILM Recorders

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-41-15-00007-P ...... exempt The allocation of costs for the extension of Whether to grant the complaint of Glenwyck electric service Development, LLC

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

PSC-41-15-00011-P ...... exempt Deferral of incremental costs incurred in 2014 To consider a petition by Con Edison to defer associated with increased gas leak response certain incremental costs associated with gas and repair activities leak response and repair activities

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 new compliance requirements approved by FERC. BES compliance requirements.

PSC-42-15-00007-P ...... exempt Notice of Intent to submeter electricity. To consider the request of Sandy Clarkson LLC to submeter electricity at 310 Clarkson Avenue, Brooklyn, New York.

PSC-42-15-00010-P ...... exempt Petition for modification of Con Edison's S.C. To consider modifications to S.C. No. 4 of Con No. 4 (Back-up/Supplementary) Steam Edison's Schedule for Steam Service. Service.

PSC-42-15-00012-P ...... exempt Establishment of the regulatory regime Consideration of a lightened regulatory regime applicable to a proposed natural gas pipeline for a proposed natural gas pipeline facility. facility.

PSC-42-15-00013-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-44-15-00021-P ...... exempt AMI Business Plan of Con Edison To consider Con Edison's AMI Business Plan

PSC-44-15-00025-P ...... exempt Distributed System Implementation Plan To consider DPS Staff's proposal regarding the Guidance filing of Distributed System Implementation Plans by utilities

PSC-44-15-00026-P ...... exempt Transfer of water supply assets. To consider the transfer of the water supply assets of Beekman Water Company, Inc. to the Town of East Fishkill.

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

66 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-44-15-00030-P ...... exempt System Improvement Plan mechanism To consider Bath's petition to implement a SIP mechanism

PSC-44-15-00032-P ...... exempt Rider H - Non Residential Distributed To consider revisions to Rider H to allow for the Generation aggregation of distributed generation capacity under certain circumstances

PSC-45-15-00010-P ...... exempt Notice of Intent to submeter electricity. To consider the request of One Vandam Condominium to submeter electricity at 180 Avenue of the Americas, New York, New York.

PSC-47-15-00008-P ...... exempt Notice of Intent to Submeter electricity To consider the request of 150 Charles Street Holdings LLC to submeter electricity at 150 Charles Street, New York, New York

PSC-47-15-00009-P ...... exempt Addition of LED options to NMPC's SC No. 2 in To consider the addition of LED options to its street lighting schedule, P.S.C. No. 214 - NMPC's SC No. 2 in its street lighting schedule, Electricity P.S.C. No. 214 - Electricity

PSC-47-15-00010-P ...... exempt Use of the AMETEK JEMStar II Digital Power To consider permitting the use of AMETEK Meter Power Instrument's JEMStar II Digital Power Meter for electric metering applications

PSC-47-15-00011-P ...... exempt SIR and the interconnection of Distributed Consider SIR and the interconnection of Generation Distributed Generation

PSC-47-15-00012-P ...... exempt Reimbursement of costs for construction under To determine proper reimbursement for costs 16 NYCRR 230 related to trenching and construction

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

PSC-47-15-00014-P ...... exempt The calculation of NYSEG and RG&E's Percent To consider a petition by NYSEG and RG&E to of Estimate customer service quality metric for normalize the February 2015 level of meter February 2015. reading estimates.

PSC-47-15-00015-P ...... exempt Petition to transfer and merge telephone and Consider the the proposed acquisition of cable systems, franchises and assets and Cablevision, its systems, franchises and assets, issue debt. by Altice and the issuance of debt.

PSC-48-15-00010-P ...... exempt Lightened and incidental regulation of a 55 MW Consider the lightened and incidental regulation electric and steam generating facility. 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-49-15-00008-P ...... exempt Request of the New York Independent System To consider a petition filed by the New York Operator, Inc. to incur indebtedness Independent System Operator, Inc. to incur indebtedness

PSC-49-15-00009-P ...... exempt Petition for rehearing of the Order Establishing To consider a Petition for rehearing of the Order Interim Ceilings on the Interconnection of Net Establishing Interim Ceilings on the Metered Generation Interconnection of Net Metered Generation

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

PSC-50-15-00007-P ...... exempt Collaborative Report on proposed consumer To consider the Collaborative Report on protections for the low income customers of proposed consumer protections for the low energy services companies. income customers of energy services companies.

67 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-50-15-00008-P ...... exempt The transfer of 1,064 utility poles. To consider the transfer of 1,064 utility poles from Orange and Rockland Utilities, Inc. to Frontier Communications Corp.

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-51-15-00011-P ...... exempt National Grid's electric Economic Development To consider modifications to the economic Programs development assistance to qualified businesses

PSC-51-15-00013-P ...... exempt Waiver of the rule requiring new electric lines To consider a waiver of the rule requiring new to be constructed underground in residential electric lines to be constructed underground in subdivisions residential subdivisions

PSC-52-15-00013-P ...... exempt The addition of third party financing options for To consider the addition of third party financing Distributed Generation (DG), Natural Gas options for the DG, NGV and Prime-WNY Vehicle (NGV) and Prime-WNY Programs. Programs.

PSC-52-15-00014-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of EO 180 Water LLC to submeter electricity at 180 Water Street, New York, New York.

PSC-52-15-00015-P ...... exempt Consequences pursuant to the Commission's To consider whether to impose consequences Uniform Business Practices (UBP). on Astral for its apparent non-compliance with Commission requirements.

PSC-52-15-00016-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of G-Z/10 UNP Realty, LLC to submeter electricity at 823 First Avenue, New York, New York.

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-01-16-00003-P ...... exempt Deferral of expenses To consider a petition for the deferral of expenses

PSC-01-16-00004-P ...... exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 10 Madison Square West to submeter electricity at 10 Madison Square West, New York, NY

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

PSC-02-16-00007-P ...... exempt The application of the earnings sharing To consider Orange and Rockland Utilities, Inc.'s mechanism related to a partial year period. petition to address the application of the earnings sharing mechanism.

PSC-02-16-00008-P ...... exempt Establishment of the regulatory regime and Consideration of a lightened regulatory regime financing applicable to certain electric and financing for certain electric transmission transmission facilities. facilities.

PSC-02-16-00009-P ...... exempt Proposed revisions to SC Nos. 1 and 2 to To consider revisions to SC Nos. 1 and 2 to include net metering services for solar and include net metering services for solar and wind wind generation. generation.

68 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-02-16-00010-P ...... exempt The 2015 Electric Emergency Response Plans To consider the 2015 Electric Emergency for New York's six major electric utilities. Response Plans for New York's six major electric utilities.

PSC-02-16-00011-P ...... exempt Proposed tariff revisions intended to clarify To consider tariff revisions intended to clarify HEFPA requirements related to court orders for HEFPA requirements related to court orders for gaining access to meters. gaining access to meters.

PSC-02-16-00012-P ...... exempt NYSEG's procedures, terms and conditions of Provide additional economic development its Targeted Financial Assistance Program. program assistance for a new manufacturing facility.

PSC-02-16-00013-P ...... exempt Tariff revisions intended to clarify HEFPA To consider tariff revisions intended to clarify requirements related to court orders for gaining HEFPA requirements related to court orders for access to meters. gaining access to meters.

PSC-03-16-00006-P ...... exempt A proposal to use certain deferred credits to To consider the use of certain deferred credits offset costs associated with incremental capital to offset costs associated with capital expenditures expenditures and other related relief

PSC-03-16-00007-P ...... exempt Petition to submeter electricity To consider the Petition of Longhouse Cooperative to submeter electricity at 772 Elm Street Extension, Ithaca, New York

PSC-03-16-00008-P ...... exempt Petition to submeter electricity To consider the request of 910 Fifth Avenue Corporation to submeter electricity at 910 Fifth Avenue, New York, New York

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

PSC-04-16-00008-P ...... exempt Clean Energy Standard To consider funding for renewable and other non-emitting electric generation facilities

PSC-04-16-00009-P ...... exempt Central Hudson's remote net metering Consider Central Hudson's remote net metering qualification requirements and application qualification requirements and application process for farms. process for farms.

PSC-04-16-00010-P ...... exempt Proposed revisions to add and clarify To consider revisions to SC No. 14 and align the provisions related to electric generators under electric generator provisions with its downstate SC No. 14. companies, KEDLI and KEDNY.

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 claims in violations of HEFPA. of HEFPA violations.

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

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

PSC-04-16-00014-P ...... exempt Extension of the monetary crediting period to To consider extending the monetary crediting thirty years for four specified photovoltaic period to thirty years for four specified projects. photovoltaic projects.

PSC-04-16-00015-P ...... exempt Minor electric rate filing. To consider the Village of Fairport's proposed increase in annual electric revenues by approximately $464,440 or 2.49%.

69 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-05-16-00004-P ...... exempt Sale of certain transmission project assets To consider the sale of assets from Con Edison from Con Edison and O&R to NY Transco and O&R to NY Transco

PSC-05-16-00005-P ...... exempt Sale of certain assets relating to the Fraser to To consider the sale of assets from NYSEG to Coopers Corner transmission project from the NY Transco NYSEG to the NY Transco

PSC-06-16-00007-P ...... exempt Transfer of water supply assets. To consider the sale of water supply assets of Northeast Water Services to Suez Water Owego-Nichols, Inc.

PSC-06-16-00008-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 31 Lincoln Road Development LLC to submeter electricity at 31-33 Lincoln Road, Brooklyn, NY.

PSC-06-16-00009-P ...... exempt Minor water rate filing. To consider an increase in Rainbow Water Company, Inc.'s annual water revenues by approximately $16,248 or 20.7%.

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

PSC-06-16-00011-P ...... exempt Continuation of lightened regulation for electric To consider the continuation of lightened generating plant. regulation for electric generating plant.

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-06-16-00015-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of 31 Lincoln Road Development LLC to submeter electricity at 510 Flatbush Ave., Brooklyn, NY.

