issue 22 registe new york state r - dos.ny.gov

May 30, 2018 DEPARTMENT OF STATEVol. XL Division of Administrative RulesIssue 22

NEW YORK STATE

REGISTER

INSIDE THIS ISSUE:

D Inmate Confinement and DeprivationD Establishment and Operation of Market Stabilization Mechanisms for Certain Health

Insurance MarketsD Supplementary Uninsured/Underinsured Motorists Insurance

Notice of Availability of State and Federal FundsExecutive OrdersFinancial 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 60 days following publication in the

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

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

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

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

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

the close of business on the next succeeding workday.

For notices published in this issue:

– the 60-day period expires on July 29, 2018– the 30-day period expires on June 29, 2018

ANDREW M. CUOMOGOVERNOR

ROSSANA ROSADOSECRETARY OF STATE

NEW YORK STATE DEPARTMENT OF STATE

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Be a part of the rule making process!

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

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

and Emergency Revised Proposed rule makings.

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

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

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

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

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

comment.

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

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

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

ment period.

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

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

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

views to ARRC:

Administrative Regulations Review Commission

State Capitol

Albany, NY 12247

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

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NEW YORK STATE

REGISTER

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

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

Rule Making ActivitiesCivil Service, Department of

1 / Jurisdictional Classification (A)

Correction, State Commission of

5 / Inmate Confinement and Deprivation (RP)

Financial Services, Department of

7 / Establishment and Operation of Market Stabilization Mechanisms for Certain Health InsuranceMarkets (E)

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

13 / Supplementary Uninsured/Underinsured Motorists Insurance (EP)

Health, Department of

15 / Criminal History Record Checks and Advanced Home Health Aides (P)

Mental Health, Office of

18 / Early Periodic Screening, Diagnostic and Treatment Services for Children (A)

Public Service Commission

20 / Transfer of Control (A)

21 / Use of Unspent Funds Previously Allocated to the NY-Sun Initiative for Years 2014 and 2015 (P)

21 / Intent to Submeter Electricity and Requested Waiver of the Energy Audit Requirement (P)

21 / Intent to Submeter Electricity (P)

22 / Expand the SmartCharge New York Program to Include Medium-Duty and Heavy-Duty ElectricVehicles (P)

Transportation, Department of

22 / Preservation of Consistency with 49 CFR Safety Regulations Applicable to Commercial Motor Car-riers in New York State (W)

22 / Electric Powered Motor Vehicle Equipment (P)

Hearings Scheduled for Proposed Rule Makings / 24Action Pending Index / 27

Securities Offerings

71 / State Notices

Advertisements for Bidders/Contractors

73 / Sealed Bids

Notice of Availability of State and Federal Funds

75 / Environmental Conservation, Department of

Miscellaneous Notices/Hearings

77 / Notice of Abandoned Property Received by the State Comptroller

77 / Notice of Public Hearing

77 / Public Notice

New York State Register May 30, 2018/Volume XL, Issue 22

Executive Orders

81 / Executive Order No. 170.1: Amendment to Executive Order 170 - State Policy Concerning Im-migrant Access to State Services and Buildings.

81 / Executive Order No. 180.1: Continuing the Temporary Suspension of Provisions Relating to theDeclaration of a Public Housing Disaster in the Counties of Bronx, Kings, New York, Queens,and Richmond.

Financial Reports / 83

RULE MAKINGACTIVITIES

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

AAM -the abbreviation to identify the adopting agency

01 -the State Register issue number

96 -the year

00001 -the Department of State number, assigned uponreceipt of notice.

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

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

Department of Civil Service

NOTICE OF ADOPTION

Jurisdictional Classification

I.D. No. CVS-30-17-00006-A

Filing No. 453

Filing Date: 2018-05-11

Effective Date: 2018-05-30

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

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

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

Subject: Jurisdictional Classification.

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

Text or summary was published in the July 26, 2017 issue of the Register,I.D. No. CVS-30-17-00006-P.

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

Text of rule and any required statements and analyses may be obtainedfrom: Jennifer Paul, NYS Department of Civil Service, Empire StatePlaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email:[email protected]

Assessment of Public Comment

The agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-30-17-00007-A

Filing No. 461







Purpose: To classify positions in the exempt class.






NOTICE OF ADOPTION


I.D. No. CVS-30-17-00008-A

Filing No. 455







Purpose: To classify a position in the exempt class.






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NOTICE OF ADOPTION


I.D. No. CVS-30-17-00009-A

Filing No. 454




Action taken: Amendment of Appendix 1 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To classify a position in the exempt class.Text or summary was published in the July 26, 2017 issue of the Register,I.D. No. CVS-30-17-00009-P.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Jennifer Paul, NYS Department of Civil Service, Empire StatePlaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email:[email protected] of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-30-17-00010-A

Filing No. 458




Action taken: Amendment of Appendix 1 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To delete a position from and classify a position in the exemptclass.Text or summary was published in the July 26, 2017 issue of the Register,I.D. No. CVS-30-17-00010-P.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Jennifer Paul, NYS Department of Civil Service, Empire StatePlaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email:[email protected] of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-30-17-00011-A

Filing No. 457







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




Assessment of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-30-17-00013-A

Filing No. 460







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





NOTICE OF ADOPTION


I.D. No. CVS-30-17-00015-A

Filing No. 456












NOTICE OF ADOPTION


I.D. No. CVS-30-17-00016-A

Filing No. 462









NYS Register/May 30, 2018Rule Making Activities

2

Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Jennifer Paul, NYS Department of Civil Service, Empire StatePlaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email:[email protected] of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-30-17-00017-A

Filing No. 459




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





NOTICE OF ADOPTION


I.D. No. CVS-30-17-00019-A

Filing No. 463












NOTICE OF ADOPTION


I.D. No. CVS-30-17-00020-A

Filing No. 464




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



Purpose: To delete positions from and classify positions in the exemptclass and to delete positions from the non-competitive class.Text or summary was published in the July 26, 2017 issue of the Register,I.D. No. CVS-30-17-00020-P.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Jennifer Paul, NYS Department of Civil Service, Empire StatePlaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email:[email protected] of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-30-17-00021-A

Filing No. 465




Action taken: Amendment of Appendix 2 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To add a subheading and to classify positions in the non-competitive class.Text or summary was published in the July 26, 2017 issue of the Register,I.D. No. CVS-30-17-00021-P.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Jennifer Paul, NYS Department of Civil Service, Empire StatePlaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email:[email protected] of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-30-17-00022-A

Filing No. 467




Action taken: Amendment of Appendix 1 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To classify positions in the exempt class.Text or summary was published in the July 26, 2017 issue of the Register,I.D. No. CVS-30-17-00022-P.




NOTICE OF ADOPTION


I.D. No. CVS-30-17-00023-A

Filing No. 466




NYS Register/May 30, 2018 Rule Making Activities

3




Purpose: To classify positions in the exempt and non-competitive classes.






NOTICE OF ADOPTION


I.D. No. CVS-33-17-00002-A

Filing No. 471








Text or summary was published in the August 16, 2017 issue of the Reg-ister, I.D. No. CVS-33-17-00002-P.





NOTICE OF ADOPTION


I.D. No. CVS-33-17-00003-A

Filing No. 469













NOTICE OF ADOPTION


I.D. No. CVS-33-17-00004-A

Filing No. 474




Action taken: Amendment of Appendix 2 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To classify positions in the non-competitive class.Text or summary was published in the August 16, 2017 issue of the Reg-ister, I.D. No. CVS-33-17-00004-P.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Jennifer Paul, NYS Department of Civil Service, Empire StatePlaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email:[email protected] of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-33-17-00005-A

Filing No. 472




Action taken: Amendment of Appendix 2 of Title 4 NYCRR.Statutory authority: Civil Service Law, section 6(1)Subject: Jurisdictional Classification.Purpose: To delete a position from and classify a position in the non-competitive class.Text or summary was published in the August 16, 2017 issue of the Reg-ister, I.D. No. CVS-33-17-00005-P.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Jennifer Paul, NYS Department of Civil Service, Empire StatePlaza, Agency Building 1, Albany, NY 12239, (518) 473-6598, email:[email protected] of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION


I.D. No. CVS-33-17-00006-A

Filing No. 468












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NOTICE OF ADOPTION


I.D. No. CVS-33-17-00007-A

Filing No. 470













NOTICE OF ADOPTION


I.D. No. CVS-33-17-00008-A

Filing No. 473







Purpose: To classify positions in the exempt and non-competitive classes.

Text of final rule: Amend Appendix 2 of the Rules for the Classified Ser-vice, listing positions in the non-competitive class, in the ExecutiveDepartment under the subheading “Division of Homeland Security andEmergency Services,” by adding thereto the positions of Homeland Secu-rity Program Analyst 3 (5), Intelligence Analyst 1 (Information Systems)(4) and Intelligence Analyst 2 (Information Systems) (2), and by increas-ing the number of positions of Homeland Security Program Analyst 1from 7 to 58 and Homeland Security Program Analyst 2 from 4 to 14; and

Amend Appendix 1 of the Rules for the Classified Service, listing posi-tions in the exempt class, in the Executive Department under the subhead-ing “Division of Homeland Security and Emergency Services,” by increas-ing the number of positions of Special Assistant from 18 to 19.

Final rule as compared with last published rule: Nonsubstantive changeswere made in Appendix 2.


Revised Regulatory Impact Statement, Regulatory Flexibility Analysis,Rural Area Flexibility Analysis and Job Impact Statement

Changes made to the last published rule do not necessitate revision to thepreviously published Regulatory Impact Statement, Regulatory FlexibilityAnalysis, Rural Area Flexibility Analysis and Job Impact Statement.



State Commission ofCorrection

REVISED RULE MAKING

NO HEARING(S) SCHEDULED

Inmate Confinement and Deprivation

I.D. No. CMC-44-17-00012-RP

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

Proposed Action: Addition of Part 7075, sections 7004.7, 7005.12,7006.9(d), 7025.5, 7028.6(c), 7040.4(f), (g), 7040.5(e) and (f); amend-ment of sections 7003.3(j)(6), 7006.7(c), 7006.9(a)(5), 7006.11(a),7013.10(c), 7022.2(a), 7024.11, 7026.3, 7028.2(d), 7070.7(h) and (j) ofTitle 9 NYCRR.Statutory authority: Correction Law, section 45(6) and (15)Subject: Inmate confinement and deprivation.Purpose: Require local correctional facilities to record, review and reportinmate cell confinement and essential service deprivation.Substance of revised rule (Full text is posted at the following Statewebsite: www.scoc.ny.gov): A new Part 7075 of Title 9 NYCRR isestablished that generally requires:

(a) disciplinary or administratively segregated inmates must be allowedout of their cells for a minimum of four (4) hours a day;

(b) disciplinary or administratively segregated inmates who are undereighteen (18) years of age or pregnant must be allowed out of their cellsfor a minimum of four (4) hours a day, exclusive of entitled exerciseperiods;

(c) a jail’s chief administrative officer (CAO) may deny an inmate suchfour (4) hour period only when it would pose a threat to the safety, secu-rity or good order of the facility;

(d) any CAO determination to deny such four (4) hour period must bereviewed at least every seven (7) days;

(e) any disciplinary or administrative segregation of an inmate who isunder 18 years of age, known to be pregnant, within eight (8) weeks ofdelivery or pregnancy outcome, mentally or physically disabled, or chroni-cally mentally ill must be reviewed at intervals not to exceed seven (7)days, with such review to include consultation with appropriate facilityhealth staff;

(f) essential services (any items or services guaranteed inmates byregulation, such as clothing, outdoor exercise, toiletries, books, bedding,religious services, etc.) may not be withheld as punishment;

(g) jail CAO may only deny an essential service where necessary topreserve the safety, security or good order of the facility;

(h) any CAO decision to withhold an essential service must be reviewedevery seven (7) days; and

(i) any such CAO determination or review must be made in writing,shall state the specific reasons considered, and be maintained in a central-ized record.

Existing SCOC jail regulations are amended to require the following:(a) reporting of certain inmate cell confinement and essential service

deprivation to SCOC;(b) segregated inmates who are pregnant or under eighteen (18) years of

age shall be entitled to two (2) hours of daily exercise;(c) daily CAO review of any educational services denial or restriction;

and(d) cell plumbing may be turned off only when necessary for facility

safety and security, but inmate must be allowed to flush the toilet and beprovided access to a sink at two (2) hour intervals.

Revised rule compared with proposed rule: Substantial revisions weremade in sections 7075.1, 7075.3, 7075.4(c), (f), 7013.10(c), 7040.4(g) and7040.5(f).

Text of revised proposed rule and any required statements and analysesmay be obtained from Deborah Slack-Bean, Senior Attorney, New YorkState Commission of Correction, Alfred E. Smith State Office Building,80 S. Swan Street, 12th Floor, Albany, New York 12210, (518) 485-2346,email: [email protected]

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

Public comment will be received until: 30 days after publication of thisnotice.

Revised Regulatory Impact Statement1. Statutory authority:Subdivision (6) of section 45 of the Correction Law authorizes the Com-


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mailto: [email protected]

mission to promulgate rules and regulations establishing minimum stan-dards for the care, custody, correction, treatment, supervision, discipline,and other correctional programs for all person confined in the correctionalfacilities of New York State. Subdivision (15) of section 45 of the Correc-tion Law allows the Commission to adopt, amend or rescind such rulesand regulations as may be necessary or convenient to the performance ofits functions, powers and duties.

2. Legislative objectives:By vesting the Commission with this rulemaking and oversight author-

ity, the Legislature intended the Commission to enact regulations that bet-ter enable the agency to identify and monitor local correctional facilitiesfor misuse of inmate cell confinement or essential service deprivation.

3. Needs and benefits:While New York State Correction Law provides jail administrators the

discretion and authority to confine inmates as necessary for order and dis-cipline, there exists no statutory or regulatory requirement that suchdeterminations and their justification be documented, reviewed on a timelybasis to assess if continuation is warranted, or reported to the New YorkState Commission of Correction (SCOC), as the jail oversight and regula-tory entity. Consequently, SCOC’s ability to sufficiently monitor and over-see such confinement, and deprivations of essential inmate services, islimited by an absence of regulations requiring jails to record, review andreport this activity.

Recent, publicized civil rights actions, SCOC field work, and formalinmate grievances appealed to SCOC’s Citizen’s Policy and ComplaintReview Council have revealed a prevalent misuse of solitary confinementand deprivation of essential services in county jails, particularly as appliedto the 16 and 17-year-old inmate population. Such confinement hasincluded the solitary segregation of inmates, for insufficient reasons andprolonged periods, that likely violate the Eighth and Fourteenth Amend-ments of the U.S. Constitution. Similar unlawful and unconstitutionalinmate treatment has occurred in jails’ improper deprivation of essentialinmate services, such as access to health services, participation incompulsory educational services, the provision of clothing, bedding andtoiletries, access to printed materials and publications, participation in out-door exercise, and access to religious services and materials.

As a resolution, SCOC has developed local correctional facility regula-tions which provide segregated inmates a presumptive minimum of four(4) hours a day out of their cell and continuous access to all essentialservices. Segregated inmates under the age of eighteen (18) years, andsegregated inmates who are known to be pregnant, are provided apresumptive minimum of four (4) hours a day out of their cell, exclusiveof an entitled two (2) hours of recreation time. While the four (4) hour pe-riod and access to essential services may be denied when necessary topreserve facility safety and security, the regulations require the facilityadministration to record, review and report such determinations in a man-ner that allows for sufficient oversight by SCOC.