PSC-07-16-00015-P ...... exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 20 Lafayette LLC to submeter electricity at 286 Ashland Place, Brooklyn, New York

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-07-16-00017-P ...... exempt To modify the retail access program under SC To consider changes to the retail access No. 8 - Seller Services program to implement Tier 2A - Storage Capacity Release and other tariff revisions

PSC-07-16-00018-P ...... exempt The use of the Open Way Centron 3.5 To consider the use of the Itron Open Way commercial meter, with 4G LTE cellular or Centron 3.5 meter modem communications for electric metering

PSC-07-16-00019-P ...... exempt Conversion of P.S.C. No. 1 to an electronic To consider conversion of P.S.C. No. 1 to an format and add a provision to its Service electronic format and add a provision to its Classification No.1 Service Classification No.1

70 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-07-16-00020-P ...... exempt To modify the retail access program under SC To consider changes to the retail access No. 19 - Seller Transportation Aggregation program to implement Tier 2A – Storage Service Capacity Release and other tariff revisions

PSC-07-16-00021-P ...... exempt NYSEG's request to collect funding for natural To consider NYSEG's request to collect funding gas Energy Efficiency Portfolio Standard for natural gas Energy Efficiency Portfolio programs Standard programs

PSC-08-16-00006-P ...... exempt Examination of terms and conditions of utility To consider the terms and conditions of utility service received by Fastrac Markets, LLC. service received by Fastrac Markets, LLC.

PSC-08-16-00007-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of BOP MW Residential Market LLC and BOP MW Residential Affordable LLC to submeter electricity.

PSC-09-16-00003-P ...... exempt Long-term loan agreement To consider Fishers Island's petition to enter into a long-term loan agreement

PSC-09-16-00004-P ...... exempt Stock Acquisition To consider the acquisition of the stock of Bristol Water-Works Corporation by Bristol Harbour Resort Management LLC

PSC-10-16-00007-P ...... exempt To propose revisions to the Dynamic Load To consider revisions to the Dynamic Load Management Programs. Management Programs.

PSC-10-16-00008-P ...... exempt To propose revisions to the Dynamic Load To consider revisions to the Dynamic Load Management Programs. Management Programs.

PSC-10-16-00009-P ...... exempt To propose revisions to the Dynamic Load To consider revisions to the Dynamic Load Management Programs. Management Programs.

PSC-10-16-00010-P ...... exempt Stock Acquisition To consider the acquisition of the stock of Whistle Tree Development Corporation by Scribners Catskill Lodge, LLC.

PSC-10-16-00011-P ...... exempt Petition to issue and sell unsecured debt To consider Con Edison's request to issue and obligations. sell unsecured debt obligations.

PSC-10-16-00012-P ...... exempt To revise the method of calculating capacity To consider tariff changes that revise the charges for customers billed under Rider M - method of calculating capacity charges for Day-Ahead Hourly Pricing (Rider M). customers billed under Rider M.

PSC-10-16-00013-P ...... exempt To propose revisions to the Dynamic Load To consider revisions to the Dynamic Load Management Programs. Management Programs.

PSC-10-16-00014-P ...... exempt To propose revisions to the Dynamic Load To consider revisions to the Dynamic Load Management Programs. Management Programs.

PSC-10-16-00016-EP ...... exempt Safety of water supply To ensure safe water supply through compliance with county Department of Health recommendations

PSC-11-16-00007-P ...... exempt Petition to eliminate quarterly reporting on To consider the request of National Fuel Gas to electronic deferred payment agreements eliminate quarterly reporting on electronic deferred payment agreements

PSC-11-16-00008-P ...... exempt Proposed zero-emissions credits purchase To avoid adverse air emissions from fossil- program regarding certain nuclear power plants fueled generation that would replace nuclear generation

71 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-11-16-00010-P ...... exempt To establish a process to facilitate the transfer To consider the establishment of a process to of complete systems of street lighting facilitate the transfer of complete systems of equipment street lighting equipment

PSC-11-16-00011-P ...... exempt To establish a process to facilitate the transfer To consider the establishment of a process to of complete systems of street lighting facilitate the transfer of complete systems of equipment street lighting equipment

PSC-11-16-00012-P ...... exempt To establish a process to facilitate the transfer To consider the establishment of a process to of complete systems of street lighting facilitate the transfer of complete systems of equipment street lighting equipment

PSC-11-16-00013-P ...... exempt Leakage survey and corrosion inspection To establish protocols and timeframes for requirements completing leakage surveys and corrosion inspections on gas service lines

PSC-11-16-00014-P ...... exempt To establish a process to facilitate the transfer To consider the establishment of a process to of complete systems of street lighting facilitate the transfer of complete systems of equipment street lighting equipment

PSC-11-16-00015-P ...... exempt To establish a process to facilitate the transfer To consider the establishment of a process to of complete systems of street lighting facilitate the transfer of complete systems of equipment street lighting equipment

PSC-11-16-00016-P ...... exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 504 Myrtle Residential Owner LLC to submeter electricity at 504 Myrtle Avenue, Brooklyn, NY

PSC-11-16-00017-P ...... exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 140 West Street Condominium to submeter electricity at 100 Barclay Street, New York, NY

PSC-11-16-00018-P ...... exempt Rolling Meadows Water Corporation's rates for To consider an increase in Rolling Meadows the provision of water Water Corporation's annual water revenues by approximately $169,841 or 34.05%

PSC-11-16-00019-P ...... exempt Lease of real property To consider whether to grant authority to NYSEG to lease a portion of certain real property to Columbia Memorial Hospital

PSC-12-16-00003-P ...... exempt The use of the GE Energy low voltage To consider the use of the GE Energy low transformers voltage transformers

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

PSC-12-16-00005-P ...... exempt Notice of Intent to submeter electricity To consider the Notice of Intent of 3475 Third Avenue Owner Realty LLC to submeter electricity at 3475 Third Avenue, Bronx, NY

PSC-12-16-00006-P ...... exempt Use of Arteche transformers in commercial To consider the use of Arteche transformers applications

PSC-12-16-00007-P ...... exempt Deferral of incremental costs incurred in 2015 To consider a petition by Con Edison to defer associated with increased gas leak response certain incremental costs associated with gas and repair activities leak response and repair activities

PSC-12-16-00008-P ...... exempt Notice of Intent to submeter electricity. To consider the Notice of Intent of Promenade Global LLC to submeter electricity at 150 West 225th Street, Bronx, New York.

72 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

PUBLIC SERVICE COMMISSION PSC-13-16-00007-P ...... exempt Notice of Intent to submeter electricity To consider the Notice of Intent to submeter electricity at 131-05, 131-03 and 131-01 40th Road, Flushing, New York

PSC-13-16-00008-P ...... exempt Standby rate exemption for Offset Tariff Consideration of the standby rate exemption for customers Offset Tariff customers

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-13-16-00010-P ...... exempt Transfer of a 1985 Bell 206L-3 helicopter To consider the transfer of a 1985 Bell 206L-3 helicopter from NMPC to Fly Hangar 13, LLC

PSC-13-16-00011-P ...... exempt Transfer of stock To consider the sale of all outstanding Crystal Water Corp. stock to Bruce McNab

ROCHESTER-GENESEE REGIONAL TRANSPORTATION AUTHORITY

RGT-04-16-00002-P ...... 01/26/17 Identifies prohibited conduct, consequences of To provide rules governing prohibited conduct to prohibited conduct, and the available appeals enhance the safety of the public using RGRTA's process transportation services

STATE, DEPARTMENT OF

DOS-22-15-00017-P ...... 06/02/16 Facility requirements for businesses which Increase ventilation standards for businesses offer appearance enhancement services which offer appearance enhancement services

DOS-28-15-00004-EP ...... 08/30/16 Installation of carbon monoxide detecting To amend the State Uniform Fire Prevention and devices in commercial buildings Building Code (Uniform Code) by adding standards requiring the installation of carbon monoxide detecting devices in every commercial building

DOS-47-15-00016-P ...... 01/28/17 StateEnergy Conservation Construction Code To repeal the existing Energy Code and to (the ‘‘Energy Code’’) adopt a new, updated Energy Code

DOS-47-15-00017-P ...... 01/27/17 Adopt updated provisions for the Uniform Fire To repeal the existing text of the Uniform Code Prevention and Building Code (‘‘Uniform and adopt updated text for the Uniform Code Code’’)

DOS-10-16-00020-P ...... 03/09/17 Unlawful discriminatory practice by brokers To discourage invidious discrimination in making and salespersons housing accommodations available to the public

STATE UNIVERSITY OF NEW YORK

SUN-38-15-00002-P ...... 09/22/16 Proposed amendments to traffic and parking Amend existing regulations to update traffic and regulations at State University of New York parking regulations University at Buffalo

SUN-05-16-00001-P ...... 02/02/17 University Faculty Senate To amend amend the Policies of the Board of Trustees regarding the University Faculty Senate

TAXATION AND FINANCE, DEPARTMENT OF

TAF-10-16-00002-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 April 1, administered therewith 2016 through June 30, 2016

73 Action Pending Index NYS Register/March 30, 2016 Agency I.D. No. Expires Subject Matter Purpose of Action

TAXATION AND FINANCE, DEPARTMENT OF TAF-13-16-00005-EP ...... 03/30/17 Metropolitan Transportation Business Tax To provide metropolitan transportation business Surcharge tax rate for tax year 2016

TAF-13-16-00006-P ...... 03/30/17 Production of daily inventory records to the To provide the department access to relevant department, upon request, by those already existing data, in furtherance of the administration required to maintain such records of the Tax Law

TEMPORARY AND DISABILITY ASSISTANCE, OFFICE OF

TDA-20-15-00001-P ...... 05/19/16 Informationappropriate for victims of sexual To require social services districts to make all assault applicants for and recipients of public assistance aware of their option to receive information appropriate for victims of sexual assault consistent with Chapter 427 of the Laws of 2009

TDA-22-15-00005-P ...... 06/02/16 Supplemental Nutrition Assistance Program Update regulations for the Transitional Benefits Alternative program

TDA-27-15-00002-P ...... 07/07/16 Child support federal incentive payments To update State procedures to distribute federal child support incentives and allocate portions thereof to local districts

TDA-37-15-00005-P ...... 09/15/16 Monthly Shelter Supplements To update State regulations to reflect current State law

TDA-39-15-00016-P ...... 09/29/16 Temporary Housing Placements Adjust the rate approval process for temporary housing placements and expand the scope of inspections for such placements

TDA-45-15-00011-P ...... 11/09/16 Burden of proof at fair hearings challenging Clarify existing State regulations relative to fair Interim Assistance Reimbursement (IAR) hearings and render them consistent with New amounts York State court precedents

TDA-45-15-00012-P ...... 11/09/16 Public Assistance (PA) resources exemption To update State regulation governing PA for four-year accredited post-secondary resources exemption, rendering it consistent educational institutions with Chapter 58 of the Laws of 2014

TDA-46-15-00005-P ...... 11/17/16 Storage of furniture and personal belongings Provide clarification regarding allowances for the storage of furniture and personal belongings

TDA-47-15-00004-P ...... 11/24/16 Child Support Program Amend regulatory requirements concerning the distribution and disbursement of child support collections

TDA-03-16-00001-P ...... 01/19/17 Referrals of human trafficking victims from Conform State regulations to referral established providers of social or legal services requirements of Chapter 368 of the Laws of 2015

TDA-06-16-00016-EP ...... 02/09/17 Emergency shelters Emergency measures concerning shelters

TRANSPORTATION, DEPARTMENT OF

TRN-47-15-00002-P ...... 11/24/16 Various regulations addressing accident Updates to regulations addressing accident reporting, record retention, insurance, vehicle reporting, record retention, insurance, vehicle inspection and equipment identification inspection, equipment identification

TRN-48-15-00005-P ...... 12/01/16 Updates to various household goods provisions Updates various household goods provisions

74 NYS Register/March 30, 2016 Action Pending Index Agency I.D. No. Expires Subject Matter Purpose of Action

TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY

TBA-08-16-00005-P ...... 02/23/17 Proposal to strengthen toll violation To deter toll evasion enforcement on TBTA bridges and tunnels

WORKERS’ COMPENSATION BOARD

WCB-14-15-00009-P ...... 04/07/16 Health Insurance Matching Program (HIMP) Provide the process for health insurers to recover from workers' compensation carriers

WCB-45-15-00019-P ...... 11/09/16 Stipulations To streamline the process for parties to enter into stipulations in workers' compensation proceedings

WCB-45-15-00020-P ...... 11/09/16 Requests for Administrative Review To clarify the proecss for requesting administrative review and full Board review including requests for reconsideration

WCB-45-15-00021-P ...... 11/09/16 Convene Board hearings by electronic means Permit the Chair to convene Board hearings by electronic means

WCB-45-15-00023-P ...... 11/09/16 Permitted expenses for funerals To increase the permitted amount for reimbursement of funeral and memorial services for work related deaths

WCB-45-15-00025-P ...... 11/09/16 Medical Treatment Guideline variances Permit the Chair to require submission of variance requests via an electronic medical portal

WCB-45-15-00026-P ...... 11/09/16 Medical Authorizations Permit the Chair to require submission of medical authorization requests via an electronic medical portal

WCB-45-15-00027-P ...... 11/09/16 Medical Treatment Guideline optional prior Change the time to respond from business days approval to calendar days

SECURITIES OFFERINGS

STATE NOTICES FLI Perosphere Fund, LP One Jericho Plaza, Suite 201, New York, NY 11753 Published pursuant to provisions of General Business Law Partnership — FLI Funds Management Co. VII, L.P. [Art. 23-A, § 359-e(2)] Fort Baker Catalyst Fund, LP 700 Larkspur Landing Circle, Suite 275, Larkspur, CA 94939 DEALERS; BROKERS Partnership — Fort Baker Capital Partners LP

FundAmerica Securities, LLC 13 Gio Ponti/Strikes A Chord, LLC 3455 Peachtree Rd. NE, 5th Fl., Atlanta, GA 30326 800 Arbor Dr. N, Louisville, KY 40223 State or country in which incorporated — Delaware

98 DeGraw Street LLC Gal Meets Glam Collection, LLC 45 Main St., Suite 708, Brooklyn, NY 11201 c/o Gal Meets Glam, Inc., 2269 Chestnut St., #251, San Francisco, CA 94123 818 Potomac Avenue Investor LLC State or country in which incorporated — Delaware 4630 Montgomery Ave., Suite 600, Bethesda, MD 20814 State or country in which incorporated — District of Columbia IEG Holdings Corporation 6160 W. Tropicana Ave., Suite E-13, Las Vegas, NV 89103 Accelmed Growth Partners, L.P. State or country in which incorporated — Florida Six Hachoshlim St., 6th Fl., Herzliya Pituach Israel 4672406 Partnership — Accelmed Growth Partners (GP), L.P. Intrinsic4D Inc. 40701 Woodward Ave., Suite 250, Bloomfield Hills, MI 48304 Acuity Polymers, Inc. State or country in which incorporated — Canada 1667 Lake Ave., Suite 354, Rochester, NY 14615 IPC Investment Corporation State or country in which incorporated — Delaware 2680 Skymark Ave., Suite 700, Mississauga, ON L4W 5L6 State or country in which incorporated — Canada American Investment Partners, LP 1900 Rittenhouse Sq., Suite 4B, Philadelphia, PA 19103 LBRY, Inc. Partnership — American Investment Partners GP, LLC 521 Pine St., Manchester, NH 03104 State or country in which incorporated — Delaware Audax Senior Loan Fund III, L.P. 101 Huntington Ave., Boston, MA 02199 MDB Capital Group, LLC Partnership — Audax Senior Loan Business GP III, L.P. 401 Wilshire Blvd., Suite 1020, Santa Monica, CA 90401 State or country in which incorporated — California Axiom Capital Management, Inc. 780 Third Ave., New York, NY 10017 MFR Partners XVII, LLC State or country in which incorporated — Delaware 735 Lake St. E, Wayzata, MN 55391

Barfresh Food Group, Inc. Neoterixs, Inc. 8530 Wilshire Blvd., Suite 450, Beverly Hills, CA 90211 620 Exmoor Rd., Kenilworth, IL 60043 State or country in which incorporated — Delaware State or country in which incorporated — Illinois Northern Lights Royalties, LP Cyclops Technologies, Inc. 660 W. Southlake Blvd., Suite 200, Southlake, TX 76092 640 Brooker Creek Blvd., Suite 465, Oldsmar, FL 34677 Partnership — ProAK, LLC State or country in which incorporated — Florida Northlander America Series 2, LP emocha Mobile Health Inc. c/o Northlander Commodity LLP, Parkshot House, Five Kew Rd., 855 N. Wolfe St., Ground Fl., Suite B, Baltimore, MD 21205 Richmond, United Kingdom TW9 2PR State or country in which incorporated — Maryland Partnership — Northlander Cayman Series 2 Ltd

Feltl and Company, Inc. NorthStar Real Estate Income Fund 2100 LaSalle Plaza, 800 LaSalle Ave., Minneapolis, MN 55402 399 Park Ave., 18th Fl., New York, NY 10022 State or country in which incorporated — Minnesota State or country in which incorporated — Delaware

77 Securities Offerings NYS Register/March 30, 2016

NorthStar Real Estate Income Fund - T Vanguard Marketing Corporation 399 Park Ave., 18th Fl., New York, NY 10022 c/o Vanguard Financial Center, P.O. Box 2600, Valley Forge, PA State or country in which incorporated — Delaware 19482

Origin Capital Fund III, LLC VEPF VI FAF, L.P. c/o Origin Manager III, LLC, 350 N. LaSalle St., Suite 1000, Chicago, c/o Vista Equity Partners, Four Embarcadero Center, 20th Fl., San IL 60654 Francisco, CA 94111 Partnership — Vista Equity Partners Fund VI GP, L.P. Origin Fund III, LLC c/o Origin Manager III, LLC, 350 N. LaSalle St., Suite 1000, Chicago, Vista Equity Partners Fund VI, L.P. IL 60654 c/o Vista Equity Partners, Four Embarcadero Center, 20th Fl., San Francisco, CA 94111 PSC Investments B LP Partnership — Vista Equity Partners Fund VI GP, L.P. Eight Hanover St., London, United Kingdom W1S 1YF Vista Equity Partners Fund VI-A, L.P. Partnership — PSC III GP Limited c/o Vista Equity Partners, Four Embarcadero Center, 20th Fl., San Francisco, CA 94111 Recruit Citizens LLC Partnership — Vista Equity Partners Fund VI GP, L.P. 210 Elizabeth St., 3rd Fl., New York, NY 10012 State or country in which incorporated — Delaware Vista Equity Partners Fund VI-DE, L.P. c/o Vista Equity Partners, Four Embarcadero Center, 20th Fl., San Regency Affiliates, Inc. Francisco, CA 94111 Brown Rudnick LLP, Seven Times Sq., New York, NY 10036 Partnership — Vista Equity Partners Fund VI GP, L.P. State or country in which incorporated — Delaware Wells Fargo Investment Institute, Inc. Royal Alliance Associates Inc. 401 S. Tryon St., Charlotte, NC 28202 One World Financial Center, 15th Fl., New York, NY 10281 State or country in which incorporated — North Carolina State or country in which incorporated — Delaware Windvest Capital, LLC Sabal Enhanced Absolute Fund, L.P. 3131 Camino Del Rio N, Suite 310, San Diego, CA 92108 233 Wilshire Blvd., Suite 300, Santa Monica, CA 90401 Partnership — Sabal Capital Management, LLC

SCP Investment Fund, LP 25 Orinda Way, Suite 300, Orinda, CA 94563 Partnership — SCP Invesment, LP

SEMI 96 LLC 6960 Orchard Lake Rd., Suite 206, West Bloomfield, MI 48322 State or country in which incorporated — Michigan

Shore Venture I, LP c/o Hershey Management II, LLC, 888 7th Ave., 17th Fl., New York, NY 10019 Partnership — Hershey Management II, LLC