4. Costs:a. Costs to regulated parties for the implementation of and continuing

compliance with the rule: Minimal. Any determination by local cor-rectional facility administrators to deny segregated inmates four (4) hoursout-of-cell time, to segregate any inmate under the age of eighteen (18), orknown to be pregnant, within eight (8) weeks of delivery or pregnancyoutcome, mentally or physically disabled, or chronically mentally ill, or todeny an essential inmate service to any inmate must be made in writing,reviewed every seven (7) days, and in certain circumstances reported toSCOC. Consequently, compliance with the proposed rule would resultonly in minimal costs associated with such recordkeeping and reporting.

b. Costs to the agency, the state and local governments for the implemen-tation and continuation of the rule: None. The regulation does not apply tostate agencies or governmental bodies. As set forth above in subdivision(a), any additional costs to local governments would be minimal.

c. This statement detailing the projected costs of the rule is based uponthe Commission’s oversight and experience relative to the operation andfunction of a local correctional facility.

5. Local government mandates:The regulation imposes a duty on local correctional facilities to provide

segregated inmates a presumptive minimum of 4 hours a day out of theircell and continuous access to all essential services. While the 4 hour pe-riod and access to essential services may be denied when necessary topreserve facility safety and security, the regulations require the jail to rec-ord, review and report such determinations in a manner that allows forsufficient oversight.

6. Paperwork:As set forth above, any determination by local correctional facility

administrators to deny segregated inmates four (4) hours out-of-cell time,to segregate any inmate under the age of eighteen (18), or known to bepregnant, within eight (8) weeks of delivery or pregnancy outcome,mentally or physically disabled, or chronically mentally ill, or to deny anessential inmate service to any inmate must be made in writing, reviewedevery seven (7) days, and in certain circumstances reported to SCOC.

7. Duplication:The rule does not duplicate any existing State or Federal requirement.8. Alternatives:The alternative, not promulgating regulations requiring local cor-

rectional facilities to record, review and report determinations to subjectinmates to cell confinement and deprive essential inmate services, wasdismissed by SCOC due to the agency’s immediate need to sufficientlymonitor and oversee such confinement and deprivation.

9. Federal standards:There are no applicable minimum standards of the federal government.10. Compliance schedule:Each local correctional facility is expected to be able to achieve compli-

ance with the proposed rule immediately.

Revised Regulatory Flexibility AnalysisA regulatory flexibility analysis is not required pursuant to subdivisionthree of section 202-b of the State Administrative Procedure Act becausethe rule does not impose an adverse economic impact on small businessesor local governments. The proposed rule seeks only to establish regula-tions requiring local correctional facilities to record, review and reportcertain determinations to confine an inmate to a cell or deprive an inmateof essential services. Considering that such determinations are relativelyinfrequent, it will not have an adverse impact on small businesses or localgovernments, nor impose any additional significant reporting, record keep-ing, or other compliance requirements on small businesses or localgovernments.

Revised Rural Area Flexibility AnalysisA rural area flexibility analysis is not required pursuant to subdivision fourof section 202-bb of the State Administrative Procedure Act because therule does not impose an adverse impact on rural areas. The proposed ruleseeks only to establish regulations requiring local correctional facilities torecord, review and report certain determinations to confine an inmate to acell or deprive an inmate of essential services. Considering that suchdeterminations are relatively infrequent, it will not impose an adverse eco-nomic impact on rural areas, nor impose any additional significant recordkeeping, reporting, or other compliance requirements on private or publicentities in rural areas.

Revised Job Impact StatementA job impact statement is not required pursuant to subdivision two of sec-tion 201-a of the State Administrative Procedure Act because the rule willnot have a substantial adverse impact on jobs and employment opportuni-ties, as apparent from its nature and purpose. The proposed rule seeks onlyto establish regulations requiring local correctional facilities to record,review and report certain determinations to confine an inmate to a cell ordeprive an inmate of essential services. As such, there will be no impacton jobs and employment opportunities.

Assessment of Public CommentIn all, the New York State Commission of Correction (hereinafter

“Commission”) received numerous formal comments from members ofthe public, advocacy groups, and members of the New York StateLegislature.

A preponderance of the comments received expressed the same threeopinions. First, that the proposed regulations are inadequate in that noduration limitations were set for inmate punitive or administrativesegregation. Second, that the proposed regulations provide correctional fa-cility administrators “excessive discretion” in imposing punitive oradministrative segregation. Finally, the Commission was urged toreformulate the regulations to mirror, and that the New York StateLegislature should adopt, the Humane Alternatives to Long-Term (HALT)Solitary Confinement Act (A.3080/S.4784), a bill currently pending inboth the New York State Senate and Assembly, that establishes a maximumof 15 consecutive days in solitary confinement, prohibits the use of solitaryconfinement for inmates 21 and younger, and requires congregateprogramming for out-of-cell time. Similarly, a commenter urged that theproposed regulations be amended to align with another bill (A.1905A/S.5241) and a companion bill (A.1610/S.4795) that would allow the use ofsolitary confinement “only as a measure of last report for the minimum pe-riod of time needed to maintain order or discipline in a facility,” and pro-hibit the use of solitary confinement on inmates under the age of 21,pregnant women and new mothers, inmates afflicted with a physical,developmental or mental disability, and other vulnerable populations.

Correction Law section 137(6), applicable to local correctional facili-ties by means of Correction Law section 500-k, permits correction of-ficials to “keep any inmate confined in a cell or room… for such period asmay be necessary for maintenance of order or discipline.” The New YorkState Court of Appeals has held that the Correction Law thus gives correc-tion officials “broad discretion in the formulation and implementation ofpolicies relating to security and to the disciplining of inmates [emphasis


6

added].” Arteaga v. State, 72 N.Y.2d 212, 217 (1988); see also Allah v.Coughlin, 190 A.D.2d 233, 236 (3d. Dept. 1993). Administrative stateagencies, such as the Commission, “can only promulgate rules to furtherthe implementation of the law as it exists; they have no authority to createa rule out of harmony with the statute” being implemented. Jones v. Ber-man, 37 N.Y.2d 42, 53 (1975); see also McNulty v. Chinlund, 62 A.D.2d682, 688 (3d Dept. 1978). Consequently, it has historically been the Com-mission’s position that the promulgation of regulations that otherwiselimit the statutory authority granted exclusively to correction officialswould exceed its enabling powers. Nonetheless, it is the Commission’sintention, by adopting the regulations, to ensure that determinations toconfine inmates to a cell, or deprive inmates of essential services, are jus-tified and documented, reviewed on a timely basis to assess if continuationis warranted, and reported to the Commission. Thereafter, the Commis-sion’s ability to monitor and oversee such confinement, and the depriva-tions of essential inmate services, will be sufficient to identify andinvestigate potential abuses. Nevertheless, the revised rulemaking pro-posal has expanded the scope of the chief administrative officer’s sevenday review of inmate segregation to include inmates “within eight (8)weeks of delivery or pregnancy outcome, mentally or physically disabled,or chronically mentally ill.”

Several received comments requested that the Commission should firsthold a public hearing before promulgating the proposed regulations, andcriticized the Commission for failing to first consult with recognizedexperts in the fields of corrections, health and mental health. Additionally,one commenter suggested that the Commission “has not provided an ade-quate basis to justify” the proposed regulation’s requirement that segre-gated inmates are provided a presumptive minimum of four (4) hours aday out of their cell. Each of the current members of the Commission haspreviously served as a county sheriff and have extensively served in othervarious law enforcement and correctional capacities. Additionally, thedisciplines of medicine and psychiatry are well represented on the Com-mission’s Correctional Medical Review Board, which continues to serveas a vital point of reference to the Commission. Relying on this expertiseand intimate knowledge of the day to day operations of a local correctionalfacility in New York State, the Commission finds that the regulation servesas an appropriate balance between the inmates’ well-being and theoperational limitations of the facilities. Other commenters protested thatthe regulations are not applicable to state prisons. Due to the vastoperational differences between state and local correctional facilities, theCommission maintains separate bodies of regulations for each. Ascompared to local correctional facilities, the authority of the New YorkState Department of Corrections and Community Supervision (DOCCS)to confine inmates to a cell is more stringently controlled by statute andjudicial order, rendering the application of the present regulations toDOCCS facilities without benefit.

Several comments criticized that the regulations lacked specific, ad-ditional reporting requirements for inmate cell confinement and essentialservice deprivation, and also suggested that the proposed regulationsshould contain requirements that local correctional facilities issue publicreports regarding the same. It should be noted that the Commission’sspecific reporting requirements for local correctional facilities are notcontained in the body of regulations, but rather published in the Report-able Incident Manual for County Jails and the New York City Departmentof Correction. By adding “deprivation/limitation of essential services” and“inmate cell confinement” as reportable incident categories in 9 NYCRRsection 7022.2, the Commission is now able to establish various reportingrequirements on these categories in the manual. To date, any required pub-lic reporting by local correctional facilities has been mandated by statute,and the Commission does not find a necessity for such additionalregulation.

Similarly, several commenters suggested regulation to provide forrequired programming of confined inmates during their “out-of-cell” time.It must be noted that this body of regulations applies equally to all localcorrectional facilities throughout the State, of various resources, from the6-bed jail in Hamilton County to the expansive facilities of the New YorkCity Department of Correction on Rikers Island. This, coupled with thetransient inmate populations and more frequent court appearances andvisitation experienced by local correctional facilities, as compared to stateprisons, makes such a requirement currently impractical.

With regard to specific provisions of the regulation, one commentexpressed concern that facilities will confuse the provisions of section7075.4(e), which set forth the requirements for denying minor andpregnant time outside his or her cell, with the provisions of section7070.7(c), which set forth the permissible instances in which an eligibleyouth may be denied participation in educational services. As the regula-tions clearly set forth the required criteria that must be found in each typeof determination, the Commission is confident local correctional facilitieswill be able to comprehend and correctly follow both regulations.Similarly, one comment suggested that provisions be added to the regula-

tions that required health staff to assess inmates placed in segregatedconfinement. It should be noted that Correction Law section 137(6)(c) cur-rently requires a daily examination of any inmate when confined to a cellin excess of 24 hours. With regard to weekly review of any segregatedinmate under the age of eighteen (18) years, an inmate who is known bysecurity, health or mental health personnel to be pregnant, within eight (8)weeks of delivery or pregnancy outcome, mentally or physically disabled,or chronically mentally ill, the revised rulemaking proposal now requiresthe chief administrative officer to first consult with the jail physician, fa-cility medical director, or other qualified, knowledgeable facility healthstaff. The same commenter also suggested that the Commission amend itsdisciplinary rules to accommodate inmates with disabilities to ensure dueprocess of law. The Commission views this as unnecessary, as 9 NYCRR§ 7006.6(a) currently requires a facility to provide assistance to any inmatewho “is non-English speaking, illiterate, or for any other reason is unableto prepare a defense.” With regard to the regulatory provisions allowingthe facility chief administrative to render toilets and sinks nonfunctioning,one comment criticized the lack of a required review of any suchdetermination. The Commission agrees that such review is necessary, andthe revised rulemaking proposal requires a review and written determina-tion to continue or cease the initial order at intervals not to exceed twenty-four (24) hours.

Lastly, three commenters requested an extension to the proposal’s pub-lic comment period, to “allow for a more complete analysis of the proposedregulations and to provide all stakeholders with a meaningful opportunityto review, submit comment, and assess what impacts the regulations wouldhave on their respective facilities, staff and inmates.” Since publication ofthe regulatory proposal, members of the Commission’s administration metwith officials from the New York State Sheriffs’ Association, as well as anumber of county sheriffs, at which time a productive discussion of theproposed regulations, and the potential impact on facilities, was had. As aresult, the Commission is confident that local correctional facility officialshave had a sufficient period of time to review and assess the regulations,and Commission staff have answered, and will continue to answer, anyquestions and concerns.

Department of Financial Services

EMERGENCY

RULE MAKING

Establishment and Operation of Market StabilizationMechanisms for Certain Health Insurance Markets

I.D. No. DFS-18-17-00020-E

Filing No. 481




Action taken: Amendment of Part 361; and addition of section 361.9 toTitle 11 NYCRR.

Statutory authority: Financial Law, sections 202, 302; Insurance Law,sections 301, 1109 and 3233

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

Specific reasons underlying the finding of necessity: Insurance Law§ 3233 requires the Superintendent of Financial Services (“Superinten-dent”) to promulgate regulations to ensure an orderly implementation andongoing operation of the open enrollment and community rating require-ments in Insurance Law §§ 3231 and 4317, applicable to small groups andindividual health insurance policies and contracts, including membercontracts under Article 44 health maintenance organizations (“HMOs”)and Medicare Supplemental policies and contracts. The regulations mayinclude mechanisms designed to share risks or prevent undue variations inissuer claims costs. Pursuant to this mandate, the Superintendent promul-gated 11 NYCRR 361 (Insurance Regulation 146), under which theDepartment established risk adjustment for community rated small groupand individual health insurance and Medicare Supplemental policies andcontracts. Subsequently, the federal Affordable Care Act (“ACA”) requiredthe Center for Medicare and Medicaid Services to administer a risk adjust-ment program for the individual and small group health insurance markets,but not for Medicare Supplemental policies and contracts. A state may es-tablish its own risk adjustment program pursuant to 45 C.F.R.


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§ 153.310(a)(1). In addition, a U.S. Health and Human Services interimfinal rule, dated May 11, 2016, invites states to examine local approachesunder state legal authority to help ease the transition to new health insur-ance markets. See 81 Fed. Reg. at 29152. Starting with plan year 2014, theSuperintendent suspended New York’s risk adjustment program for indi-vidual and small group health insurance markets because of the ACA, andNew York’s individual and small group health insurance markets sincehave been subject only to the federal program.

This rule establishes a market stabilization pool for the small grouphealth insurance market for the 2017 plan year to ameliorate a possibledisproportionate impact that federal risk adjustment may have on insurersand HMOs (collectively, “carriers”), address the needs of the small grouphealth insurance market in New York, and prevent unnecessary instabilityin the health insurance market.

Carriers soon will begin binding coverage for policies written outsideof the health exchange. In addition, New York State of Health, the officialhealth insurance marketplace, has set September 9, 2016 as the date bywhich carriers must commit to selling certain policies or contracts on thehealth exchange. In order to implement the rule for the 2017 plan year andto minimize market issues, it is imperative that this rule be promulgatedon an emergency basis for the general welfare.

Subject: Establishment and Operation of Market Stabilization Mechanismsfor Certain Health Insurance Markets.

Purpose: To allow for the implementation of a market stabilization poolfor the small group health insurance market.

Text of emergency rule: The title of Part 361 is amended to read asfollows:

ESTABLISHMENT AND OPERATION OF MARKET STABILIZA-TION MECHANISMS FOR [INDIVIDUAL AND SMALL GROUP]CERTAIN HEALTH INSURANCE [AND MEDICARE SUPPLEMENTINSURANCE] MARKETS

The title of Section 361.6 is amended to read as follows:Section 361.6 Pooling of variations of costs attributable to high cost

claims beginning in 2006 through 2013 for individual and small grouppolicies, other than Medicare supplement and Healthy New York policies.

Section 361.9 is added to read as follows:Section 361.9 Market stabilization pools for the small group health in-

surance market for the 2017 plan year.(a)(1) The superintendent has been assessing the federal risk adjust-

ment program developed under the federal Affordable Care Act and itsimpact on the health insurance market in this State. In its simplest terms,the federal risk adjustment program requires that carriers whose insuredsor members have relatively better loss experience pay into the risk adjust-ment pool and those with relatively worse experience receive paymentfrom that pool. The broad purpose of the risk adjustment program is tobalance out the experience of all carriers.