SI Securities, LLC 222 Broadway, 19th Fl., New York, NY 10038 State or country in which incorporated — New York

St. Teresa Medical, Inc. 2915 Waters Rd., Suite 108, Eagan, MN 55121 State or country in which incorporated — Minnesota

TDR Capital II Holdings L.P. 20 Bentinck St., London, UK, W1U 2EU Partnership — TDR Capital GP LLP

Treasury Holdings, LLC 648 Menlo Ave., Suite 2, Menlo Park, CA 94025 State or country in which incorporated — Delaware

TrendSeeder Holdings LLC 55 W. 25th St., Suite 26B, New York, NY 10010 State or country in which incorporated — New York

TurnMark Partners L.P. 6754 Bernal Ave., Suite 740-404, Pleasanton, CA 94566 Partnership — TurnMark Capital LLC

78 ADVERTISEMENTS FOR BIDDERS/CONTRACTORS SEALED BIDS Bidders are warned that time is of the essence of the Contract and completion of the Work must be within 180 days after the Agreement is approved by the Comptroller. Due to the tightness of the construc- REPLACE tion schedule, bidders should consider the necessity for an increased ROOFS work force and shift operations. State Armory The only time prospective bidders will be allowed to visit the job Saranac Lake, Franklin County site to take field measurements and examine existing conditions of the project area will be at 10:00 a.m. on March 24, 2016 at State Armory, Sealed bids for Project No. Q1624-C, for Construction Work, Route 3, Saranac Lake, NY. Prospective bidders are urged to visit the Replace Roofs, State Armory, State Route 3, Saranac Lake (Franklin site at this time. Prospective bidders or their representatives attending County), NY, will be received by the Office of General Services the pre-bid site visit will not be admitted on facility grounds without (OGS), Design & Construction Group (D&C), Contract Administra- proper photo identification. Note that parking restrictions and security tion, 35th Fl., Corning Tower, Empire State Plaza, Albany, NY 12242, provisions will apply and all vehicles will be subject to search. on behalf of the Division of Military and Naval Affairs, until 2:00 Phone the office of Bruce Daley, (518) 492-2200 Ext. 105 a mini- p.m. on Wednesday, April 6, 2016, when they will be publicly opened mum of 72 hours in advance of the date to provide the names of those and read. Each bid must be prepared and submitted in accordance with who will attend the pre-bid site visit. the Instructions to Bidders and must be accompanied by a certified It is the policy of the State and the Office of General Services to check, bank check, or bid bond in the amount of $22,900 for C. encourage meaningful minority business enterprise participation in All successful bidders on a multiple trade project or the successful this project by contractors, subcontractors and suppliers who perform bidder with a bid over $200,000 on a single trade project, will be commercially useful functions under the Contract, and all bidders are required to furnish a Performance Bond and a Labor and Material expected to cooperate in implementing this policy. Bond in the statutory form of public bonds required by Sections 136 The Office of General Services reserves the right to reject any or all and 137 of the State Finance Law, each for 100% of the amount of the bids. Contract estimated to be between $500,000 and $1,000,000 for C. The The Bidding and Contract Documents for this Project are available requirement for Labor and Material and Performance Bonds may be on compact disc (CD) only, and may be obtained for an $8.00 deposit waived on a bid under $200,000 on a single trade project. per set, plus a $2.00 per set shipping and handling fee. Contractors Pursuant to State Finance Law § 139-j and § 139-k, this solicitation and other interested parties can order CD’s on-line through a secure includes and imposes certain restrictions on communications between web interface available 24 hours a day, 7 days a week. Please use the OGS D&C and a bidder during the procurement process. A bidder is following link at the OGS website for ordering and payment restricted from making contacts from the earliest notice of intent to instructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp. solicit offers through final award and approval of the Procurement For questions about purchase of bid documents, please send an Contract by OGS D&C and Office of the State Comptroller (“restricted e-mail to [email protected], or call toll free at 1-877-647-7526. period”) to other than designated staff unless it is a contact that is For additional information on this project, please use the link below included among certain statutory exceptions set forth in State Finance and then click on the project number: https://online.ogs.ny.gov/dnc/ Law § 139-j(3)(a). Designated staff are Frank Peris and Carl Ruppert contractorConsultant/esb/ESBPlansAvailableIndex.asp. in the Bureau of Contract Awards, telephone (518) 474-0203, fax (518) 473-7862 and John Lewyckyj, Deputy Director of Design and Construction, telephone (518) 474-0201, fax (518) 486-1650. OGS By John D. Lewyckyj, Deputy Director D&C employees are also required to obtain certain information when OGS - Design & Construction Group contacted during the restricted period and make a determination of the responsibility of the bidder pursuant to these two statutes. Certain REHABILITATE findings of non-responsibility can result in rejection for contract award KITCHEN/DINING AREAS and in the event of two findings within a 4 year period, the bidder is Goshen Residential Center debarred from obtaining governmental Procurement Contracts. Bid- Goshen, Orange County ders responding to this Advertisement must familiarize themselves with the new Legislative and State Finance Law requirements and will Sealed bids for Project Nos. 44775-C, 44775-H, 44775-P, 44775-E, be expected to affirm that they understand and agree to comply on the comprising separate contracts for Construction Work, HVAC Work, bid form. Further information about these requirements can be found Plumbing Work, and Electrical Work, Rehabilitate Kitchen and Din- within the project manual or at: http://ogs.ny.gov/aboutogs/ ing Areas, Goshen Residential Center, 97 Cross Road, Goshen regulations/defaultAdvisoryCouncil.asp. (Orange County), NY, will be received by the Office of General Ser- As a condition of award, within 48 hours of receipt of the proposed vices (OGS), Design & Construction Group (D&C), Contract Admin- Contract Agreement from the State, the low bidder shall return the istration, 35th Fl., Corning Tower, Empire State Plaza, Albany, NY Contract Agreement to the State, properly executed, along with the 12242, on behalf of the Office of Children and Family Services, until Bonds if required by said Agreement. Low bidders who cannot meet 2:00 p.m. on Wednesday, April 6, 2016, when they will be publicly these provisions may be subject to disqualification and forfeiture of opened and read. Each bid must be prepared and submitted in accor- the bid security. dance with the Instructions to Bidders and must be accompanied by a The State intends to expedite award of this Contract and the certified check, bank check, or bid bond in the amount of $38,600 for Contractor shall be prepared to proceed with the Work accordingly. C, $18,600 for H, $17,200 for P, and $19,800 for E.

79 Advertisements for Bidders/Contractors NYS Register/March 30, 2016

All successful bidders on a multiple trade project or the successful REPLACE bidder with a bid over $200,000 on a single trade project, will be ROOF required to furnish a Performance Bond and a Labor and Material Troop D Headquarters Bond in the statutory form of public bonds required by Sections 136 Oneida, Madison County and 137 of the State Finance Law, each for 100% of the amount of the Contract estimated to be between $500,000 and $1,000,000 for C, between $250,000 and $500,000 for H, between $100,000 and $250,000 Sealed bids for Project Nos. 45032-C, 45032-H, 45032-P, 45032-E, for P, and between $250,000 and $500,000 for E. The requirement for comprising separate contracts for Construction Work, HVAC Work, Labor and Material and Performance Bonds may be waived on a bid Plumbing Work, and Electrical Work, Replace Roof, Troop D Head- under $200,000 on a single trade project. quarters, Route 5, Genesee Street, Oneida (Madison County), NY, will be received by the Office of General Services (OGS), Design & Pursuant to State Finance Law § 139-j and § 139-k, this solicitation Construction Group (D&C), Contract Administration, 35th Fl., Corn- includes and imposes certain restrictions on communications between ing Tower, Empire State Plaza, Albany, NY 12242, on behalf of the OGS D&C and a bidder during the procurement process. A bidder is New York State Police, until 2:00 p.m. on Wednesday, April 13, 2016, restricted from making contacts from the earliest notice of intent to when they will be publicly opened and read. Each bid must be pre- solicit offers through final award and approval of the Procurement pared and submitted in accordance with the Instructions to Bidders Contract by OGS D&C and Office of the State Comptroller (“restricted and must be accompanied by a certified check, bank check, or bid period”) to other than designated staff unless it is a contact that is bond in the amount of $55,100 for C, $20,800 for H, $2,100 for P, and included among certain statutory exceptions set forth in State Finance $6,800 for E. Law § 139-j(3)(a). Designated staff are Frank Peris and Carl Ruppert in the Bureau of Contract Awards, telephone (518) 474-0203, fax All successful bidders on a multiple trade project or the successful (518) 473-7862 and John Lewyckyj, Director of Contract Administra- bidder with a bid over $200,000 on a single trade project, will be tion, telephone (518) 474-0201, fax (518) 486-1650. OGS D&C em- required to furnish a Performance Bond and a Labor and Material ployees are also required to obtain certain information when contacted Bond in the statutory form of public bonds required by Sections 136 during the restricted period and make a determination of the responsi- and 137 of the State Finance Law, each for 100% of the amount of the bility of the bidder pursuant to these two statutes. Certain findings of Contract estimated to be between $1,000,000 and $2,000,000 for C, non-responsibility can result in rejection for contract award and in the between $250,000 and $500,000 for H, between $25,000 and $50,000 eventoftwofindingswithina4yearperiod, the bidder is debarred for P, and between $50,000 and $100,000 for E. The requirement for from obtaining governmental Procurement Contracts. Bidders re- Labor and Material and Performance Bonds may be waived on a bid sponding to this Advertisement must familiarize themselves with the under $200,000 on a single trade project. new Legislative and State Finance Law requirements and will be Pursuant to State Finance Law § 139-j and § 139-k, this solicitation expected to affirm that they understand and agree to comply on the includes and imposes certain restrictions on communications between bid form. Further information about these requirements can be found OGS D&C and a bidder during the procurement process. A bidder is within the project manual or at: http://ogs.ny.gov/aboutogs/ restricted from making contacts from the earliest notice of intent to regulations/defaultAdvisoryCouncil.asp. solicit offers through final award and approval of the Procurement The substantial completion date for this project is 609 days after the Contract by OGS D&C and Office of the State Comptroller (“restricted Agreement is approved by the Comptroller. period”) to other than designated staff unless it is a contact that is included among certain statutory exceptions set forth in State Finance The only time prospective bidders will be allowed to visit the job Law § 139-j(3)(a). Designated staff are Frank Peris and Carl Ruppert site to take field measurements and examine existing conditions of the in the Bureau of Contract Awards, telephone (518) 474-0203, fax project area will be at 10:00 a.m. on March 28, 2016 at Goshen Resi- (518) 473-7862 and John Lewyckyj, Deputy Director of Design and dential Center, Control Center @ Main Gate, 97 Cross Road, Goshen, Construction, telephone (518) 474-0201, fax (518) 486-1650. OGS NY. Prospective bidders are urged to visit the site at this time. Pro- D&C employees are also required to obtain certain information when spective bidders or their representatives attending the pre-bid site visit contacted during the restricted period and make a determination of the will not be admitted on facility grounds without proper photo responsibility of the bidder pursuant to these two statutes. Certain identification. Note that parking restrictions and security provisions findings of non-responsibility can result in rejection for contract award will apply and all vehicles will be subject to search. and in the event of two findings within a 4 year period, the bidder is For assistance pertaining to the site visit only, please phone Robbin debarred from obtaining governmental Procurement Contracts. Bid- Griffiths (845) 365-0730. ders responding to this Advertisement must familiarize themselves It is the policy of the State and the Office of General Services to with the new Legislative and State Finance Law requirements and will encourage meaningful minority business enterprise participation in be expected to affirm that they understand and agree to comply on the this project by contractors, subcontractors and suppliers who perform bid form. Further information about these requirements can be found commercially useful functions under the Contract, and all bidders are within the project manual or at: http://ogs.ny.gov/aboutogs/ expected to cooperate in implementing this policy. regulations/defaultAdvisoryCouncil.asp. The Office of General Services reserves the right to reject any or all As a condition of award, within 48 hours of receipt of the proposed bids. Contract Agreement from the State, the low bidder shall return the The Bidding and Contract Documents for this Project are available Contract Agreement to the State, properly executed, along with the on compact disc (CD) only, and may be obtained for an $8.00 deposit Bonds if required by said Agreement. Low bidders who cannot meet per set, plus a $2.00 per set shipping and handling fee. Contractors these provisions may be subject to disqualification and forfeiture of and other interested parties can order CD’s on-line through a secure the bid security. web interface available 24 hours a day, 7 days a week. Please use the The State intends to expedite award of this Contract and the following link at the OGS website for ordering and payment Contractor shall be prepared to proceed with the Work accordingly. instructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp. Bidders are warned that time is of the essence of the Contract and For questions about purchase of bid documents, please send an completion of the Work must be within 225 days after the Agreement e-mail to [email protected], or call toll free at 1-877-647-7526. is approved by the Comptroller. Due to the tightness of the construc- For additional information on this project, please use the link below tion schedule, bidders should consider the necessity for an increased and then click on the project number: https://online.ogs.ny.gov/dnc/ work force and shift operations. contractorConsultant/esb/ESBPlansAvailableIndex.asp. 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 April 1, 2016 at Troop D Head- By John D. Lewyckyj, Deputy Director quarters, Route 5, Genesee Street, Oneida, NY. Prospective bidders OGS - Design & Construction Group are urged to visit the site at this time. Prospective bidders or their