(2) In certain respects, however, the calculations for the federal riskadjustment program do not take into account certain factors, resulting inunintended consequences. The department has been working cooperativelywith the Department of Health and Human Services and the Centers forMedicare and Medicaid Services (CMS) on risk adjustment. Recently,CMS has announced certain changes to the methodology. CMS has alsostated that it will continue to review the methodology in the future.

(3) The federal risk adjustment program has led to a situation inwhich some carriers in this State are receiving large payments out of therisk adjustment program that are paid by other carriers. For many ofthese other carriers, the millions to be paid represent a significant portionof their revenue. The money transfers among carriers in this State underthe federal risk adjustment program have been among the largest in thenation.

(4) CMS’s changes and planned reviews are much appreciated andanticipated. The superintendent will continue to work with CMS and hopesthat over time the federal risk adjustment program will be improved sothat it fully meets its intended purposes. The federal risk adjustmentmethodology as applied in this State does not yet adequately address theimpact of administrative costs and profit of the carriers and how this Statecounts children in certain calculations. These two factors are identifiable,quantifiable and remediable for the 2017 plan year in the small groupmarket.

(5) This section applies only to risk adjustment experience in thesmall group health insurance market for the 2017 plan year to be appliedto payments and receipts in 2018. The department will continue its reviewof the federal risk adjustment program and its impact on the individualand small group health insurance markets in this State. Among other is-sues, the department will continue to examine whether federal risk adjust-ment adequately accounts for demographic regional diversity in this State,as well as whether federal risk adjustment dissuades carriers from usingnetworks and plan designs that seek to integrate care and deliver value.The superintendent will take all necessary and appropriate action to ad-dress the impact on both markets in the future.

(b)(1) The superintendent anticipates that the federal risk adjustmentprogram will adversely impact the small group health insurance market inthis State in 2017 to such a degree as to require a remedy. Several factorsare expected to cause the adverse impact, including:

(i) the federal risk adjustment program results in inflated risk scoresand payment transfers in this State because the calculation is based inpart upon a medical loss ratio computation that includes administrativeexpenses, profits and claims rather than only using claims; and

(ii) the federal risk adjustment program results in inflated riskscores and payment transfers in this State because the program does notappropriately address this State’s rating tier structure. For this State, thefederal risk adjustment program alters the definition of billable membermonths to include a maximum of one child per contract in the billablemember month count. This understatement of billable member monthcounts: (a) lowers the denominator of the calculation used to determinethe statewide average premium and plan liability risk scores; (b) results inthe artificial inflation of both the statewide average premium and plan li-ability risk scores; and (c) further results in inflated payments transfersthrough the federal risk adjustment program.

(2) Accordingly, if, for the 2017 plan year, the superintendentdetermines that the federal risk adjustment program has adverselyimpacted the small group health insurance market in the State and thatamelioration is necessary, the superintendent shall implement a marketstabilization pool for carriers participating in the small group health in-surance market, other than for Medicare supplement insurance, pursuantto subdivision (e) of this section to ameliorate the disproportionate impactthat the federal risk adjustment program may have on carriers, to addressthe unique aspects of the small group health insurance market in this State,and to prevent unnecessary instability for carriers participating in thesmall group health insurance market in this State, other than for Medicaresupplement insurance.

(c) As used in this section, small group health insurance market meansall policies and contracts providing hospital, medical or surgical expenseinsurance, other than Medicare supplement insurance, covering one to100 employees.

(d) Following the annual release of the federal risk adjustment resultsfor the 2017 plan year, the superintendent shall review the impact of thefederal risk adjustment program established pursuant to 42 U.S.C. section18063 on the small group health insurance market in this State for thatplan year.

(e) If, after reviewing the impact of the federal risk adjustment programon the small group health insurance market in this State for the 2017 planyear, including payment transfers, the statewide average premiums, andthe ratio of claims to premiums, the superintendent determines that a mar-ket stabilization mechanism is a necessary amelioration, the superinten-dent shall implement a market stabilization pool in such market as follows:

(1) every carrier in the small group health insurance market that isdesignated as a receiver of a payment transfer from the federal risk adjust-ment program shall remit to the superintendent an amount equal to auniform percentage of that payment transfer for the market stabilizationpool. The uniform percentage shall be calculated as the percentage neces-sary to correct any one or more of the adverse market impact factors speci-fied in subdivision (b)(1) of this section. The uniform percentage shall bedetermined by the superintendent based on reasonable actuarial assump-tions and shall not exceed 30 percent of the amount to be received from thefederal risk adjustment program;

(i) the superintendent shall send a billing invoice to each carrierrequired to make a payment into the market stabilization pool after thefederal risk adjustment results are released pursuant to 45 CFR section153.310(e);

(ii) each carrier shall remit its payment to the superintendent withinten business days of the later of its receipt of the invoice from the superin-tendent or receipt of its risk adjustment payment from the Secretary of theUnited States Department of Health and Human Services pursuant to 42U.S.C. section 18063; and

(iii) payments remitted by a carrier after the due date shall includethe amount due plus compound interest at the rate of one percent permonth, or portion thereof, beyond the date the payment was due; and

(2) for the 2017 plan year:(i) every carrier in the small group health insurance market that is

designated as a payor of a payment transfer into the federal risk adjust-ment program shall receive from the superintendent an amount equal tothe uniform percentage of that payment transfer, referenced in paragraph(1) of this subdivision, from the market stabilization pool;

(ii) the superintendent shall send notification to each carrier of theamount the carrier will receive as a distribution from the market stabiliza-tion pool after the federal risk adjustment results are released; and

(iii) the superintendent shall make a distribution to each carrier af-ter receiving all payments from payors. However, nothing in this sectionshall preclude the superintendent from making a distribution prior toreceiving all payments from payors.


8

(f) The superintendent may modify the amounts determined in subdivi-sion (e) of this section to reflect any adjustments resulting from auditsrequired under 45 CFR section 153.630.

(g) In the event the payments received by the superintendent pursuantto subdivision (e)(1) of this section are less than the amounts payable pur-suant to subdivision (e)(2) of this section, the amount payable to each car-rier pursuant to this section shall be reduced proportionally to match thefunds available in the pool.

This notice is intended to serve only as a notice of emergency adoption.This agency intends to adopt the provisions of this emergency rule as apermanent rule, having previously submitted to the Department of State anotice of proposed rule making, I.D. No. DFS-18-17-00020-P, Issue ofMay 3, 2017. The emergency rule will expire July 13, 2018.

Text of rule and any required statements and analyses may be obtainedfrom: Laura Evangelista, NYS Department of Financial Services, OneState Street, New York, NY 10004, (212) 480-4738, email:[email protected]

Regulatory Impact Statement1. Statutory authority: Financial Services Law §§ 202 and 302 and In-

surance Law §§ 301, 1109, and 3233.Financial Services Law § 202 establishes the office of the Superinten-

dent of Financial Services (“Superintendent”). Financial Services Law§ 302 and Insurance Law § 301, in material part, authorize the Superinten-dent to effectuate any power accorded to the Superintendent by theFinancial Services Law, Insurance Law, or any other law, and to prescriberegulations interpreting the Insurance Law.

Insurance Law § 1109 subjects health maintenance organizations(“HMOs”) complying with Public Health Law Article 44 to certain sec-tions of the Insurance Law and authorizes the Superintendent to promul-gate regulations effecting the purpose and provisions of the Insurance Lawand Public Health Law Article 44.

Insurance Law § 3233 requires the Superintendent to promulgateregulations to assure an orderly implementation and ongoing operation ofthe open enrollment and community rating requirements in Insurance Law§§ 3231 and 4317, which may include mechanisms designed to share risksor prevent undue variations in insurer claims costs.

2. Legislative objectives: Insurance Law § 3233 requires the Superin-tendent to promulgate regulations to assure an orderly implementation andongoing operation of the open enrollment and community rating require-ments in Insurance Law §§ 3231 and 4317, applicable to small group andindividual health insurance policies and contracts, including membercontracts under Article 44 HMOs and Medicare Supplement policies andcontracts. The regulations may include mechanisms designed to sharerisks or prevent undue variations in claims costs. A risk adjustmentprogram is intended, in part, to reduce or eliminate premium differencesbetween insurers and HMOs (collectively, “carriers”) based solely onexpectations of favorable or unfavorable risk selection.

Pursuant to this mandate, the Superintendent promulgated 11 NYCRR361 (Insurance Regulation 146), under which the Department establishedrisk adjustment for community rated small group and individual health in-surance and Medicare Supplement policies and contracts. Subsequently,the federal Affordable Care Act (“ACA”) required the Center for Medicareand Medicaid Services (“CMS”) to administer a risk adjustment programfor the individual and small group health insurance markets, but not forMedicare Supplement policies and contracts. A state may establish its ownrisk adjustment program pursuant to 45 C.F.R. § 153.310(a)(1). In addi-tion, a U.S. Health and Human Services (“HHS”) interim final rule, datedMay 11, 2016, invites states to examine local approaches under state legalauthority to help ease the transition to new health insurance markets. See81 Fed. Reg. at 29152. Starting with policy year 2014, the Superintendentsuspended New York’s risk adjustment program for individual and smallgroup health insurance markets because of the ACA, and New York’s indi-vidual and small group health insurance markets since have been subjectonly to the federal program.

This rule accords with the public policy objectives that the Legislaturesought to advance in Insurance Law § 3233 by establishing marketstabilization pools for the small group health insurance market for the2017 plan year to ameliorate a possible disproportionate impact thatfederal risk adjustment may have on carriers, address the unique aspectsof the small group health insurance market in New York, and prevent un-necessary instability in the health insurance market.

3. Needs and benefits: In the early 1990s, the New York Legislatureenacted Insurance Law § 3233 because it recognized the need for a mech-anism to stabilize the health insurance markets and premium rates in NewYork so that premiums do not unduly fluctuate and carriers are reasonablyprotected against unexpected significant shifts in the number of insureds.More recently, the federal government recognized in the ACA that afederal risk adjustment mechanism would help provide affordable healthinsurance, reduce incentives for carriers to avoid enrolling less healthy

people, and stabilize premiums in the individual and small group healthinsurance markets.

Prior to implementation of the ACA in 2014, the New York Departmentof Financial Services (“Department”), after consultation with carriers,concluded New York should use the federal risk adjustment program andthe Superintendent suspended New York’s risk adjustment program for theindividual and small group health insurance markets. CMS conducted riskadjustment in 2014 and announced preliminary risk adjustment results forplan year 2015 in April 2016. These results have had a disproportionateimpact on certain carriers in the New York market as a whole.

CMS has proposed changes to its programs and may make additionalchanges. The Superintendent will continue to work with CMS and hopesthat by the 2018 plan year the federal risk adjustment program will beimproved to better accomplish its intended purposes. However, the federalrisk adjustment methodology does not yet adequately address the impactof administrative costs or profit of the carriers, or the manner in whichNew York counts children in certain calculations. These factors areidentifiable, quantifiable and remediable for the 2017 plan year. The Su-perintendent anticipates that the federal risk adjustment program willadversely impact the small group health insurance market in this State in2017 to such a degree as to require a remedy. Many factors are expected tocause the adverse impact, including:

(1) the federal risk adjustment program results in inflated risk scoresand payment transfers in this State because the calculation is based in partupon a medical loss ratio computation that includes administrative expen-ses, profits and claims rather than only using claims; and

(2) the federal risk adjustment program results in inflated risk scoresand payment transfers in this State because the program does not ap-propriately address this State’s rating tier structure. For New York, thefederal risk adjustment program alters the definition of billable membermonths to include a maximum of one child per contract in the billablemember month count. This understatement of billable member monthcounts: (a) lowers the denominator of the calculation used to determinethe statewide average premium and plan liability risk scores; (b) results inthe artificial inflation of both the statewide average premium and plan li-ability risk scores; and (c) further results in inflated payments transfersthrough the federal risk adjustment program.

This rule authorizes the Superintendent to implement a market stabiliza-tion pool for the New York small group health insurance market if, afterreviewing the impact of the federal risk adjustment program on this mar-ket for the 2017 plan year, the Superintendent determines that a marketstabilization mechanism is a necessary amelioration.

The rule requires a carrier designated as a receiver of a payment transferfrom the federal risk adjustment program to remit to the Superintendent anamount equal to a uniform percentage of that payment transfer for themarket stabilization pool. The Superintendent will determine the uniformpercentage based on reasonable actuarial assumptions, which may notexceed 30% of the amount to be received from the federal risk adjustmentprogram. Department actuaries considered the fact that (1) the federal riskadjustment program calculates risk scores and payment transfers based inpart upon a medical loss ratio computation that includes administrative ex-penses, profits, and claims, and (2) it does not appear to fully address NewYork’s rating tier structure. The actuaries determined that up to 30% of theamount to be received from the federal risk adjustment program is themaximum amount that would be necessary for a payment transfer underthis rule.

The market stabilization mechanism under the rule is distinct from thefederal risk adjustment and will provide a more accurate representation ofthe state’s market. The state mechanism would merely fine-tune the federalmechanism to address the needs of the New York market, not serve toundo the federal mechanism. It would not hinder or impede the ACA’simplementation because the federal risk adjustment still would beperformed. A carrier is able to comply with both the federal risk adjust-ment program and this state’s market stabilization mechanism because thestate risk adjustment would be implemented after the federal riskadjustment.

4. Costs: This rule imposes compliance costs on carriers that elect to is-sue policies or contracts subject to the rule. The costs are difficult toestimate and will vary from carrier to carrier depending on the impact ofthe federal risk adjustment program on the market, including federal pay-ment transfers, statewide average premiums, and the ratio of claims topremiums.

The Department will incur costs for the implementation and continua-tion of this rule. Department staff are needed to review the impact that thefederal risk adjustment program will have on the market. Furthermore, ifthe Superintendent implements a market stabilization pool, the Depart-ment must then send a billing invoice to each carrier required to make apayment into the pool, collect the payments, notify each carrier of theamount the carrier will receive from the market stabilization pool, and dis-tribute the payments from the pool. However, the Department should be


9

able to absorb these costs in its ordinary budget. Under § 361.7 of theexisting rule, the Superintendent also could hire a firm to administer thepool. The cost necessary to hire such a firm would have to be determined.

This rule does not impose compliance costs on state or localgovernments.

5. Local government mandates: This rule does not impose any program,service, duty, or responsibility upon a county, city, town, village, schooldistrict, fire district, or other special district.

6. Paperwork: This rule requires carriers designated as receivers of apayment transfer from the federal risk adjustment program to remit auniform percentage of that payment transfer to the Superintendent asdetermined by the Superintendent. The rule also requires the Superinten-dent to send a billing invoice to each carrier required to make a payment,collect the payments, notify each carrier of the amount the carrier willreceive from the market stabilization pool, and make distributions fromthe pool to the carriers.

7. Duplication: This rule does not duplicate or conflict with any existingstate or federal rules or other legal requirements. The rule supplements thefederal risk adjustment mechanism under the ACA and merely serves tofine-tune that risk adjustment to meet the needs of the New York market.

8. Alternatives: The Department considered not establishing a marketstabilization pool for the small group health insurance market for the 2017plan year. However, the Department is concerned about the disproportion-ate impact that federal risk adjustment may have on carriers in the NewYork market and possible unnecessary instability in the health insurancemarket that would adversely impact insureds. As a result, the Departmentdetermined that it is necessary to establish a market stabilization pool forthe small group health insurance market.

The Department also considered a cap of other than 30% of the amountto be received from the federal risk program, with regard to the uniformpercentage of the payment transfer for the market stabilization pool underthis rule. However, Department actuaries considered the fact that (1) thefederal risk adjustment program calculates risk scores and paymentstransfers based in part upon a medical loss ratio computation that includesadministrative expenses, profits, and claims, and (2) it does not appear tofully address New York’s rating tier structure. The actuaries determinedthat up to 30% of the amount to be received from the federal risk adjust-ment program is the maximum amount that would be necessary for a pay-ment transfer under this rule.

9. Federal standards: The rule does not exceed any minimum standardsof the federal government for the same or similar subject areas. Rather, theamendment to the rule complements the federal risk adjustment program.

10. Compliance schedule: The Department is promulgating this rule onan emergency basis so that the Superintendent may establish a New Yorkrisk adjustment pool for plan year 2017 if the Superintendent determinesthat it will be necessary following CMS’s annual release of the federal riskadjustment results for the 2017 plan year. If the Superintendent does es-tablish the pool, carriers will have to comply in 2018.

Regulatory Flexibility AnalysisSmall businesses: The Department of Financial Services finds that this

rule will not impose any adverse economic impact on small businessesand will not impose any reporting, recordkeeping, or other compliancerequirements on small businesses. The basis for this finding is that thisrule is directed at insurers and health maintenance organizations (“HMOs”)that elect to issue policies or contracts subject to the rule. Such insurersand HMOs do not fall within the definition of “small business” as definedby State Administrative Procedure Act § 102(8), because in general theyare not independently owned and do not have fewer than 100 employees.

Local governments: The rule does not impose any impact, includingany adverse impact, or reporting, recordkeeping, or other compliancerequirements on any local governments. The basis for this finding is thatthis rule is directed at insurers and HMOs that elect to issue policies orcontracts subject to the rule.

Rural Area Flexibility Analysis1. Types and estimated numbers of rural areas: Insurers and health main-

tenance organizations (“HMOs”) (collectively, “carriers”) affected by thisrule operate in every county in this state, including rural areas as definedby State Administrative Procedure Act § 102(10).

2. Reporting, recordkeeping and other compliance requirements; andprofessional services: The rule imposes additional reporting, recordkeep-ing, and other compliance requirements by requiring carriers, includingcarriers located in rural areas, designated as receivers of a payment transferfrom the federal risk adjustment program, to remit a uniform percentageof that payment transfer to the Superintendent of Financial Services (“Su-perintendent”) as determined by the Superintendent. However, no carrier,including carriers in rural areas, should need to retain professional ser-vices to comply with this rule.

3. Costs: This rule imposes compliance costs on carriers that elect to is-sue policies or contracts subject to the rule, including carriers in rural

areas. The costs are difficult to estimate and will vary from carrier to car-rier depending on the impact of the federal risk adjustment program on themarket, including federal payment transfers, statewide average premiums,and the ratio of claims to premiums. However, any additional costs to car-riers in rural areas should be the same as for carriers in non-rural areas.

4. Minimizing adverse impact: This rule uniformly affects carriers thatare located in both rural and non-rural areas of New York State. The ruleshould not have an adverse impact on rural areas.

5. Rural area participation: The Department of Financial Services(“Department”) is promulgating this rule on an emergency basis becausecarriers soon will begin binding coverage for policies written outside ofthe health exchange. In addition, the New York State of Health, the officialhealth insurance marketplace, has set September 9, 2016 as the date bywhich carriers must commit to selling certain policies or contracts on thehealth exchange. In order to implement the rule for the 2017 plan year andto minimize market issues, it is imperative that this rule be promulgatedon an emergency basis. Carriers in rural areas will have an opportunity toparticipate in the rule making process when the proposed rule is publishedin the State Register and posted on the Department’s website.

Job Impact StatementThis rule should not adversely impact jobs or employment opportunities inNew York State. This rule authorizes the Superintendent of Financial Ser-vices (“Superintendent”) to implement a market stabilization pool for thesmall group health insurance market if, after reviewing the impact of thefederal risk adjustment program on this market, the Superintendentdetermines that a market stabilization mechanism is a necessaryamelioration. This rule prudently ameliorates a possible disproportionateimpact that federal risk adjustment may have on insurers and health main-tenance organizations, addresses the needs of the small group health insur-ance market in New York, and prevents unnecessary instability in thehealth insurance market.


EMERGENCY

RULE MAKING

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

I.D. No. DFS-22-18-00004-E

Filing No. 476




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

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

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

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

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

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

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


10

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

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

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

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

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

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

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

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

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

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

§ 501.2 Definitions.The following definitions apply in this Part:(a) “Total Operating Cost” means for the fiscal year beginning on April

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

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

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

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

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

(c) “Industry Group Operating Cost” means the amount of the TotalOperating Cost to be assessed to a particular Industry Group. The amountis derived from the percentage of the total expenses for salaries and fringebenefits for the examining, specialist and related personnel represented bysuch costs for the particular Industry Group.

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

(e) “Supervisory Component” for an individual institution means the

product of the average number of hours attributed to supervisory oversightby examiners and specialists of all institutions of a similar size and type,as determined by the Superintendent, in the applicable Industry Group, orthe applicable sub-group, and the average hourly cost of the examinersand specialists assigned to the applicable Industry Group or sub-group.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

This notice is intended to serve only as a notice of emergency adoption.This agency intends to adopt this emergency rule as a permanent rule andwill publish a notice of proposed rule making in the State Register at somefuture date. The emergency rule will expire August 11, 2018.

Text of rule and any required statements and analyses may be obtainedfrom: George Bogdan, Esq., Department of Financial Services, One StateStreet, New York, New York 10004, (212) 480-4758, email:[email protected]

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

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

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

Both Section 17 of the BL and Section 206 of the FSL provide that allexpenses (compensation, lease costs and other overhead) of the Depart-ment in connection with the regulation and supervision of any person orentity licensed, registered, incorporated or otherwise formed pursuant tothe BL are to be charged to, and paid by, the regulated institutions subjectto the supervision of the Banking Division of the Department (the “Bank-ing Division”). Under both statutes, the Superintendent is authorized to as-


11

sess regulated institutions in the Banking Division in such proportions asthe Superintendent shall deem just and reasonable.

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

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

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

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

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

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

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

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

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

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

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

5. Local government mandatesNone.6. PaperworkThe regulation does not change the process utilized by the Banking

Division to determine and collect assessments.7. DuplicationThe regulation does not duplicate, overlap or conflict with any other

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

employed by the Department to carry out the statutory mandate to assess

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

9. Federal standardsNot applicable.10. Compliance scheduleThe emergency regulations are effective immediately. Regulated institu-

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

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

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

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

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

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

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

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

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

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

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

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

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

Division uses for determining the just and reasonable proportion of theBanking Division’s costs to be charged to and paid by each regulatedinstitution, including regulated institutions which are small businesses.The overall methodology was adopted in 2005 after extensive discussionwith regulated entities and industry associations representing groups ofregulated institutions, including those that are small businesses.

Thereafter, the Banking Department applied assessments against allentities subject to its regulation. In addition, for fiscal 2010, the Banking


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

Types and Estimated Numbers: There are entities regulated by the NewYork State Department of Financial Services (formerly the BankingDepartment) located in all areas of the State, including rural areas.However, this rule simply codifies the methodology currently used by theDepartment to assess all entities regulated by it. The regulation does notalter that methodology, and thus it does not change the cost of assessmentson regulated entities, including regulated entities located in rural areas.

Compliance Requirements: The regulation would not change the cur-rent compliance requirements associated with the assessment process.

Costs: While the regulation formalizes the assessment process, it doesnot change the amounts assessed to regulated entities, including those lo-cated in rural areas.

Minimizing Adverse Impacts: The regulation does not increase the totalamount assessed to regulated entities by the Department. It simply codi-fies the methodology which the Superintendent has chosen for determin-ing the just and reasonable proportion of the Department’s costs to becharged to and paid by each regulated institution.

Rural Area Participation: This rule simply codifies the methodologywhich the Department currently uses for determining the just and reason-able proportion of the Department’s costs to be charged to and paid byeach regulated institution, including regulated institutions located in ruralareas. The overall methodology was adopted in 2005 after extensivediscussion with regulated entities and industry associations representinggroups of regulated institutions, including those located in rural areas. Itfollowed the loss of several major banking institutions that had paid sig-nificant portions of the former Banking Department’s assessments.

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

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

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

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

EMERGENCY/PROPOSED

RULE MAKING


Supplementary Uninsured/Underinsured Motorists Insurance

I.D. No. DFS-22-18-00002-EP

Filing No. 475




Proposed Action: Amendment of Subpart 60-2 (Regulation 35-D) of Title11 NYCRR.Statutory authority: Financial Services Law, sections 202, 302; InsuranceLaw, sections 301 and 3420(f)(2-a)Finding of necessity for emergency rule: Preservation of general welfare.Specific reasons underlying the finding of necessity: On December 18,2017, Governor Andrew M. Cuomo signed into law chapter 490 of theLaws of 2017, which added a new Insurance Law § 3420(f)(2-a). On April18, 2018, Governor Cuomo signed into law chapter 15 of the Laws of2018, which amended chapter 490.

Insurance Law § 3420(f)(2-a) requires an insurer that issues a motor ve-hicle liability insurance policy originally entered into on or after June 16,2018, other than a commercial risk insurance policy, to provide supplemen-tal uninsured/underinsured motorists (SUM) insurance coverage for bodilyinjury, in an amount equal to the bodily injury liability insurance limits ofcoverage provided under the motor vehicle liability insurance policy, un-less the first named insured declines the SUM insurance or selects a loweramount of coverage through a written, signed waiver. Insurance Law§ 3420(f)(2-a)(B) requires an insurer to provide an insured with a writtennotice advising that the insurer must provide SUM limits equal to thebodily injury liability insurance limits of coverage provided under thepolicy unless a first named insured declines the SUM coverage or selects alower amount of coverage through a written waiver signed by the firstnamed insured.

Because of the changes to the law, the required notices provided byinsurers pursuant to Insurance Regulation 35-D must be modified with re-spect to new non-commercial motor vehicle insurance policies issued onand after June 16, 2018. This amendment changes the notice requirementsgoing forward for such policies and clarifies that all commercial andrenewals of non-commercial policies must continue to comply with exist-ing notice requirements. The amendment also clarifies how the new lawapplies to transportation network company policies with respect to SUMcoverage.

Insurers need to immediately make changes to their procedures toensure that proper notices are provided as of the effective date of the lawfor the protection of the public. Accordingly, it is necessary to promulgatethe rules on an emergency basis for the furtherance of the general welfare.

Subject: Supplementary Uninsured/Underinsured Motorists Insurance.

Purpose: To conform 11 NYCRR 60-2 to new Insurance Law section3420(f)(2-a).

Substance of emergency/proposed rule (Full text is posted at the follow-ing State website:https://www.dfs.ny.gov/legal/ regulations.htm): Thefollowing sections are amended or added:

Section 60-2.0 is amended to expand the preamble, set forth the ap-plicability of the Subpart, and add definitions.

Section 60-2.1(e) is amended to provide an exception as set forth insection 60-2.1(f) and to move language in section 60-2.1(e)(4) to new sec-tion 60-2.1(h).

Section 60-2.1(f) is re-lettered as section 60-2.1(g), and a new section60-2.1(f) is added to provide that, with regard to a motor vehicle liabilityinsurance policy originally entered into, on, or after June 16, 2018, otherthan a commercial risk insurance policy, an insurer must provide supple-mentary uninsured/underinsured motorists (“SUM”) limits in an amountequal to the bodily injury liability insurance limits of coverage providedunder the motor vehicle liability insurance policy, unless a first namedinsured declines the SUM coverage or selects a lower amount of coveragethrough a written waiver signed by the first named insured, subject to therequirements of Insurance Law section 3420(f)(2-a)(B); provided,however, that the insurer may require the insured’s SUM coverage limit tobe equal to the insured’s bodily injury liability insurance limit under thepolicy.

This section also states that a first named insured’s written, signedwaiver declining SUM coverage, or selecting a lower amount of SUMcoverage, will apply to all subsequent renewals of coverage and to allpolicies or endorsements that extend, change, supersede, or replace anexisting policy issued to the first named insured, unless changed in writingby a first named insured. Whenever SUM coverage is declined, the policymust provide the mandatory uninsured motorists (“UM”) coveragerequired by Insurance Law section 3420(f)(1). The insurer, on subsequentrenewals, must provide to the insured the applicable notice required bysection 60-2.2(a).

Section 60-2.1(g) adds a reference to subdivision (f) and states that aninsurer providing coverage in satisfaction of the financial responsibilityrequirements of Vehicle and Traffic Law (“VTL”) Article 44-B must, if thepolicy provides liability coverage as required by VTL section 1693(2): (1)offer SUM coverage as provided in section 60-2.1(e) under an insurancepolicy, other than an insurance policy described in section 60-2.1(g)(2),while the driver is logged onto the transportation network company’s(“TNC’s”) digital network but is not engaged in a TNC prearranged trip;


13

or (2) provide SUM coverage as provided in section 60-2.1(f) under an in-surance policy originally entered into on or after June 16, 2018, other thana commercial risk insurance policy, while the driver is logged onto theTNC’s digital network but is not engaged in a TNC prearranged trip.

Section 60-2.2(a)(1) is amended to require that every insurer writingmotor vehicle liability insurance that satisfies the requirements of VTLArticle 6 or 8, with respect to all new and renewal policies, provide a writ-ten notice in concise language that includes, for the initial written notice,with regard to a motor vehicle liability insurance policy originally enteredinto on or after June 16, 2018 other than a commercial risk insurancepolicy: (1) a statement that the insurer must provide SUM limits in anamount equal to the bodily injury liability insurance limits of coverageprovided under the motor vehicle liability policy unless a first namedinsured declines the SUM coverage or selects a lower amount of coveragethrough a written waiver signed by the first named insured, subject to therequirements of Insurance Law section 3420(f)(2-a)(B), provided,however, if the insurer requires that the SUM coverage limit be equal tothe policy’s bodily injury liability insurance limit, then the written waivermust only provide for the first named insured’s option to decline SUMcoverage under the policy; and (2) a statement that the first namedinsured’s written, signed waiver declining SUM coverage or selecting alower amount of SUM coverage will apply to all subsequent renewals ofcoverage and to all policies or endorsements that extend, change,supersede, or replace an existing policy issued to the first named insured,unless changed in writing by a first named insured.

Section 60-2.2(a)(2) is amended in a similar manner as section 60-2.2(a)(1) with regard to every insurer writing motor vehicle liability insur-ance providing liability insurance coverage in satisfaction of the financialresponsibility requirements of VTL Article 44-B.

This notice is intended: to serve as both a notice of emergency adoptionand a notice of proposed rule making. The emergency rule will expireAugust 8, 2018.

Text of rule and any required statements and analyses may be obtainedfrom: Paul Zuckerman, New York State Department of Financial Ser-vices, One State Street, 20th Floor, New York, NY 10004, (212) 480-5286,email: [email protected]



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

Regulatory Impact Statement1. Statutory authority: Financial Services Law sections 202 and 302 and

Insurance Law sections 301 and 3420(f)(2-a).Financial Services Law section 202 establishes the office of the Super-

intendent of Financial Services (“Superintendent”).Financial Services Law section 302 and Insurance Law Section 301, in

material part, authorize the Superintendent to effectuate any power ac-corded to the Superintendent by the Financial Services Law, InsuranceLaw, or any other law, and to prescribe regulations interpreting the Insur-ance Law.