80 NYS Register/March 30, 2016 Advertisements for Bidders/Contractors representatives attending the pre-bid site visit will not be admitted on and in the event of two findings within a 4 year period, the bidder is facility grounds without proper photo identification. Note that parking debarred from obtaining governmental Procurement Contracts. Bid- restrictions and security provisions will apply and all vehicles will be ders responding to this Advertisement must familiarize themselves subject to search. with the new Legislative and State Finance Law requirements and will For assistance pertaining to the site visit only, please phone Peggy be expected to affirm that they understand and agree to comply on the Strong (315) 428-4419. bid form. Further information about these requirements can be found It is the policy of the State and the Office of General Services to within the project manual or at: http://ogs.ny.gov/aboutogs/ encourage meaningful minority business enterprise participation in regulations/defaultAdvisoryCouncil.asp. this project by contractors, subcontractors and suppliers who perform As a condition of award, within 48 hours of receipt of the proposed commercially useful functions under the Contract, and all bidders are Contract Agreement from the State, the low bidder shall return the expected to cooperate in implementing this policy. Contract Agreement to the State, properly executed, along with the The Office of General Services reserves the right to reject any or all Bonds if required by said Agreement. Low bidders who cannot meet bids. these provisions may be subject to disqualification and forfeiture of The Bidding and Contract Documents for this Project are available the bid security. on compact disc (CD) only, and may be obtained for an $8.00 deposit The State intends to expedite award of this Contract and the per set, plus a $2.00 per set shipping and handling fee. Contractors Contractor shall be prepared to proceed with the Work accordingly. and other interested parties can order CD’s on-line through a secure Bidders are warned that time is of the essence of the Contract and web interface available 24 hours a day, 7 days a week. Please use the completion of the Work must be completed by October 1, 2016 after following link at the OGS website for ordering and payment the Agreement is approved by the Comptroller. Due to the tightness of instructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp. the construction schedule, bidders should consider the necessity for an For questions about purchase of bid documents, please send an increased work force and shift operations. e-mail to [email protected], or call toll free at 1-877-647-7526. The only time prospective bidders will be allowed to visit the job For additional information on this project, please use the link below site to take field measurements and examine existing conditions of the and then click on the project number: https://online.ogs.ny.gov/dnc/ project area will be at 10:00 a.m. on March 31, 2016 at DOT Region contractorConsultant/esb/ESBPlansAvailableIndex.asp. 10, Nassau County, 925 Stewart Avenue, Garden City, NY. Prospec- tive bidders are urged to visit the site at this time. Prospective bidders By John D. Lewyckyj, Deputy Director or their representatives attending the pre-bid site visit will not be OGS - Design & Construction Group admitted on facility grounds without proper photo identification. Note that parking restrictions and security provisions will apply and all vehicles will be subject to search. REPAIR/REPLACE For assistance pertaining to the site visit only, please phone Ida ROOF Colon (631) 951-0248 Ext. 102. Department of Transportation Region 10 It is the policy of the State and the Office of General Services to Garden City, Nassau County encourage meaningful minority business enterprise participation in this project by contractors, subcontractors and suppliers who perform Sealed bids for Project No. 45368-C, for Construction Work, commercially useful functions under the Contract, and all bidders are Repair/Replace Roof, DOT Region 10, 925 Stewart Avenue, Garden expected to cooperate in implementing this policy. City, (Nassau County), NY, will be received by the Office of General The Office of General Services reserves the right to reject any or all Services (OGS), Design & Construction Group (D&C), Contract bids. Administration, 35th Fl., Corning Tower, Empire State Plaza, Albany, NY 12242, on behalf of the Department of Transportation, until 2:00 The Bidding and Contract Documents for this Project are available p.m. on Wednesday, April 13, 2016, when they will be publicly on compact disc (CD) only, and may be obtained for an $8.00 deposit opened and read. Each bid must be prepared and submitted in accor- per set, plus a $2.00 per set shipping and handling fee. Contractors dance with the Instructions to Bidders and must be accompanied by a and other interested parties can order CD’s on-line through a secure certified check, bank check, or bid bond in the amount of $28,000 for web interface available 24 hours a day, 7 days a week. Please use the C. following link at the OGS website for ordering and payment instructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp. All successful bidders on a multiple trade project or the successful bidder with a bid over $200,000 on a single trade project, will be For questions about purchase of bid documents, please send an required to furnish a Performance Bond and a Labor and Material e-mail to [email protected], or call toll free at 1-877-647-7526. Bond in the statutory form of public bonds required by Sections 136 For additional information on this project, please use the link below and 137 of the State Finance Law, each for 100% of the amount of the and then click on the project number: https://online.ogs.ny.gov/dnc/ Contract estimated to be between $500,000 and $1,000,000 for C. The contractorConsultant/esb/ESBPlansAvailableIndex.asp. requirement for Labor and Material and Performance Bonds may be waived on a bid under $200,000 on a single trade project. By John D. Lewyckyj, Deputy Director Pursuant to State Finance Law § 139-j and § 139-k, this solicitation OGS - Design & Construction Group includes and imposes certain restrictions on communications between OGS D&C and a bidder during the procurement process. A bidder is restricted from making contacts from the earliest notice of intent to solicit offers through final award and approval of the Procurement Contract by OGS D&C and Office of the State Comptroller (“restricted period”) to other than designated staff unless it is a contact that is included among certain statutory exceptions set forth in State Finance Law § 139-j(3)(a). Designated staff are Frank Peris and Carl Ruppert in the Bureau of Contract Awards, telephone (518) 474-0203, fax (518) 473-7862 and John Lewyckyj, Deputy Director of Design and Construction, telephone (518) 474-0201, fax (518) 486-1650. 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