Insurance Law section 3420(f)(2-a) requires an insurer that issues a mo-tor vehicle liability insurance policy, other than a commercial risk insur-ance policy, insuring against loss resulting from liability imposed by lawfor bodily injury or death suffered by any natural person arising out of theownership, maintenance and use of a motor vehicle, by the insured, wherethe policy is originally entered into on or after June 16, 2018, to providesupplementary uninsured/underinsured motorists (“SUM”) insurancecoverage for bodily injury, in an amount equal to the bodily injury liabilityinsurance limits of coverage provided under the motor vehicle liability in-surance policy, unless the first named insured declines the SUM insuranceor selects a lower amount of coverage through a written, signed waiver.However, the insurer may require that the insured’s SUM coverage limitequal the insured’s bodily injury liability insurance limit under the policy.

2. Legislative objectives: On December 18, 2017, Governor Andrew M.Cuomo signed into law chapter 490 of the Laws of 2017, which added anew Insurance Law section 3420(f)(2-a). On April 18, 2018, GovernorCuomo signed into law chapter 15 of the Laws of 2018, which amendedchapter 490. Insurance Law section 3420(f)(2-a) requires an insurer thatissues a motor vehicle liability insurance policy originally entered into onor after June 16, 2018, other than a commercial risk insurance policy, toprovide SUM insurance coverage for bodily injury, in an amount equal tothe bodily injury liability insurance limits of coverage provided under themotor vehicle liability insurance policy, unless the first named insureddeclines the SUM insurance or selects a lower amount of coverage througha written, signed waiver. However, the insurer may require that theinsured’s SUM coverage limit equal the insured’s bodily injury liabilityinsurance limit under the policy.

Insurance Law section 3420(f)(2-a)(B) requires an insurer to provide an

insured with a written notice advising that the insurer must provide SUMlimits equal to the bodily injury liability insurance limits of coverageprovided under the policy unless a first named insured declines the SUMcoverage or selects a lower amount of coverage through a written waiversigned by the first named insured.

This rule accords with the public policy objectives that the Legislaturesought to advance in Insurance Law section 3420(f)(2-a) by updatingSubpart 60-2 to comply with chapters 490 and 15.

3. Needs and benefits: Chapter 490 of the Laws of 2017 added a newInsurance Law section 3420(f)(2-a) and chapter 15 of the Laws of 2018made amendments thereto. Insurance Law section 3420(f)(2-a) requires aninsurer that issues a motor vehicle liability insurance policy originallyentered into on or after June 16, 2018, other than a commercial risk insur-ance policy, to provide SUM insurance coverage for bodily injury, in anamount equal to the bodily injury liability insurance limits of coverageprovided under the motor vehicle liability insurance policy, unless the firstnamed insured declines the SUM insurance or selects a lower amount ofcoverage through a written, signed waiver. This rule amends Subpart 60-2to comply with chapters 490 and 15. The rule also clarifies which policiesare commercial risk policies and which are not, as well as how the law ap-plies to transportation network company policies.

4. Costs: This rule may impose compliance costs on insurers because aninsurer must provide a written notice to insureds covered under a motorvehicle liability insurance policy originally entered into on or after June16, 2018, other than a commercial risk insurance policy, regarding SUMcoverage, consistent with Insurance Law section 3420(f)(2-a)(B), andlikely will need to draft a waiver form. The Department has not estimatedthe cost to insurers for developing the new notice and waiver. However,these requirements are a consequence of chapters 490 and 15, whichimpose the written notice and waiver requirements. Moreover, the insureris already required under the law and Subpart 60-2 to provide a noticewhen issuing the policy. Therefore, once the notice is revised there shouldbe no additional costs incurred. With respect to renewal policies, existingrequirements continue without change and the rule imposes no additionalcosts on insurers for renewal policies.

The Department of Financial Services will not incur costs for theimplementation and continuation of this rule. This rule does not imposecompliance costs on any local government.

5. Local government mandates: This rule does not impose any program,service, duty, or responsibility upon a county, city, town, village, schooldistrict, fire district, or other special district.

6. Paperwork: An insurer may incur additional paperwork because aninsurer must provide a written notice to insureds covered under a motorvehicle liability insurance policy originally entered into on or after June16, 2018, other than a commercial risk insurance policy, regarding SUMcoverage, consistent with Insurance Law section 3420(f)(2-a)(B), andlikely will need to draft a waiver form. However, the insurer is alreadyrequired under the law and Subpart 60-2 to provide a notice; therefore,this amendment creates no additional requirement. Moreover, this amend-ment is a consequence of chapters 490 and 15, which impose the writtennotice and waiver requirements.

7. Duplication: This rule does not duplicate, overlap, or conflict withany existing state or federal rules or other legal requirements.

8. Alternatives: There were no significant alternatives to consider.9. Federal standards: The rule does not exceed any minimum standards

of the federal government for the same or similar subject areas.10. Compliance schedule: Chapters 490 and 15 take effect on June 16,

2018. The Superintendent is promulgating these regulations on an emer-gency basis to facilitate the orderly implementation of the new law.

Regulatory Flexibility Analysis1. Effect of the rule: On December 18, 2017, Governor Andrew M.

Cuomo signed into law Chapter 490 of the Laws of 2017, which added anew Insurance Law Section 3420(f)(2-a). On April 18, 2018, GovernorCuomo signed into law Chapter 15 of the Laws of 2018, which amendedChapter 490. Insurance Law Section 3420(f)(2-a) requires an insurer thatissues a motor vehicle liability insurance policy originally entered into onor after June 16, 2018, other than a commercial risk insurance policy, toprovide supplementary uninsured/underinsured motorists (“SUM”) insur-ance coverage for bodily injury, in an amount equal to the bodily injury li-ability insurance limits of coverage provided under the motor vehicle li-ability insurance policy, unless the first named insured declines the SUMinsurance or selects a lower amount of coverage through a written, signedwaiver. However, the insurer may require that the insured’s SUM cover-age limit equal the insured’s bodily injury liability insurance limit underthe policy.

Insurance Law Section 3420(f)(2-a)(B) requires an insurer to providean insured a written notice advising that the insurer must provide SUMlimits equal to the bodily injury liability insurance limits of coverageprovided under the policy unless a first named insured declines the SUMcoverage or selects a lower amount of coverage through a written waiversigned by the first named insured.


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This rule reflects the amendments to the Insurance Law by Chapters490 and 15. As such, it should not affect local governments.

Industry asserts that certain domestic insurers, in particular co-operativeinsurers and mutual insurers, subject to the rule are small businesses.However, the law, rather than the rule, imposes the written notice andwaiver requirements. The rule cannot vary a requirement imposed by law.

2. Compliance requirements: No local government must undertake anyreporting, recordkeeping, or other affirmative acts to comply with the rulebecause the rule does not apply to any local government. An insurer that isa small business affected by this rule, if any, may be subject to reporting,recordkeeping, or other compliance requirements because the insurer mustprovide a written notice to insureds covered under a motor vehicle liabilityinsurance policy originally entered into on or after June 16, 2018, otherthan a commercial risk insurance policy, regarding SUM coverage, consis-tent with Insurance Law Section 3420(f)(2-a)(B), and likely will need todraft a waiver form. However, this is a consequence of Chapters 490 and15, which impose the written notice and waiver requirements.

3. Professional services: No local government will need professionalservices to comply with this rule because the rule does not apply to any lo-cal government. No insurer that is a small business affected by the rule, ifany, should need to retain professional services to comply with this rule.

4. Compliance costs: No local government will incur any costs tocomply with this rule because the rule does not apply to any localgovernment. An insurer that is a small business affected by this rule, ifany, may incur additional compliance costs because the insurer mustprovide a written notice to insureds covered under a motor vehicle liabilityinsurance policy originally entered into on or after June 16, 2018, otherthan a commercial risk insurance policy, regarding SUM coverage, consis-tent with Insurance Law Section 3420(f)(2-a)(B), and likely will need todraft a waiver form. The Department of Financial Services (“Department”)has not estimated the cost to insurers for developing the new notice andwaiver. However, these requirements are a consequence of Chapters 490and 15, which impose the written notice and waiver requirements. More-over, the insurer is already required under the law and Subpart 60-2 toprovide a notice when issuing the policy. Therefore, once the notice isrevised there should be no additional costs incurred. With respect to re-newal policies, existing requirements continue without change and therule imposes no additional costs on insurers for renewal policies.

5. Economic and technological feasibility: This rule does not apply toany local government; therefore, no local government should experienceany economic or technological impact because of the rule. No insurer thatis a small business affected by this rule, if any, should experience any eco-nomic or technological impact because of the rule. Furthermore, this rulemerely implements Chapters 490 and 15, which impose written notice andwaiver requirements regarding SUM coverage.

6. Minimizing adverse impact: There will not be an adverse impact onany local government because the rule does not apply to any localgovernment. This rule should not have an adverse impact on an insurerthat is a small business affected by the rule, if any, because the ruleuniformly affects all insurers that are subject to the rule and merely imple-ments Chapters 490 and 15, which impose written notice and waiverrequirements regarding SUM coverage.

7. Small business and local government participation: Small businessesand local governments will have an opportunity to participate in therulemaking process when the notice of emergency adoption and proposedrulemaking is published in the State Register and posted on the Depart-ment’s website.

Rural Area Flexibility Analysis1. Types and estimated numbers of rural areas: Insurers affected by this

rule operate in every county in this state, including rural areas as definedby State Administrative Procedure Act Section 102(10).

2. Reporting, recordkeeping and other compliance requirements; andprofessional services: The rule imposes additional reporting, recordkeep-ing, and other compliance requirements because an insurer, including aninsurer in a rural area, must provide a written notice to insureds coveredunder a motor vehicle liability insurance policy originally entered into onor after June 16, 2018, other than a commercial risk insurance policy,regarding supplementary uninsured/underinsured motorists (“SUM”) in-surance coverage, consistent with Insurance Law Section 3420(f)(2-a)(B),and likely will need to draft a waiver form. However, this is a consequenceof Chapters 490 of the Laws of 2017 and Chapter 15 of the Laws of 2018,which impose the written notice and waiver requirements.

An insurer in a rural area should not need to retain professional servicesto comply with this rule.

3. Costs: The rule may result in additional costs to insurers, includinginsurers located in rural areas, because an insurer must provide a writtennotice to insureds covered under a motor vehicle liability insurance policyoriginally entered into on or after June 16, 2018, other than a commercialrisk insurance policy, regarding SUM coverage, consistent with InsuranceLaw Section 3420(f)(2-a)(B), and likely will need to draft a waiver form.

The Department of Financial Services (“Department”) has not estimatedthe cost to insurers for developing the new notice and waiver. However,these requirements are a consequence of Chapters 490 and 15, whichimpose the written notice and waiver requirements. Moreover, the insureris already required under the law and 11 NYCRR Subpart 60-2 to providea notice when issuing the policy. Therefore, once the notice is revisedthere should be no additional costs incurred. With respect to renewal poli-cies, existing requirements continue without change and the rule imposesno additional costs on insurers for renewal policies.

4. Minimizing adverse impact: This rule uniformly affects insurers lo-cated in both rural and non-rural areas of New York State. The rule shouldnot have an adverse impact on rural areas.

5. Rural area participation: Insurers in rural areas will have an op-portunity to participate in the rule-making process when the notice ofemergency adoption and proposed rulemaking are published in the StateRegister and posted on the Department’s website.

Job Impact StatementThis rule should not adversely impact jobs or employment opportunities inNew York State. The amendment merely conforms the rule to Chapter 490of the Laws of 2017 and Chapter 15 of the Laws of 2018, which added andamended, respectively, new Insurance Law Section 3420(f)(2-a).

Department of Health

PROPOSED RULE MAKING


Criminal History Record Checks and Advanced Home HealthAides

I.D. No. HLT-22-18-00010-P

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

Proposed Action: Amendment of Parts 402, 403, 700, 763, 765, 766, 793,794 and 1001 of Title 10 NYCRR.

Statutory authority: Public Health Law, sections 2899-a(4), 3602(17),3612(5) and 4010(4); Executive Law, section 845-b(12)

Subject: Criminal History Record Checks and Advanced Home HealthAides.

Purpose: This rule will implement statutory changes related to criminalhistory records checks and advanced home health aides.

Substance of proposed rule (Full text is posted at the following Statewebsite: www.health.ny.gov/Laws & Regulations/ProposedRulemaking): This proposal would amend various provisions within Title10 of the Official Compilation of Codes, Rules and Regulations of theState of New York (NYCRR) to reflect the enactment of legislation: (1)requiring criminal history record checks (CHRCs) for adult homes,enriched housing programs, and residences for adults licensed pursuant toArticle 7 of the Social Services Law (SSL); (2) requiring CHRCs forhospice programs certified pursuant to Article 40 of the Public Health Law(PHL); (3) authorizing the performance of advanced tasks by advancedhome health aides supervised by registered professional nurses employedby home care services agencies, hospice programs, and enhanced assistedliving residences (EALRs); (4) requiring the inclusion of information re-lated to workers employed by hospice programs in the Home Care WorkerRegistry (Registry); and (5) requiring the inclusion of information relatedto the training and testing of advanced home health aides in the Registry.

Part 402 (Criminal History Record Check)This proposal would amend 10 NYCRR Part 402 to provide for CHRCs

for individuals employed by adult homes, enriched housing programs,residences for adults, and hospice programs. Specifically, this proposalwould amend:

D Section 402.1 to update the statement of legislative requirements re-lated to CHRCs to refer to adult homes, enriched housing programs, andresidences for adults, consistent with Chapters 60 and 94 of the Laws of2014, and hospice programs, consistent with Chapter 471 of the Laws of2016 and Chapter 206 of the Laws of 2017;

D Section 402.2, which identifies the entities to which Part 402 is ap-plicable, to include adult homes, enriched housing programs, residencesfor adults, and hospice programs;

D Section 402.3 to: (1) expand the definition of “employee in direct careor supervision” to include each unlicensed person employed by or used byan adult home, enriched housing program, or residences for adult who


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provides face-to-face care or has physical access to resident livingquarters; (2) expand the definition of “employee in direct care or supervi-sion” to include unlicensed persons employed by or used by a hospiceprogram to provide face-to-face care; and (3) expand the definition of“provider” to include any adult home, enriched housing program, resi-dence for adults, or hospice program;

D Section 402.4 to include provisions for the supervision of temporaryemployees by adult homes, enriched housing programs, residences foradults, or hospice programs pending determination of their CHRCs;

D Section 402.9 to require documentation of supervision of temporaryemployees by adult homes, enriched housing programs, residences foradults, and hospice programs; and

D Section 402.10 to authorize reimbursement for adult homes, enrichedhousing programs, residences for adults, and hospice programs for thecosts of securing CHRCs of prospective employees.

Part 403 (Home Care Services Worker Registry)This proposal would amend 10 NYCRR Part 403 to add workers

employed by hospice programs and home health aides and advanced homehealth aides employed by EALRs to the Registry and to indicate in theRegistry when individuals are qualified to work as advanced home healthaides. Specifically, this proposal would amend:

D Section 403.1 to include advanced home health aides within the list ofworkers and to include EALRs and hospice programs within the list ofentities to which Part 403 is applicable;

D Section 403.2 to define an “Advanced Home Health Aide” as a certi-fied home health aide who has met all requirements pursuant to EducationLaw § 6908(2) and is listed in the Registry; and

D Section 403.5 to prohibit home care services entities from permittingadvanced home health aides to provide advanced home health aide ser-vices unless they are listed in the Registry.

Part 700 (State Hospital Code – General Provisions)This proposal would amend 10 NYCRR § 700.2 to define an “advanced

home health aide” as a certified home health aide who is qualified to carryout advanced tasks, subject to supervision by a registered professionalnurse, and is listed in the Registry, and to add other references to advancedhome health aides where appropriate.

Part 763 (Certified Home Health Agencies, Long Term Home HealthCare Programs and AIDS Home Care Programs Minimum Standards)

This proposal would amend 10 NYCRR Part 763 to set forth provisionspertaining to advanced home health aides employed by certified homehealth agencies (CHHAs) and long term home health care programs(LTHHCPs) and the supervision thereof by registered professional nurses.Specifically, this proposal would amend:

D Section 763.2, which lists the rights of patients served by CHHAs/LTHHCPs, to provide that a patient has the right to refuse the provision ofadvanced tasks by an advanced home health aide, in which case theCHHA/LTHHCP must ensure that such tasks are provided by a registeredprofessional nurse;

D Section 763.4 to set forth requirements for CHHAs/LTHHCPs pertain-ing to the supervision of advanced home health aides;

D Section 763.7 to set forth requirements for CHHAs/LTHHCPs pertain-ing to reports made by advanced home health aides to supervisingregistered professional nurses; and

D Section 763.13 to set forth requirements for CHHAs/LTHHCPspertaining to in-service education for advanced home health aides.

Part 765 (Approval and Licensure of Home Care Services Agencies)This proposal would amend 10 NYCRR § 765.2-1, which provides that

home care services agencies must obtain approval by the Public Healthand Health Planning Council and be issued a license pursuant to PHLArticle 36, to include a reference to advanced home health aides.

Part 766 (Licensed Home Care Services Agencies – Minimum Stan-dards)

This proposal would amend 10 NYCRR Part 766 to set forth provisionspertaining to advanced home health aides employed by licensed homecare services agencies (LHCSAs) and the supervision thereof by registeredprofessional nurses. Specifically, this proposal would amend:

D Section 766.1, which lists the rights of patients served by LHCSAs, toprovide that a patient has the right to refuse the provision of advancedtasks by an advanced home health aide, in which case the LHCSA mustensure that such tasks are provided by a registered professional nurse;

D Section 766.2(b) to include “advanced home health aide services” inthe list of services that constitute “health care services;”

D Section 766.4 to provide that a LHCSA must ensure that there is anorder for advanced home health aide services from the patient’s authorizedpractitioner;

D Section 766.5(c)(4) to set forth requirements for the clinical supervi-sion of advanced home health aides by supervising registered professionalnurses;

D Section 766.6(a)(6) and (7) to provide for reports by advanced homehealth aides to supervising registered professional nurses; and

D Section 766.11 to: (1) provide that LHCSAs must ensure thatqualifications for advanced home health aides, as set forth in 700.2, aresatisfied; and (2) require that advanced home health aides participate in 18hours of in-service education each year.

Part 793 (Hospice Patient/Family Care Services)This proposal would amend Part 793 to set forth provisions related to

services provided by advanced home health aides supervised by registeredprofessional nurses employed by hospice programs. Specifically, this pro-posal would amend:

D Section 793.1 to reflect that a patient of a hospice program has theright to refuse the provision of advanced tasks by an advanced home healthaide, in which case the hospice program must ensure that such tasks areprovided by a registered professional nurse;

D Section 793.7(k) to provide that services must be provided by an aidewith appropriate training which, in the case of an advanced home healthaide, means a training program as required by section 700.2(b)(54);

D Section 793.7(l) to provide that services provided by an advancedhome health aide must be ordered by a physician, assigned by the supervis-ing registered professional nurse, and included in the plan of care and con-sistent with training and advanced tasks permitted to be performed byadvanced home health aides; and

D Section 793.7(o) to include within the responsibilities of a hospiceprogram the supervision of an advanced home health aide by a registeredprofessional nurse.

Part 794 (Hospice Organization and Administration)This proposal would amend 10 NYCRR Part 794 pertaining to advanced

home health aides employed by hospice programs and the supervisionthereof by registered professional nurses. Specifically, this proposal wouldamend section 794.3(k) to provide that, at a minimum, advanced homehealth aides shall participate in 18 hours of in-service education per year.

Part 1001 (Assisted Living Residences)This proposal would amend 10 NYCRR Part 1001 to set forth provi-

sions pertaining to advanced home health aides employed by EALRs andthe supervision thereof by registered professional nurses. Specifically, thisproposal would amend:

D Section 1001.8(b)(2) to reflect that a resident of an EALR has theright to refuse the provision of advanced tasks by an advanced home healthaide, in which case the operator must ensure that such tasks are providedby a registered professional nurse; and

D Section 1001.11(r) to provide that advanced home health aides in anEALR must be listed on the Registry, trained, and supervised by registeredprofessional nurses.

Text of proposed rule and any required statements and analyses may beobtained from: Katherine Ceroalo, DOH, Bureau of Program Counsel,Reg. Affairs Unit, Room 2438, ESP Tower Building, Albany, NY 12237,(518) 473-7488, email: [email protected]



Regulatory Impact StatementStatutory Authority:This proposal will implement amendments to Public Health Law (PHL)

Article 28-E requiring certain providers licensed by the Department ofHealth (Department) to request criminal history record checks (CHRCs)of prospective employees in conformance with Executive Law § 845-b.PHL § 2899-a(4) requires the Commissioner of Health (Commissioner) topromulgate regulations implementing PHL Article 28-E, and ExecutiveLaw § 845-b(12) requires the Department to promulgate regulations toimplement criminal history information requests.

This proposal also will implement Chapter 471 of the Laws of 2016,which authorized advanced home health aides to perform advanced tasksunder the supervision of registered professional nurses employed by homecare services agencies, hospice programs, and enhanced assisted livingresidences (EALRs). PHL § 3602(17), added by Chapter 471, requires theCommissioner to issue regulations pertaining to advanced home healthaides.

PHL § 3612(5) authorizes the Public Health and Health PlanningCouncil (PHHPC) to adopt and amend regulations pertaining to certifiedhome care services agencies and long term home health care programs ap-proved pursuant to PHL Article 36, subject to approval of theCommissioner. PHL § 4010(4) authorizes PHHPC to adopt and amendregulations for hospice providers approved pursuant to PHL Article 40,subject to approval of the Commissioner.

Legislative Objectives:PHL Article 28-E requires “providers” to request that the Department

conduct a CHRC of each “prospective employee.” PHL § 2899(3) providesthat an “employee’’ means any person to be employed or used by a“provider” to provide “direct care or supervision” to patients or residents.Individuals licensed under Education Law Title 8 (various health care


16


professionals) or PHL Article 28-D (nursing home administrators) or whoare volunteers are excluded from the definition of “employee.” A “pro-spective employee,” as defined by PHL § 2899(5), is an individual whofiles an employment application and the provider expects to hire as anemployee.

Chapters 60 and 94 of the Laws of 2014 amended PHL § 2899(6) toinclude within the definition of “provider” adult homes, enriched housingprograms, and residences for adults licensed under Social Services Law(SSL) Article 7. SSL § 461-t similarly states that these entities mustrequest CHRCs of their prospective direct care employees. PHL§ 2899(10) was also amended to permit such employees to be temporarilyapproved to work pending the results of their CHRCs under the conditionthat the provider conducts direct observation and evaluation of theemployee.

The definition of “provider” in PHL § 2899(6) was again expanded byChapter 471 of the Laws of 2016 to include hospice programs certifiedunder PHL Article 40 with respect to employees hired on or after April 1,2018. Chapter 206 of the Laws of 2017 amended PHL § 2899(10) to permitthese employees to be temporarily approved to work pending the results oftheir CHRCs under the direct observation and evaluation of the provider.

Chapter 471 also added Education Law § 6908(2) to permit advancedtasks to be performed by advanced home health aides with appropriatetraining and under supervision by registered professional nurses employedby home care services agencies, hospice programs, and EALRs. Regula-tions issued by the State Education Department in consultation with theDepartment will specify the types of advanced tasks that can be performedby advanced home health aides and set forth the qualifications, trainingand competency requirements for advanced home health aides. This pro-posal will implement other provisions of the law by amending regulationsapplicable to home care services agencies, hospice programs, and EALRsto address the supervision of advanced home health aides.

These provisions will further the statutory goal of enabling more peopleto live in home and community based settings and provide support to fam-ily caregivers and their loved ones. See Built to Lead, 2016 State of theState, Governor Andrew M. Cuomo, at https://www.governor.ny.gov/sites/governor.ny.gov/files/atoms/files/2016_State_of_the_State_Book.pdf (p.271-72).

Needs and Benefits:The proposed changes to Part 402 of Title 10 of the Official Compila-

tion of Codes, Rules and Regulations of the State of New York (NYCRR)will implement laws requiring CHRCs for adult homes, enriched housingprograms, residences for adults, and hospice programs. As reflected in theregulations, these entities must request that the Department obtain crimi-nal history information from the Division of Criminal Justice Services anda national criminal history check from the Federal Bureau of Investigation(FBI) concerning each prospective unlicensed employee who will providedirect care or supervision. Before such employees can begin working, theymust consent to a digital scan of their fingerprints, which will be electroni-cally transmitted to the Division of Criminal Justice Services (Division)for processing. The Division will subsequently provide criminal historyinformation back to the Department.

Consistent with PHL Article 28-E, the Department will then review theinformation based on criteria in Executive Law § 845-b. The Departmentwill advise the provider whether the applicant has a criminal history, and,if so, whether the history is of such a nature that the Department disap-proves eligibility for employment. The individual will have 30 days toprovide rehabilitation documentation in support of their application beforethe Department makes a final disapproval determination. In some cases, aperson may have a criminal background, but any convictions may not riseto the level requiring disapproval of eligibility for employment based onExecutive Law § 845-b criteria. In other cases, there may be open chargesthat, if they resulted in a conviction, would result in denials, and theDepartment will hold such applications in abeyance until the charges areresolved.

Individuals are afforded an opportunity to explain, in writing, why theireligibility for employment should not be disapproved before the Depart-ment makes its final determination disapproving eligibility foremployment. If the Department makes a final determination disapprovingeligibility, the provider must notify the person that the criminal history in-formation is the basis for such disapproval.

The proposed regulations set forth certain responsibilities of providersin implementing the CHRC requirements. Providers also must ensure thatprospective employees who will be subject to the CHRC requirement arenotified of the provider’s right to request their criminal history informa-tion, and that they have the right to obtain, review, and seek correction ofsuch information in accordance with regulations of the Division or, withregard to federal criminal history information, to seek correction of infor-mation with the FBI.

This proposal will also implement PHL § 3602(17), added by Chapter471 of the Laws of 2016, defining advanced home health aides as home

health aides who are authorized to perform advanced tasks as set forth inEducation Law § 6908(2). The regulations also reflect the inclusion ofhospice programs and EALRs in the definition of “home care servicesentity” set forth in PHL § 3613(1)(a) for purposes of the Home Care Ser-vices Worker Registry (Registry). PHL § 3613(9) provides that the Depart-ment must indicate within the Registry when a home health aide is quali-fied to serve as an advanced home health aide because he or she hassatisfied all applicable training and competency requirements. Accord-ingly, this proposal will amend 10 NYCRR Part 403 to add advanced homehealth aides, advanced home health aide training programs, EALRs, andhospice programs to the Registry.

This proposal further will amend Part 700 to define an “advanced homehealth aide” as a certified home health aide who has met all requirementsto perform advanced tasks and is listed in the Registry. Parts 763, 766,793, 794, and 1001 also will be amended to reflect requirements related toadvanced home health aides and the supervisions thereof by registeredprofessional nurses employed by home care agencies – meaning certifiedhome health agencies (CHHAs), long term home health care programs(LTHHCPs), and licensed home care services agencies (LHCSAs) – aswell as EALRs and hospice programs.

COSTS:Costs to Private Regulated Parties:The proposed regulatory changes related to CHRCs would apply to

adult homes, enriched housing programs, residences for adults, andhospice programs. As explained above, when such an entity determines tohire or otherwise use an individual who is unlicensed and will have accessto patients or residents or their living quarters, it must request a CHRCpursuant to PHL Article 28-E. The entity must include with the request afee, currently $99. Of this amount, $75 covers the fee established by theDivision for processing a State criminal history record check and $12.00is for a national criminal history record check. Further, obtaining thefingerprints used for CHRC requests, which is accomplished through avendor, costs approximately $12.00 per individual. Pursuant to PHL§ 2899-a(9)(a) and as reflected in the proposed amendments to 10 NYCRR§ 402.10, providers will be reimbursed for such fees and costs when fundsare appropriated in the state budget.

The proposed regulatory changes related to advanced home health aidesapply to home care services agencies (CHHAs, LTHHCPs, and LHCSAs),EALRs, and hospice programs only to the extent they desire to use suchaides. The registered professional nurses who supervise advanced homehealth aides will spend additional time carrying out the supervisory obliga-tions set forth in the law and proposed regulations, but to some extent thiswill be offset by the ability to use such aides to carry out many of the tasksthat otherwise would be carried out directly by the nurses.

Costs to Local Government:The proposed changes are not expected to impose any costs upon local

governments, unless they operate one of the afore-referenced entities. Insuch cases, the impact will be the same as for regulated parties, discussedabove.

Costs to the Department of Health:The proposed regulations will not impose costs upon the Department in

addition to any imposed as a result of the statutory changes enacted withrespect to CHRCs and advanced home health aides. Additional work byDepartment staff that process CHRC requests or participate in regulatoryactivities involving adult homes, enriched housing programs, residencesfor adults, home care services agencies, or hospice programs, is beingmanaged within existing resources.

Costs to Other State Agencies:Due to the legislative enactments reflected in this proposal, the volume

of CHRC requests fulfilled by the Division will be higher but should bemanaged within existing resources. Similarly, the State Education Depart-ment, in consultation with the Department of Health, will approveprograms that train advanced home health aides, which is expected to bemanaged within existing resources.

Local Government Mandates:The proposed regulations do not impose any new mandates on local

governments, except where they operate local providers such as a homecare services agency or a hospice program. In such cases, the impact willbe the same as for regulated parties, discussed above.

Paperwork:Consistent with the statutory provisions, the proposed regulations will

require the completion of additional paperwork by adult homes, enrichedhousing programs, residences for adults, and hospice programs that requestCHRCs. For example, providers will need to complete and submit a formto notify the Department of a prospective employee needing to befingerprinted. A provider may also be asked to submit information notknown to the Department to assist the Department in vetting and perfect-ing the criminal history of a prospective employee. Further, providers willneed to document the supervision of employees that they temporarily ap-prove to work pending the results of the CHRC.


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https://www.governor.ny.gov/sites/governor.ny.gov/files/atoms/files/2016_State_of_the_State_Book.pdf

https://www.governor.ny.gov/sites/governor.ny.gov/files/atoms/files/2016_State_of_the_State_Book.pdf

Home care service agencies, EALRs, and hospice programs are alreadyrequired to establish written policies and procedures related to variousoperational requirements, including the training and supervision ofemployees. Therefore, although additional paperwork will be required toensure that advanced home health aides are properly trained and super-vised, this type of documentation should be familiar to these providers.Accessing the Registry is new for EALRs and hospice programs, but theDepartment has and will continue to make training and assistance avail-able to guide them through these changes.

Duplication:This rule does not duplicate any other law, rule or regulation.Alternatives:There are no alternatives to this proposal, which is necessary to imple-

ment legislative enactments expanding the provider types subject to theCHRC program and authorizing the use of advanced home health aides.

Federal Standards:The proposed regulations do not duplicate or conflict with any federal

regulations.Compliance Schedule:The regulations will be effective upon publication of a Notice of Adop-

tion in the New York State Register.