NOTICE OF AVAILABILITY OF STATE AND FEDERAL FUNDS

New York Homes and Community Renewal Applicants may only apply under this Notice for awards for new Governor’s Office of Storm Recovery construction, or substantial rehabilitation of site-specific multi-family Division of Housing and Community Renewal rental housing Projects that will also have first mortgages financed by tax-exempt Private Activity Bonds (“Bonds”) issued by the New York 641 Lexington Ave. State Housing Finance Agency (“HFA. Any awards made under this New York, NY 10022 Notice will be contingent on the Project receiving an award of Bond DEVELOPERS SEEKING FINANCING FOR NEW CONSTRUC- volume cap authority sufficient to fund the Project’s first mortgage. TION, AND SUBSTANTIAL REHABILITATION OF SITE- This Notice explains the process by which HCR and GOSR will ac- SPECIFIC, AFFORDABLE, MULTI-FAMILY RENTAL HOUSING cept and evaluate applications requesting AHF resources. Prospective IN COMMUNITIES IMPACTED BY SUPERSTORM SANDY, Applicants may request technical assistance in preparing an applica- TROPICAL STORM LEE, OR HURRICANE IRENE, (THE “COV- tion at any time. ERED STORMS”) THAT WILL ALSO HAVE FIRST MORT- HCR and GOSR reserve the right to award all, a portion of, or none GAGES FINANCED BY TAX-EXEMPT PRIVATE ACTIVITY of the AHF program funds based upon funding availability, readiness, BONDS ISSUED BY NEW YORK STATE HOUSING FINANCE feasibility of the Projects, the Applicant’s ability to meet HCR and AGENCY (“HFA”) GOSR criteria for funding, and the Applicant’s ability to advance the New York Rising Rental Buildings Recovery Program Multi- State’s housing goals. HCR also reserves the right to review applica- Family/Affordable Housing Fund (AHF) tions requesting AHF as applications for funding under other programs AHF utilizes federal Community Development Block Grant – Di- for which the Project may be eligible through HCR, and to change or saster Recovery (CDBG-DR) funds provided to New York State and disallow aspects of the applications received. HCR reserves the right administered through the Housing Trust Fund Corporation (HTFC) to make any such changes as an express condition of its award com- New York State Homes and Community Renewal (HCR) and the mitment for the Project. Governor’s Office of Storm Recovery (GOSR) anticipate an ap- HCR will seek to award these limited AHF resources so as to propriation of approximately $12,000,000 for State Fiscal Year 2016- promote a geographic distribution of such financing, and GOSR may 17, which will be awarded pursuant to applications submitted under seek to promote a geographic distribution of areas most severely this Notice. impacted by the Covered Storms. Therefore, awards for proposed Applications will be accepted through May 27, 2016 for allocations Projects may be denied in areas of the State that have recently been totaling up to $7,000,000 for projects located in counties other than awarded HCR capital financing. Funding may also be denied to Proj- Nassau, Suffolk, and Westchester, and $9,000,000 for projects located ects where market studies or other analyses indicate low-income hous- in Nassau, Suffolk, and Westchester counties. However, AHF re- ing saturation. sources in excess of these amounts may be awarded if such additional AHF Program funding is deemed necessary to meet exceptional needs related to AHF is a housing development program that provides financing as- recovery from one or more of the Covered Storms. . Housing Projects sistance for acquisition, capital costs and related soft costs associated within the five Boroughs of New York City will not be considered for with the new construction or rehabilitation of affordable housing funding as New York City received and administers its own allocation developments to address unmet housing need in area damaged by one of CDBG-DR. Applications will be accepted for projects located in or more Covered Storms. the following counties: with housing damaged by one or more of the Covered Storms: Albany, Broome, Chemung, Chenango, Clinton, Co- Under this AHF RFP, more than 50% of the project costs must be lumbia, Delaware, Dutchess, Essex, Franklin, Fulton, Greene, financed by PABs issued by HFA and allocated from the State’s PAB Hamilton, Herkimer, Montgomery, Nassau, Oneida, Orange, Otsego, volume cap. The bond financing provided by HFA qualifies the proj- Putnam, Rensselaer, Rockland, Saratoga, Schenectady, Schoharie, ect for an allowance of 4% Low-Income Housing Credits (often Suffolk, Sullivan, Tioga, Tompkins, Ulster, Warren, Washington, and termed “as-of-right” tax credits). Westchester. AHF financing may only be utilized to finance the development of Applications requesting AHF may be submitted at any time be- residential properties where the majority of units are affordable to tween March 31, 2016 and March 27, 2016. Applications requesting households with incomes up to 80% of area median income (AMI), as AHF may be submitted at any time between March 31, 2016 and May adjusted for household size. However, for applications under this no- 27, 2016, or until all allocations of AHF are committed. Complete and tice of funding availability, up to 30% of the Project’s units may be af- eligible AHF applications will be reviewed and considered in three fordable to tenants with incomes above 60% of AMI, provided that rounds of funding consideration as follows: those units are deemed to be necessary for the financial viability of a mixed-income project. Projects must also be compliant with relevant Eligible applications not awarded funding in prior rounds may be income thresholds under HFA tax exempt bond financing program considered for awards in later rounds. and low income house tax credit requirements. Applicants should be Notwithstanding resource availability, applications must be re- aware that federal law and regulations require that GOSR contracts ceived by HCR by 5:00 pm EST, on May 27, 2016. The application providing CDBG-DR assistance contain certain provisions. All deadline is firm as to date and hour. Applications received after the Proposals must comply with all Federal, State and local laws, includ- specified dates and time swill be deemed ineligible and will not be ing rules and regulations specific to CDBG-DR. CDBG-DR rules and considered for funding. regulations include labor, environmental, green building standards, This Notice of Credit and Funding Availability (“Notice”) describes accessibility, and equal employment opportunity. Davis-Bacon wage the programmatic and submission requirements for the program. rates and compliance requirements will apply to all developments

83 Availability of Funds NYS Register/March 30, 2016 with 8 or more units where CDBG-DR funds are used to finance construction. The maximum amount of AHF financing that may be requested per project is $7,000,000 to any Project located outside of Nassau, Suffolk, and Westchester counties, or $9,000,000 within Nas- sau, Suffolk, or Westchester Counties. HCR and GOSR will allocate resources made available through this Notice using the following criteria: fundamentals, leverage, outcomes, and relationship of the Project to damage caused by Superstorm Sandy, Tropical Storm Lee, or Hurricane Irene. This framework ac- commodates programmatic preferences and housing goals currently utilized by HCR and GOSR. HCR priorities include: Regional Economic Development Council Projects; Transit Oriented Development; Mitchell-Lama Preservation; Housing Opportunity Projects; Mixed Income/Mixed Use Revitalization Projects; Supportive Housing Projects. Programmatic preferences and housing goals utilized by GOSR include: Repair of existing buildings that have documented damage from one of the Covered Storms; New Construction on-site of replacement rental housing for units placed out of service by one of the Covered Storms; Sites located in or proximate to Community Reconstruction Program areas; Marketing preference for rental households who were displaced by one of the Covered Storms; Resiliency measures that exceed basic standards; Supportive Housing Projects; Support for the preservation and rehabilitation of public housing. AHF Pre-application Requirements. Prospective Applicants will be required to schedule and coordinate a pre-application meeting with development team members, HCR and GOSR staff. The pre-application meeting will enable HCR and GOSR to jointly assess Project readiness and determine whether it is appropriate for the Applicant to proceed with submission of any AHF application. Should an Applicant submit an AHF application to HCR without previously conducting such a meeting, HCR reserves the right, in its full discretion, to terminate the application without further review. This Notice provides a summary description of the AHF programs and procedures for applying for assistance thereunder. Additional information about these programs, including a fuller version of this No- tice, is available on the HCR website, at: http://www.nyshcr.org For an application, contact: Mark Flescher, Vice President, Special Projects, Homes and Community Renewal, at the above address, (212) 872-0493, e-mail: [email protected]

84 MISCELLANEOUS NOTICES/HEARINGS Notice of Abandoned Property manage to these targets and use Environmental, Social and Gover- nance (ESG) factors in their investment process as well as from those Received by the State Comptroller that do not. This RFP does not seek responses from funds that dynami- Pursuant to provisions of the Abandoned Property Law and related cally allocate between stocks and bonds. laws, the Office of the State Comptroller receives unclaimed monies and other property deemed abandoned. A list of the names and last known addresses of the entitled owners of this abandoned property is PUBLIC NOTICE maintained by the office in accordance with Section 1401 of the Department of Health Abandoned Property Law. Interested parties may inquire if they ap- Pursuant to 42 CFR Section 447.205, the Department of Health pear on the Abandoned Property Listing by contacting the Office of hereby gives public notice of the following: Unclaimed Funds, Monday through Friday from 8:00 a.m. to 4:30 The Department of Health proposes to amend the Title XIX p.m., at: (Medicaid) State Plan for institutional, non-institutional, long term 1-800-221-9311 care, and prescription drug services to comply with proposed statutory or visit our web site at: provisions. The following changes are proposed: www.osc.state.ny.us Institutional Services Claims for abandoned property must be filed with the New York For the state fiscal year beginning April 1, 2016 through March State Comptroller's Office of Unclaimed Funds as provided in Sec- D tion 1406 of the Abandoned Property Law. For further information 31, 2017, continues specialty hospital adjustments for hospital contact: Office of the State Comptroller, Office of Unclaimed Funds, inpatient services provided on and after April 1, 2012, to public gen- 110 State St., Albany, NY 12236. eral hospitals, other than those operated by the State of New York or the State University of New York, located in a city with a population of over one million and receiving reimbursement of up to $1.08 bil- PUBLIC NOTICE lion annually based on criteria and methodology set by the Commis- Deferred Compensation Board sioner of Health, which the Commissioner may periodically set Pursuant to the provisions of 9 NYCRR, Section 9003.2 authorized through a memorandum of understanding with the New York City by Section 5 of the State Finance Law, the New York State Deferred Health and Hospitals Corporation. Such adjustments shall be paid by Compensation Board, beginning March 30, 2016 is soliciting propos- means of one or more estimated payments, which shall be reconciled als from Financial Organizations to provide Target Date Fund and to the final adjustment determinations after the disproportionate share Balanced Fund management services. The funds will represent two or hospital payment adjustment caps have been calculated for such pe- more of the investment options under the Deferred Compensation riod under sections 1923(f) and (g) of the federal Social Security Act. Plan for Employees of the State of New York and Other Participating Payments to eligible public general hospitals may be added to rates of Public Jurisdictions, a plan meeting the requirements of Section 457 payment or made as aggregate payments. of the Internal Revenue Code and Section 5 of the State Finance Law, D Effective April 1, 2016, continues the supplemental upper pay- including all rules and regulations issued pursuant thereto. ment limit payments made to general hospitals, other than major pub- A copy of the request for proposals may be obtained from Millie lic general hospitals of $339 million annually. Viqueira and Thomas Shingler of Callan Associates Indigent Care ([email protected] and [email protected]). D Extends effective beginning April 1, 2016 and for each state fiscal All proposals must be received no later than the close of business year thereafter, Intergovernmental Transfer Payments to eligible ma- on Friday, April 29, 2016. jor public general hospitals run by counties and the State of New York. Product Design for Target Date Funds (TDFs): The Plan is seeking Long Term Care Services responses from providers that offer target maturity funds that automati- D For state fiscal year beginning April 1, 2016, continues additional cally adjust their asset allocation to become more conservative over payments to non-state government operated public residential health time. Responding TDFs must be designed to achieve the appropriate care facilities, including public residential health care facilities lo- level of risk for each stage of a participant's life. Responding target cated in Nassau, Westchester, and Erie counties, but excluding public maturity funds should be designed to be a simple ‘‘one-fund’’ retire- residential health care facilities operated by a town or city within a ment savings solution for participants in the Plan. The funds should be county, in aggregate amounts of up to $500 million. The amount al- issued in five-year intervals, with each fund targeting a specific retire- located to each eligible public RHCF will be in accordance with the ment date. previously approved methodology, provided, however that patient Product Design for Balanced Funds: Responding balanced funds days shall be utilized for such computation reflecting actual reported should offer exposure to both equities and fixed income within one data for 2014 and each representative succeeding year as applicable. fund. Unlike with TDFs, which adjust the asset allocation over time as Payments to eligible RHCF’s may be added to rates of payment or the participant nears and enters retirement, the equity/fixed income made as aggregate payments. weights of responding balanced funds must be relatively static (e.g. D Effective on or after April 1, 2016, nursing home rates shall not two-thirds equities and one-third fixed income). The weight in equi- consider transportation costs as allowable expenses pursuant to ties must be at least 60% (predominantly U.S. equities), with the NYCRR § 86-2.10 and § 86-2.40. The direct price component of the remainder in fixed income (predominantly U.S. investment grade rates for non-capital reimbursement will be revised effective April 1, fixed income). We are soliciting responses from balanced funds which 2016, to reflect to removal of transportation as an allowable costs.