Regulatory Flexibility AnalysisEffect of Rule:To the extent this proposal implements statutory requirements related to

criminal history record checks (CHRCs), it will be applicable to adulthomes, enriched housing programs, residences for adults, and hospiceprograms. The provisions of the proposal related to advanced home healthaides will apply to certified home health agencies (CHHAs), long termcare home health care programs (LTHHCPs), or licensed home care ser-vices agencies (LHCSAs), hospice programs, or enhanced assisted livingresidences (EALRs) that choose to use advanced home health aides. Anyof these entities, depending on their size, could constitute a small business.This proposal will only impact local governments if they operate one ofthese entities.

Compliance Requirements:This proposal will require adult homes, enriched housing programs,

residences for adults, and hospice programs to request CHRCs pursuant toPHL Article 28-E whenever they determine to hire or otherwise useunlicensed individuals who provide direct care or supervision to patientsor residents. Consistent with the statutory provisions, compliance with theproposed regulations will require the completion of additional paperworkby these entities; for example, by completing a form that notifies theDepartment of a prospective employee who needs to be fingerprinted. Aprovider may also be asked to submit information not known to the Depart-ment to assist the Department in vetting and perfecting the criminal his-tory of a prospective employee. Further, providers will need to documentthe supervision of employees that they temporarily approve to work pend-ing the results of the CHRC.

The proposed regulatory changes related to advanced home health aidesare applicable to home care services agencies (meaning CHHAs,LTHHCPs, and LHCSAs), EALRs, and hospice programs only to theextent they desire to use such aides under the supervision of registeredprofessional nurses they employ. The registered professional nurses whosupervise advanced home health aides will spend additional time carryingout the supervisory obligations set forth in the law and proposed regula-tions, but to some extent this will be offset by the ability to use such aidesto carry out many of the tasks that otherwise would be carried out directlyby the nurses.

Home care service agencies, EALRs, and hospice programs are alreadyrequired to establish written policies and procedures related to variousoperational requirements, including the training and supervision ofemployees. Therefore, although additional paperwork will be required toensure that advanced home health aides are properly trained and super-vised, this type of documentation should be familiar to these providers.Accessing the Registry is new for EALRs and hospice programs, but theDepartment has and will continue to make training and assistance avail-able to guide them through these changes.

Professional Services:The CHRC provisions of this proposal are not expected to require any

additional use of professional services. The proposed regulatory changesrelated to advanced home health aides are applicable to home care ser-vices agencies (meaning CHHAs, LTHHCPs, and LHCSAs), EALRs, andhospice programs only to the extent they desire to use such aides, in whichcase they must ensure that the aides are supervised by registered profes-sional nurses. The registered professional nurses who supervise advancedhome health aides will spend additional time carrying out the supervisoryobligations set forth in the law and proposed regulations, but to someextent this will be offset by the ability to use such aides to carry out manyof the tasks that otherwise would be carried out directly by the nurses.

Compliance Costs:

Entities submitting CHRC requests must submit a fee, currently $99,together with a CHRC request, and will incur costs of approximately$12.00 per individual for obtaining the fingerprints. Pursuant to PHL§ 2899-a(9)(a), and as reflected in the proposed amendments to 10NYCRR § 402.10, providers will be reimbursed for such fees and costswhen funds are appropriated in the state budget.

If CHHAs, LTHHCPs, LHCSAs, EALRs, and hospice programs chooseto use advanced home health aides, they must do so under the supervisionof registered professional nurses they employ. The registered professionalnurses will spend additional time carrying out the supervisory obligationsset forth in the law and proposed regulations, but to some extent this willbe offset by the ability to use such aides to carry out many of the tasks thatotherwise would be carried out directly by the nurses.

Economic and Technological Feasibility:This proposal is economically and technically feasible. As indicated

above, providers will be reimbursed for fees and costs associated with theCHRC requirements. Providers that can and choose to use advanced homehealth aides must do so under the supervision of registered professionalnurses. It is expected that in many cases the additional time spent by theregistered professional nurses in supervising the advanced home healthaides will be offset by the ability to use such aides to carry out many of thetasks that otherwise would be carried out directly by the nurses.

Minimizing Adverse Impact:There are no alternatives to the proposed regulations, which are consis-

tent with the statutory provisions regarding CHRCs and advanced homehealth aides enacted by Chapters 60 and 94 of the Laws of 2014, Chapter471 of the Laws of 2016, and Chapter 206 of the Laws of 2017.

Small Business and Local Government Participation:Development of these regulations included input from organizations

including those whose members include providers that constitute smallbusinesses or are operated by local governments.

Cure Period:Chapter 524 of the Laws of 2011 requires agencies to include a “cure

period” or other opportunity for ameliorative action to prevent the imposi-tion of penalties on a party subject to enforcement when developing aregulation or explain in the Regulatory Flexibility Analysis why one is notincluded. As this proposed regulation does not create a new penalty orsanction, no cure period is necessary.

Rural Area Flexibility AnalysisNo rural area flexibility analysis is required pursuant to § 202-bb(4)(a) ofthe State Administrative Procedure Act. The proposed amendments willnot impose an adverse impact on facilities in rural areas, and will notimpose reporting, record keeping or other compliance requirements on fa-cilities in rural areas.

Job Impact StatementNo job impact statement is required pursuant to § 201-a(2)(a) of the StateAdministrative Procedure Act. No adverse impact on jobs and employ-ment opportunities is expected as a result of these proposed regulations.

Office of Mental Health

NOTICE OF ADOPTION

Early Periodic Screening, Diagnostic and Treatment Services forChildren

I.D. No. OMH-31-17-00001-A

Filing No. 480




Action taken: Amendment of Part 511 of Title 14 NYCRR.

Statutory authority: Mental Hygiene Law, sections 7.07 and 7.09

Subject: Early Periodic Screening, Diagnostic and Treatment Services forChildren.

Purpose: To promote the expansion of behavioral health services for chil-dren and youth under 21 years of age.

Text of final rule: (Statutory authority: Mental Hygiene Law §§ 7.07,7.09; 42 U.S.C. § 1396d(r)(5); 18 NYCRR § [507.6] 505.38)

§ 511.1 Background and Intent(a) Federal law requires state Medicaid programs to offer Early and


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Periodic Screening, Diagnostic and Treatment to all Medicaid-eligiblechildren under age 21. Commonly referred to as “EPSDT,” these servicesare designed to support childhood growth and development to ensure thatchildren in low income families receive the comprehensive and preventivehealth and behavioral health services they need. EPSDT services includeappropriate preventive, dental, health, behavioral health, developmentaland specialty services.

(b) Within the scope of EPSDT benefits under the federal Medicaid law,states are required to cover any service that is medically necessary “to cor-rect or ameliorate a defect, physical or mental illness, or a condition identi-fied by screening” and which are recommended by a Licensed Practitionerof the Healing Arts. Thus, EPSDT requires states not only to screen anddiagnose health and mental health illnesses or conditions in low incomechildren, but they must ensure children are provided treatment as well.

(c) New York State has obtained an amendment to its Medicaid StatePlan that authorizes the provision of six new children’s behavioral healthand health services under the EPSDT benefit. When recommended by aLicensed Practitioner of the Healing Arts, these six services will be madeavailable to any child eligible for Medicaid who meets relevant medicalnecessity criteria, and include:

(1) Crisis Intervention Services: services designed to interrupt and/orameliorate a behavioral health crisis through the provision of support to anindividual who may be experiencing a mental health crisis, and subse-quently connecting such individual to appropriate resources. For purposesof this Part, provision of this services does not connote examination, diag-nosis, care, treatment, rehabilitation, or training of a person with mentalillness and thus does not constitute a nonresidential service requiringlicensure under Mental Hygiene Law Section 31.02;

(2) Community Psychiatric Supports & Treatment: interventionsintended to achieve identified goals or objectives as set forth in a treatment/recovery plan;

(3) Family Peer Support Services: formal and informal servicesprovided to families of a child experiencing social, emotional, develop-mental, medical, substance use, and/or behavioral challenges in theirhome, school, placement, and/or community;

(4) Youth Peer Support and Training: formal and informal servicesand supports to ensure engagement and active participation of youth in thetreatment planning and implementation process;

(5) Other Licensed Practitioners: service provided by a non-physicianbehavioral health practitioner operating within a licensed children’s mentalhealth agency, who is licensed in New York and is operating within a scopeof practice defined in New York State law in any setting permissible undersuch law, including community based settings; and

(6) Psychosocial Rehabilitation Services: task-oriented servicesdesigned to compensate for or eliminate functional deficits and interper-sonal and/or behavioral health barriers associated with behavioral healthneeds.

(d) This Part is intended to establish standards applicable to providersof mental health services licensed or operated by the Office of MentalHealth that wish to be designated, or have been designated, as a providerof EPSDT [Crisis Intervention Services], Other Licensed Practitioners,and Community Psychiatric Supports and Treatment Services.

(e) This Part also establishes standards applicable to non-licensedproviders of mental health services that receive funding or have a contractfrom the Office that wish to be designated, or have been designated, as aprovider of any of the following EPSDT services: Crisis Intervention Ser-vices, Family Peer Support Services, or Youth Peer Support and Trainingand Psychosocial Rehabilitation Services.

§ 511.2 Legal base(a) Section 7.07(a) of the Mental Hygiene Law charges the Commis-

sioner of Mental Health with the responsibility for assuring the develop-ment of comprehensive plans, programs, and services in areas of research,prevention, care, treatment, rehabilitation, education, and training ofpersons with mental illness.

(b) Section 7.07(c) of the Mental Hygiene Law gives the Commissionerof Mental Health the responsibility for seeing that persons with mental ill-ness are provided with care and treatment, and that such care, treatment,and rehabilitation is of high quality and effectiveness.

(c) Section 7.09 of the Mental Hygiene Law grants the Commissionerof Mental Health the power and responsibility to adopt regulations that arenecessary and proper to implement matters under his or her jurisdiction.

(d) 42 U.S.C. § 1396d(r)(5) requires States to provide all medicallynecessary services that could be available under Medicaid to correct orameliorate physical and mental illnesses and conditions that are detectedin Medicaid-eligible children.

(e) 18 NYCRR § [507.6] 505.38 establishes standards for the designa-tion of qualified providers by the Department of Health to deliver EPSDTservices under the New York State Medicaid program.

§ 511.3 Applicability(a) The provisions of this Part are applicable to all providers of mental

health services licensed or operated by the Office of Mental Health thatare seeking or have obtained designation from the Office to offer EPSDT[Crisis Intervention Services], Other Licensed Practitioner, and Com-munity Psychiatric Supports & Treatment Services.

(b) This Part applies to non-licensed providers of mental health servicesthat received funding or have a contract from the Office that are seeking orhave obtained designation from the Office to offer EPSDT Crisis Interven-tion Services, Family Peer Support Services, Youth Peer Support andTraining, and Psychosocial Rehabilitation Services.

§ 511.4 Definitions. For purposes of this Part:(a) Child means a person no more than 21 years of age.(b) Crisis Event means an acute psychological/emotional change a child

or family member is experiencing which results in a marked increase inpersonal distress and which exceeds the abilities and the resources of thoseinvolved (e.g., provider, family member) to effectively resolve it.

(c) Cultural and linguistic competence means the ability of health careproviders and health care organizations to understand and respond ef-fectively to the cultural and language needs brought by a patient to a healthcare or behavioral health care encounter.

(d) EPSDT means the Federal Early and Periodic Screening, Diagnostic,and Treatment (EPSDT) benefit, which is a primary component of NewYork State’s Medicaid program for children and adolescents. It affords acomprehensive array of preventive health care and treatments for Medicaidrecipients from birth up until age 21 years.

(e) Family means a child’s primary caregiving unit, and is inclusive of awide diversity of primary caregiving units such as birth, foster, adoptive,grandparents, siblings, other kinship caregivers, or a self-created unit ofpeople with significant attachment to one another.

(f) Licensed Practitioner of the Healing Arts (LPHA) means the follow-ing professional staff:

(1) Marriage and Family Therapist, which means an individual whois currently licensed as a Marriage and Family Therapist by the New YorkState Education Department;

(2) Mental Health Counselor, which means an individual who is cur-rently licensed as a Mental Health Counselor by the New York StateEducation Department;

(3) Nurse Practitioner, which means an individual who is currentlycertified as a Nurse Practitioner by the New York State Education Depart-ment;

(4) Nurse Practitioner in psychiatry, which means an individual whois currently certified as a Psychiatric Nurse Practitioner by the New YorkState Education Department. For purposes of this Part, nurse practitionerin psychiatry shall have the same meaning as psychiatric nurse practi-tioner, as defined by the New York State Education Department;

(5) Physician, which means an individual who is currently licensedas a Physician by the New York State Education Department or possessesa permit from the New York State Education Department;

(6) Physician’s Assistant, which means an individual who is cur-rently registered as a Physician Assistant or a Specialist’s Assistant by theNew York State Education Department;

(7) Psychiatrist, which means an individual who is currently licensedas a Physician by the New York State Education Department and who iscertified by, or eligible to be certified by, the American Board of Psychia-try and Neurology;

(8) Psychoanalyst, which means an individual who is currentlylicensed as a Psychoanalyst by the New York State Education Department;

(9) Psychologist, which means an individual who is currentlylicensed as a Psychologist by the New York State Education Department;

(10) Registered Professional Nurse, which means an individual whois currently licensed as a Registered Professional Nurse by the New YorkState Education Department; and

(11) Social Worker, which means an individual who is currentlylicensed as a Master Social Worker or Clinical Social Worker by the NewYork State Education Department.

(g) Office means the Office of Mental Health.(h) State Agencies means and includes the New York State Office of

Mental Health, the New York State Department of Health, the New YorkState Office of Children and Family Services, and the New York State Of-fice of Alcoholism and Substance Abuse Services.

§ 511.5 Designation Process(a) Providers of mental health services must receive prior approval by

written designation of the Office to provide any or all of the followingEPSDT services:

(1) Crisis Intervention services are available to a child or a memberof his/her family who is experiencing a behavioral health crisis event, andare designed to:

(i) interrupt and/or ameliorate the crisis event;(ii) include an assessment that is culturally and linguistically

competent;(iii) result in immediate crisis resolution and de-escalation; and


19

(iv) result in the development of a crisis plan.(2) Community Psychiatric Support and Treatment services, which

include interventions intended to achieve identified goals or objectives asset forth in a treatment/recovery plan.

(3) Family Peer Support services, which include formal and informalservices to families of a child experiencing social, emotional, developmen-tal, medical, substance use, and/or behavioral challenges in their home,school, placement, and/or community.

(4) Other Licensed Practitioner services, which include servicesprovided by the following professionals, operating within a licensed chil-dren’s mental health agency, if currently licensed by State of New York toprescribe, diagnose, and/or treat individuals with a physical, mental ill-ness, substance use disorder, or functional limitations at issue, providedsuch professionals are operating within their respective scope of practiceand in a setting permitted under New York State law, including communitysettings:

(i) Licensed Psychoanalyst;(ii) Licensed Clinical Social Worker;(iii) Licensed Marriage & Family Therapist;(iv) Licensed Mental Health Counselor; or(v) Licensed Master Social Worker under the supervision or direc-

tion of a Licensed Clinical Social Worker, a Licensed Psychologist, or aPsychiatrist.

(5) Psychosocial Rehabilitation services, which are task-oriented ser-vices designed to restore, compensate for, or eliminate functional deficitsand interpersonal and/or behavioral health barriers associated withbehavioral health needs.

(6) Youth Peer Support and Training services are formal and informalservices and supports to ensure engagement and active participation ofyouth in the treatment planning and implementation process.

(b) Requests for designation to provide EPSDT services shall be madein a form and format established by the Office.