85 Miscellaneous Notices/Hearings NYS Register/March 30, 2016

The estimated annual net aggregate decrease in gross Medicaid D Effective April 1, 2016, eligibility procedures will be streamlined expenditures attributable to this initiative contained in the budget for for infants and toddlers referred to the Early Intervention Program state fiscal year 2016/2017 is ($12 million). (EIP). Children referred to the EIP will be screened to determine D Effective on or after April 1, 2016, a new specialty rate will be whether the child is suspected of having a disability and requires a implemented for the Neurodegenerative disease population. The multidisciplinary evaluation to determine eligibility. Children referred population shall include only those patients who are diagnosed with to the EIP with a diagnosed condition with a high probability of Huntington’s disease (HD) and Amyotrophic Lateral Sclerosis (ALS). developmental delay that establishes the child’s eligibility for the Individuals within New York State that have neurodegenerative motor program will not be screened and will receive an abbreviated multidis- function disorders (and their families/caretakers) will have access to ciplinary evaluation. New screening and evaluation rates are being comprehensive and coordinated outpatient and inpatient services established. Until such time as new screening and evaluation rates are within New York State throughout the continuum of the disease. established, existing rates for screening and supplemental evaluation The rate has been created to enable participating providers to deliver rates will be used to reimburse for these services. more appropriate and necessary care to those residents who have been The estimated annual net aggregate decrease in gross Medicaid diagnosed with Huntington’s or Amyotrophic Lateral Sclerosis. expenditures attributable to this initiative contained in the budget for The estimated annual net aggregate increase in gross Medicaid state fiscal year 2016/17 is ($5.4 million). expenditures attributable to this initiative contained in the budget for state fiscal year 2016/2017 is $6.3 million. D Effective April 1, 2016, in accordance with an amendment to Sec- tion 367-a(I)(d)(iv) of the Social Services Law, cost-sharing limits D The quality incentive program for non-specialty nursing homes will be applied to Medicare Part C (Medicare Advantage or Medicare will continue for the 2016 rate year to recognize improvement in per- managed care) claims. Such limits are being applied to prevent the formance as an element in the program and provide for other minor modifications. Medicaid program from paying any cost-sharing amount more than the maximum amount that Medicaid would pay for the same service There is no additional estimated annual change to gross Medicaid for a member that only has Medicaid coverage. expenditures attributable to this initiative for state fiscal year 2016/17. Currently, the Medicaid program pays the full co-payment or co- Non-Institutional Services insurance amounts for Medicare Part C claims, even when the provider D For state fiscal year beginning April 1, 2016 through March 31, has received more than the amount the Medicaid program would have 2017, continues hospital outpatient payment adjustments that increase paid for that service. Under the new limitations, the Medicaid program the operating cost components of rates of payment for hospital would not pay any co-payment/co-insurance amount if the provider outpatient and emergency departments on and after April 1, 2011, for received payment equal to or greater than the Medicaid amount. The public general hospitals other than those operated by the State of new provider would be required to accept the Medicare Part C health plan York or the State University of New York, which are located in a city payment as payment in full for the service and the member could not with a population of over one million. The amount to be paid will be be billed for any co-payment/co-insurance amount that was not up to $287 million annually based on criteria and methodology set by reimbursed by Medicaid. the Commissioner of Health, which the Commissioner may periodi- The estimated annual net aggregate decrease in Medicaid expendi- cally set through a memorandum of understanding with the New York tures attributable to this initiative contained in the budget for state fis- City Health and Hospitals Corporation. Such adjustments shall be cal year 2016/2017 is ($22.9 million) gross. paid by means of one or more estimated payments, which shall be reconciled to the final adjustment determinations after the dispropor- D Effective April 1, 2016, the Department of Health will increase tionate share hospital payment adjustment caps have been calculated access, and improve education/outreach, for the comprehensive cover- for such period under sections 1923(f) and (g) of the federal Social age and promotion of long acting reversible contraception (LARC) by Security Act. Payments may be added to rates of payment or made as requiring separate payments be made for the cost of post-partum aggregate payments. LARC methods to providers and allowing Federally Qualified Health Centers (FQHCs) providers to be paid for the cost of LARC in addi- D For the state fiscal year beginning April 1, 2016 through March tion to the PPS rate. 31, 2017, continues upon the election of the social services district in which an eligible diagnostic and treatment center (DTC) is physically Long acting reversible contraception (LARC) methods include the located, up to $12.6 million in additional annual Medicaid payments intrauterine device (IUD) and the birth control implant. According to may be paid to public DTCs operated by the New York City Health The American College of Obstetricians and Gynecologists (ACOG), and Hospitals Corporation. Such payments will be based on each both methods are highly effective in preventing pregnancy and are DTC’s proportionate share of the sum of all clinic visits for all facili- reversible. ties eligible for an adjustment for the base year two years prior to the Potential savings would result from a reduction in unintended rate year. The proportionate share payments may be added to rates of pregnancies and better spacing between pregnancies (improved health payment or made as aggregate payments to eligible DTCs. outcomes for baby and mother). In particular, increasing use of LARC in the adolescent population has significant potential to reduce D For the state fiscal year beginning April 1, 2016 through March 31, 2017, continues up to $5.4 million in additional annual Medicaid unintended pregnancies. payments may be paid to county operated free-standing clinics, not The estimated annual net aggregate decrease in gross Medicaid including facilities operated by the New York City Health and expenditures attributable to this initiative in the budget for state fiscal Hospitals Corporation, for services provided by such DTC and those year 2016/2017 is ($12.6 million). provided by a county operated freestanding mental health or substance D Effective on or after April 1, 2016, the State will claim additional abuse DTC. Distributions shall be based on each eligible facility’s FMAP for certain services provided to managed care recipients. CMS proportionate share of the sum of all DTC and clinic visits for all authorizes states to claim 1% additional FMAP for USPSTF A&B eligible facilities receiving payments for the base year two years prior recommended preventive services when there is no cost-sharing. The to the rate year. The proportionate share payments may be added to State Plan will be amended so that the additional 1% FMAP can be rates of payment or made as aggregate payments to eligible facilities. claimed for all USPSTF A&B recommended preventative services D Early Intervention Program rates for approved services rendered provided to managed care recipients for which there is no cost sharing. on or after April 1, 2016 shall be increased by one percent. The rate Prescription Drugs: increase adjusts for additional administrative activities required of D Effective April 1, 2016, establish price ceilings on critical pre- providers for billing and claiming of approved Early Intervention ser- scription drugs for which there is a significant public interest in ensur- vices associated with the implementation of a State Fiscal Agent. ing rational pricing by drug manufacturers. When a critical prescrip- The estimated annual net aggregate increase in gross Medicaid tion drug dispensed to a NYS Medicaid enrollee (managed care or expenditures attributable to this initiative contained in the budget for fee-for-service) exceeds the ceiling price for the drug, the drug state fiscal year 2016/2017 is $2.4 million. manufacturer will be required to provide rebates to the Department, in

86 NYS Register/March 30, 2016 Miscellaneous Notices/Hearings addition to any rebates payable to the Department pursuant any other PUBLIC NOTICE provision of federal or state law. Office for People with Developmental Disabilities and The estimated annual net aggregate decrease in gross Medicaid Department of Health expenditures attributable to this initiative contained in the budget for Pursuant to 42 CFR Section 447.205, the New York State Office state fiscal year 2016/2017 is ($12 million). for People with Developmental Disabilities (OPWDD) and the New D Effective October 1, 2016, fee-for-service reimbursement for a York State Department of Health hereby gives public notice of the pharmacy prescription drug designated as a specialty drug by one or following: more Medicaid managed care providers will not exceed the amount OPWDD and the Department of Health proposes to amend the Title such providers pay for the drug, as determined by the commissioner XIX (Medicaid) State Plan for non-institutional services related to the based on managed care providers’ claim encounter data for the drug. qualifications for OPWDD covered services to comply with proposed regulatory provisions. The following changes are proposed: The estimated annual net aggregate decrease in gross Medicaid expenditures attributable to this initiative contained in the budget for Effective on and after April 1, 2016, OPWDD will outline the qualifications for Independent Practitioner Services for Individuals state fiscal year 2016/2017 is ($3.7 million). with Developmental Disabilities (IPSIDD) that will be covered D Effective April 1, 2016, when the price of a generic prescription through the preventive services: Occupational Therapy; Physical drug dispensed to a NYS Medicaid enrollee (managed care or fee-for- Therapy; Speech and Language Pathology; and Psychotherapy. Ad- service) increases at a rate greater than the rate of inflation, the com- ditionally, OPWDD will show the Current Procedural Terminology missioner of health is authorized to require the drug manufacturer to (CPT) codes that will be covered and include a clarification that the provide rebates to the Department, in addition to any rebates payable Applied Behavioral Science Specialist (ABSS) title will not be limited to the Department pursuant any other provision of federal or state law. to the treatment of individuals with an autism spectrum diagnosis. The estimated annual net aggregate decrease in gross Medicaid The public is invited to review and comment on this proposed State expenditures attributable to this initiative contained in the budget for Plan Amendment. Copies of which will be available for public review state fiscal year 2016/2017 is ($47.5 million) and state fiscal year on the Department’s website at http://www.health.ny.gov/regulations/ 2017/2018 ($47.5 million). stateplans/status. The overall estimated annual net aggregate decrease in gross Copies of the proposed State Plan Amendments will be on file in Medicaid expenditures attributable to reform and other initiatives each local (county) social services district and available for public contained in the budget for state fiscal year 2016/2017 is ($107.4 mil- review. lion); and the estimated annual net aggregate increase in gross For the New York City district, copies will be available at the fol- Medicaid expenditures attributable to an extension of upper payment lowing places: limit (UPL) payments for state fiscal year 2016/2017 in $2.2 billion. The public is invited to review and comment on this proposed State New York County Plan Amendment. Copies of which will be available for public review 250 Church Street on the Department’s website at http://www.health.ny.gov/regulations/ New York, New York 10018 stateplans/status. Copies of the proposed State Plan Amendments will be on file in Queens County, Queens Center each local (county) social services district and available for public 3220 Northern Boulevard review. Long Island City, New York 11101 For the New York City district, copies will be available at the following places: Kings County, Fulton Center 114 Willoughby Street New York County Brooklyn, New York 11201 250 Church Street New York, New York 10018 Bronx County, Tremont Center 1916 Monterey Avenue Queens County, Queens Center Bronx, New York 10457 3220 Northern Boulevard Long Island City, New York 11101 Richmond County, Richmond Center 95 Central Avenue, St. George Kings County, Fulton Center Staten Island, New York 10301 114 Willoughby Street For further information and to review and comment, please contact: Brooklyn, New York 11201 Department of Health, Division of Finance and Rate Setting, 99 Washington Ave. – One Commerce Plaza, Suite 1460, Albany, NY Bronx County, Tremont Center 12210, e-mail: spa[email protected] 1916 Monterey Avenue Bronx, New York 10457 PUBLIC NOTICE Department of State Richmond County, Richmond Center F-2016-0033 95 Central Avenue, St. George Date of Issuance – March 30, 2016 Staten Island, New York 10301 The New York State Department of State (DOS) is required by Federal regulations to provide timely public notice for the activities For further information and to review and comment, please contact: described below, which are subject to the consistency provisions of Department of Health, Division of Finance and Rate Setting, 99 the Federal Coastal Zone Management Act of 1972, as amended. Washington Ave. – One Commerce Plaza, Suite 1460, Albany, NY The applicant has certified that the proposed activity complies with 12210, e-mail: spa[email protected] and will be conducted in a manner consistent with the approved New

87 Miscellaneous Notices/Hearings NYS Register/March 30, 2016

York State Coastal Management Program. The applicant's consis- ments can also be submitted electronically via email at: tency certification and accompanying public information and data are [email protected]. available for inspection at the New York State Department of State of- This notice is promulgated in accordance with Title 15, Code of fices located at One Commerce Plaza, 99 Washington Avenue, in Federal Regulations, Part 930. Albany, New York and at http://www.dos.ny.gov/opd/programs/pdfs/ Consistency/F-2016-0033 PN materials.pdf. In F-2016-0033, Tom and Linda Kunz, are proposing the Kunz PUBLIC NOTICE Patio and Dock project at 2780 Old Edgemere in the Town of Greece, Department of State Monroe County. The proposal involves the construction of a 12 foot F-2016-0188 (DA) by 50 foot open pile patio (8 feet by 50 feet of which would be Date of Issuance – March 30, 2016 waterward of the ordinary high water mark) with an 8 foot by 20 foot open pile dock extending from the patio. The New York State Department of State (DOS) is required by Federal regulations to provide timely public notice for the activities The stated purpose of the project is “water access.” described below, which are subject to the consistency provisions of Any interested parties and/or agencies desiring to express their the Federal Coastal Zone Management Act of 1972, as amended. views concerning any of the above proposed activities may do so by The U.S. Coast Guard (USCG) has determined that the proposed filing their comments, in writing, no later than 4:30 p.m., 30 days activity will be undertaken in a manner consistent to the maximum from the date of publication of this notice, or, April 29, 2016. extent practicable with the enforceable policies of the New York State Comments should be addressed to the Consistency Review Unit, Coastal Management Program. The applicant's consistency determi- Department of State, Office of Planning and Development, One Com- nation and accompanying supporting information and data are avail- merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474- able for inspection at the New York State Department of State offices 6000, Fax (518) 473-2464. Electronic submissions can be made by located at One Commerce Plaza, 99 Washington Avenue in Albany, email at: [email protected]. New York. This notice is promulgated in accordance with Title 15, Code of In F-2016-0188 (DA), the USCG is proposing to demolish the Federal Regulations, Part 930. wharf, including a sheet pile bulkhead, of its waterfront facility on Fishers Island. The facility is located in Silver Eel Cove, Town of PUBLIC NOTICE Southold, Long Island, New York. The purpose of the project is to improve safety at the site and return a no longer used portion of the Department of State constructed waterfront to a more natural condition. F-2016-0148 (DA) The proposed project includes removal of about 95 linear feet of Date of Issuance – March 30, 2016 corroded sheet pile bulkhead, a 1400 square foot, 8” thick concrete The New York State Department of State (DOS) is required by pad, and 10 timber fender piles. The removed bulkhead will be Federal regulations to provide timely public notice for the activities replaced by either a concrete block gravity wall and/or sloped rock described below, which are subject to the consistency provisions of riprap on the foreshore. the Federal Coastal Zone Management Act of 1972, as amended. Any interested parties and/or agencies desiring to express their The U.S. Army Corps of Engineers - New York District (ACOE) views concerning the above proposed activities may do so by filing has determined that the proposed activity will be undertaken in a man- their comments, in writing, no later than 4:30 p.m., 15 days from the ner consistent to the maximum extent practicable with the enforceable date of publication of this notice, or, April 14, 2016. policies of the New York State Coastal Management Program. The Comments should be addressed to the Department of State, Consis- applicant's consistency determination and accompanying supporting tency Review Unit, One Commerce Plaza, 99 Washington Ave., Suite information and data are available for inspection at the New York 1010, Albany, NY 12231, (518) 474-6000, Fax (518) 474-6572. Com- State Department of State offices located at One Commerce Plaza, 99 ments can also be submitted electronically via email at: Washington Avenue in Albany, New York. [email protected]. In F-2016-0148 (DA), the ACOE is proposing to perform mainte- This notice is promulgated in accordance with Title 15, Code of nance dredging of the East River – South Brother Island Channel, Federal Regulations, Part 930. New York Federal Navigation Channel with placement of the dredged material for beneficial use at the Historic Area Remediation Site (HARS). The East River, South Brother Island Channel, Federal Navigation project was authorized by the River and Harbors Acts of 1915 and subsequently modified by the Rivers and Harbors Acts of 1916 to 1970. The purpose of the proposed project is to alleviate the effects of shoaling, assure safe navigation, and facilitate economical use of the East River – South Brother Island Channel by commercial interests. The proposed project includes dredging the channel wide shoal area immediately seaward of the turning basin to a depth of -35 feet plus 1 foot over depth Mean Lower Low Water using a mechanical dredge having a clamshell or bucket or similar plant. Approximately 367,000 cubic yards of material will be removed and placed at the HARS using a bottom dumping barge and following criteria established by the Environmental Protection Agency. The channel was last dredged in 2011 with the removal of approximately 224,000 cubic yards of material placed at the HARS. 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, April 14, 2016. Comments should be addressed to the Department of State, Consis- tency Review Unit, One Commerce Plaza, 99 Washington Ave., Suite 1010, Albany, NY 12231, (518) 474-6000, Fax (518) 474-6572. Com-

88 XECUTIV E ORDERS E

Executive Order No. 147.3: A Special Prosecutor to Investigate and Prosecute Matters Relating to the Deaths of Civilians Caused by Law Enforcement Officers. In view of the request of Attorney General Eric T. Schneiderman, my order and requirement, embodied in Executive Order Number one hundred and forty seven, dated July 8, 2015, is hereby amended to include two additional paragraphs to the penultimate paragraph as amended by Executive Order Number 147.1, to read as follows: FURTHER, the requirement imposed on the Special Prosecutor by this Executive Order shall include the investigation, and if warranted, prosecution: (b) of any and all unlawful acts or omissions or alleged unlawful acts or omissions by any law enforcement officer, as listed in subdivision 34 of section 1.20 of the Criminal Procedure Law, arising out of, relating to or in any way connected with the death of Joseph Seguin on November 30, 2015, in Putnam County. (c) of any and all unlawful acts or omissions or alleged unlawful acts or omissions by any law enforcement officer, as listed in subdivision 34 of section 1.20 of the Criminal Procedure Law, arising out of, relating to or in any way connected with the death of Miguel Espinal on December 8, 2015, in Westchester County.

(L.S.) GIVEN under my hand and the Privy Seal of the State in the City of Albany this seventh day of March in the year two thousand sixteen.

BY THE GOVERNOR /S/ Andrew M. Cuomo /s/ William J. Mulrow Secretary to the Governor