(c) To be eligible for designation, the applicant must:(1) be enrolled in the Medicaid program prior to commencing service

delivery;(2) have a demonstrated history of compliance with applicable federal

and state laws and regulations governing the provision of mental healthservices; and

(3) satisfy requisite criteria identified in the New York State PlanAmendment Designation Application and the standards of care identifiedin the Children’s Health and Behavioral Health Services TransformationMedicaid State Plan Provider Manual.

(d) The Office shall provide its designation in writing, which shallidentify the services such designation authorizes the provider to deliver.The provider of services must retain a copy of the approval document andshall make it available for inspection upon request of the Office.

(e) Failure to adhere to the requirements set forth in this Part, or anyother applicable laws or regulations relevant to the provision of health orbehavioral health services, may be grounds for revocation of designation.In the event that the Office determines that designation must be revoked, itwill notify the provider of its decision in writing. The provider may requestan informal administrative review of such decision.

(1) The provider must request such review in writing within 14 daysof the date it receives notice of revocation of designation to provideEPSDT services to the Commissioner or designee. The request shall statespecific reasons why the provider considers the revocation of approvalincorrect and shall be accompanied by any supporting evidence orarguments.

(2) The Commissioner or designee shall notify the provider, in writ-ing, of the results of the informal administrative review within 14 days ofreceipt of the request for review. Failure of the Commissioner or designeeto respond within that time shall be considered confirmation of therevocation.

(3) The Commissioner’s determination after informal administrativereview shall be final and not subject to further administrative review.

(4) A provider whose designation has been revoked pursuant to thisSection may be considered again for designation at the discretion of theOffice, in consultation with the State Agencies.

§ 511.6 GuidelinesThe Office shall develop guidelines to assist providers in complying

with the provisions of this Part and in delivering EPSDT services. The Of-fice shall post such guidelines on its public website.

§ 511.7 Incorporation by reference.The provisions of the Children’s Health and Behavioral Health Services

Transformation Medicaid State Plan Provider Manual which have beenincorporated by reference in this Part, have been filed in the Office of theSecretary of State of the State of New York, the publication so filed beingthe document entitled: Children’s Health and Behavioral Health ServicesTransformation Medicaid State Plan Provider Manual, published in March,2016, and any subsequent updates. This document incorporated by refer-

ence may be examined at the Office of the Department of State, 99Washington Ave, Albany, NY 12231 or obtained from the Office of MentalHealth Records Access Officer, 44 Holland Avenue; Albany, NY 12229.

Final rule as compared with last published rule: Substantial revisionswere made in sections 511.1(d), (e), 511.3(a) and (b).

Text of rule and any required statements and analyses may be obtainedfrom: Kelly Grace, Senior Attorney, New York State Office of MentalHealth, 44 Holland Avenue, (518) 472-6945, email:[email protected]

Revised Regulatory Impact Statement

A revised regulatory impact statement is not submitted with this noticebecause the rule is within the definition contained in section 102(2)(a)(ii)of the State Administrative Procedure Act.

Revised Regulatory Flexibility Analysis

A revised regulatory flexibility analysis is not submitted with this noticebecause the rule is within the definition contained in section 102(2)(a)(ii)of the State Administrative Procedure Act.

Revised Rural Area Flexibility Analysis

A revised rural area flexibility analysis is not submitted with this noticebecause the rule is within the definition contained in section 102(2)(a)(ii)of the State Administrative Procedure Act.

Revised Job Impact Statement

A revised job impact statement is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.




NOTICE OF ADOPTION

Transfer of Control

I.D. No. PSC-51-17-00014-A




Action taken: On 5/15/18, an order was adopted denying Time WarnerCable Northeast LLC’s (Time Warner) petition for a transfer of thesystems, franchises and facilities from Hamilton County Cable T.V. Inc.(HCC) to Time Warner.

Statutory authority: Public Service Law, section 222

Subject: Transfer of control.

Purpose: To deny Time Warner’s petition for the transfer of substantiallyall assets of HCC to Time Warner.

Substance of final rule: On May 15, 2018, an order was adopted denyingTime Warner Cable Northeast LLC’s (Time Warner) petition for thetransfer of the systems, franchises and facilities from Hamilton CountyCable T.V., Inc. to Time Warner for the provision of cable service in theTowns of Wells, Lake Pleasant, Indian Lake, and Johnsburg in HamiltonCounty and the Village of Speculator in Delaware County, subject to theterms and conditions set forth in the order.


Text of rule may be obtained from: John Pitucci, Public Service Commis-sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655,email: [email protected] An IRS employer ID no. or social secu-rity no. is required from firms or persons to be billed 25 cents per page.Please use tracking number found on last line of notice in requests.


An assessment of public comment is not submitted with this notice becausethe rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(17-V-0733SA1)


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Use of Unspent Funds Previously Allocated to the NY-SunInitiative for Years 2014 and 2015

I.D. No. PSC-22-18-00005-P


Proposed Action: The Commission is considering NYSERDA’s petitionrequesting that the Commission determine that unspent RenewablePortfolio Standard (RPS) funds allocated to the NY-Sun Initiative in 2013for years 2014 and 2015 remain available to NY-Sun.Statutory authority: Public Service Law, sections 5(2) and 66(1)Subject: Use of unspent funds previously allocated to the NY-Sun Initia-tive for years 2014 and 2015.Purpose: To efficiently encourage the preservation of environmentalvalues and the conservation of natural resources.Substance of proposed rule: The Public Service Commission is consider-ing the Revised Petition for Clarification Regarding Order ApprovingPhase 2 Implementation Plan in Clean Energy Standard Proceeding, filedby the New York State Energy Research and Development Authority(NYSERDA) on May 9, 2018 regarding funds allocated to NY-Sun.NYSERDA explains that the Commission’s December 2013 OrderAuthorizing the Redesign of the Solar Photovoltaic Programs and theReallocation of Main Tier Unencumbered Funds allocated certain Renew-able Portfolio Standard (RPS) funds to the NY-Sun Initiative, while theCommission’s January 2016 Order Authorizing the Clean Energy Fund(CEF) Framework specified uses for uncommitted/unspent RPS funds thatdid not include NY-Sun. NYSERDA explains that RPS funds allocated toNY-Sun have become uncommitted since the issuance of the 2016 CEFOrder and requests that the Commission determine that unspent RPS fundsallocated to the NY-Sun Initiative in 2013 for years 2014 and 2015 remainavailable to NY-Sun. The full text of the petition and the full record of theproceeding may be reviewed online at the Department of Public Serviceweb page: www.dps.ny.gov. The Commission may adopt, reject, ormodify, in whole or in part, the action proposed and may resolve relatedmatters.

Text of proposed rule and any required statements and analyses may beobtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: JohnPitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: [email protected]

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


Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(14-M-0094SP10)



Intent to Submeter Electricity and Requested Waiver of theEnergy Audit Requirement

I.D. No. PSC-22-18-00006-P


Proposed Action: The Commission is considering the notice of intent ofWP North Tower LLC to submeter electricity at 55 Bank Street, WhitePlains, New York and request for waiver of 16 NYCRR section 96.5(k)(3).

Statutory authority: Public Service Law, sections 2, 4(1), 30, 32-48, 52,53, 65(1), 66(1), (2), (3), (4), (12) and (14)

Subject: Intent to submeter electricity and requested waiver of the energyaudit requirement.

Purpose: To ensure adequate submetering equipment, consumer protec-tions, and energy efficiency protections are in place.

Substance of proposed rule: The Commission is considering the notice ofintent of WP North Tower LLC, filed January 16, 2018, to submeterelectricity at 55 Bank Street, White Plains, New York, located in the ser-vice territory of Consolidated Edison Company of New York, Inc. (ConEdison). By stating its intent to submeter electricity, WP North TowerLLC has requested authorization to take electric service from Con Edisonand then distribute and meter that electricity to tenants. Submetering ofelectricity to residential tenants is allowed so long as it complies with theprotections and requirements of the Commission’s regulations in 16NYCRR Part 96. The Commission is also considering the Owner’s requestfor a waiver of 16 NYCRR § 96.5(k)(3), which requires proof that anenergy audit has been conducted when 20 percent or more of the residentsreceive income-based housing assistance. The full text of the notice ofintent, waiver request and the full record of the proceeding may bereviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, reject or modify, in wholeor in part, the action proposed and may resolve related matters.




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-E-0024SP1)



Intent to Submeter Electricity

I.D. No. PSC-22-18-00007-P


Proposed Action: The Commission is considering the notice of intent ofRed Apple Surf Realty III to submeter electricity at 3514 Surf Avenue,Brooklyn, New York.


Subject: Intent to submeter electricity.

Purpose: To ensure adequate submetering equipment and consumerprotections are in place.

Substance of proposed rule: The Commission is considering the notice ofintent of Red Apple Surf Realty III (Owner), filed on March 21, 2018, tosubmeter electricity at 3514 Surf Avenue, Brooklyn, New York, located inthe service territory of Consolidated Edison Company of New York, Inc.(Con Edison). By stating its intent to submeter electricity, Red Apple SurfRealty III has requested authorization to take electric service from ConEdison and then distribute and meter that electricity to tenants. Submeter-ing of electricity to residential tenants is allowed so long as it complieswith the protections and requirements of the Commission’s regulations in16 NYCRR Part 96. The full text of the notice of intent and the full recordof the proceeding may be reviewed online at the Department of PublicService web page: www.dps.ny.gov. The Commission may adopt, reject ormodify, in whole or in part, the action proposed and may resolve relatedmatters.





21







Intent to Submeter Electricity

I.D. No. PSC-22-18-00008-P


Proposed Action: The Commission is considering the notice of intent ofMadison 30 31 Owner LLC to submeter electricity at 15 East 30th Street,New York, New York.


Subject: Intent to submeter electricity.

Purpose: To ensure adequate submetering equipment and consumerprotections are in place.

Substance of proposed rule: The Commission is considering the notice ofintent of Madison 30 31 Owner LLC (Owner), filed March 28, 2018, tosubmeter electricity at 15 East 30th Street, New York, New York, locatedin the service territory of Consolidated Edison Company of New York,Inc. (Con Edison). By stating its intent to submeter electricity, Madison 3031 Owner LLC, has requested authorization to take electric service fromCon Edison and then distribute and meter that electricity to tenants.Submetering of electricity to residential tenants is allowed so long as itcomplies with the protections and requirements of the Commission’sregulations at 16 NYCRR Part 96. The full text of the notice of intent andthe full record of the proceeding may be reviewed online at the Depart-ment of Public Service web page: www.dps.ny.gov. The Commission mayadopt, reject or modify, in whole or in part, the action proposed and mayresolve related matters.







Expand the SmartCharge New York Program to IncludeMedium-Duty and Heavy-Duty Electric Vehicles

I.D. No. PSC-22-18-00009-P


Proposed Action: The Commission is considering a petition filed byConsolidated Edison Company of New York, Inc. regarding expandingeligibility for its SmartCharge New York Electric Vehicle chargingprogram.

Statutory authority: Public Service Law, section 66(1)

Subject: Expand the SmartCharge New York Program to include medium-duty and heavy-duty electric vehicles.

Purpose: To ensure just and reasonable rates in the context of chargingelectric vehicles, including incentivizing off-peak charging.

Substance of proposed rule: The Commission is considering a petitionfiled on March 1, 2018, by Consolidated Edison Company of New York,Inc. to expand its SmartCharge New York light-duty Electric Vehiclecharging program to also include medium-duty and heavy-duty electricvehicles, including buses. The Company proposes to incentivize off-peakcharging for these vehicles and does not anticipate this vehicle expansionwould result in funding needs beyond those already established under thecurrent EV program. The full text of the petition may be reviewed onlineat the Department of Public Service web page: www.dps.ny.gov. The Com-mission may adopt, reject or modify, in whole or in part, the actionproposed and may resolve related matters.





Department of Transportation

NOTICE OF WITHDRAWAL

Preservation of Consistency with 49 CFR Safety RegulationsApplicable to Commercial Motor Carriers in New York State

I.D. No. TRN-08-18-00001-W


Action taken: Notice of proposed rule making, I.D. No. TRN-08-18-00001-P, has been withdrawn from consideration. The notice of proposedrule making was published in the State Register on February 21, 2018.

Subject: Preservation of consistency with 49 CFR safety regulations ap-plicable to commercial motor carriers in New York State.

Reason(s) for withdrawal of the proposed rule: Public comment receivedin opposition to incorporation of the Part 395 Federal ELD rules into 17NYCRR Part 820.

Public comment:

One comment was submitted in opposition to the requirement oftransitioning to recordation of driver hours of service via utilization ofelectronic logging devices (ELD) in commercial motor vehicles (see,49 CFR Part 395).



Electric Powered Motor Vehicle Equipment

I.D. No. TRN-22-18-00001-P


Proposed Action: This is a consensus rule making to repeal section 720.9of Title 17 NYCRR.

Statutory authority: Transportation Law, section 14(18)

Subject: Electric powered motor vehicle equipment.

Purpose: To repeal section 720.9.

Substance of proposed rule (Full text is posted at the following Statewebsite: https://www.dot.ny.gov/divisions/operating/osss/bus/inspection): 17 NYCRR 720.9 was added upon publication in the StateRegister on 5/19/1999. A key component of the regulations is continuing


22



compliance with federal standards as set forth in Federal Motor VehicleSafety Standards (FMVSS) in 49 CFR Part 571. Other states have eitherupdated their regulations to meet these standards, or have no regulationsthat address this topic. New York is the only state that has not, at a mini-mum, updated its regulation(s) to meet federal standards set forth in theNational School Transportation Specifications and Procedures – 2010edition. As this segment of the industry has evolved greatly since 1999,the Department’s current section 720.9 regulation has been renderedobsolete. FMVSS Sec 571.301 has been updated as recently as 2011. TheDepartment’s regulation does not reference FMVSS Sec 571.305, whichspecifically sets standards for Electric-Powered Vehicles: Electrolyte Spill-age and Electrical Shock Protection; this standard was updated as recentlyas September of 2017. In current form, 17 NYCRR 720.9 conflicts withFMVSS and with National Highway Traffic and Safety Administration’sHighway Safety Guidelines and may cause undue increase in operation orproduction costs for manufacturers. The proposed repeal of 17 NYCRR720.9 is a deregulatory action which imposes no costs and will providemore flexibility to manufacturers to use modern electrical safety designsto produce electric vehicles and to introduce new technologies to the U.S.market.

Following is a summary of the subject matter of section 720.9 brokenout by subdivision:

17 NYCRR 720.9(a) – Defines commonly used terms related to thistopic. Compared with current definitions set forth in FMVSS Sec 571.305,the Department’s regulation does not contain many of the definitions cur-rently in use. The definitions that it does contain have language thatconflicts with the current FMVSS definitions.

17 NYCRR 720.9(b) – Provides guidelines for identification of electri-cal hazards on any door, cover or panel that provides access to high volt-age areas. When compared to current guidelines set forth in FMVSS Sec571.305, the Department’s regulation contains guidance conflicting withcurrent standards, specifically with current symbol, shape, and colorrequirements.

17 NYCRR 720.9(c) – Provides guidelines for equipment required forelectric and hybrid-electric buses. These guidelines are predicated on thevehicle meeting the definitions set forth in 17 NYCRR 720.9(a). As statedpreviously, said definitions do not meet current regulatory definitions inFMVSS Sec 571.305.

17 NYCRR 720.9(d) – Provides guidelines for batteries and batterycompartments with respect to crash worthiness which conflict with currentFMVSS standards. These guidelines require design and construction ofbattery compartments to meet standards for which no testing instruction orspecifications have been illustrated for manufacturers to follow.

17 NYCRR 720.9(e) – Provides guidelines for requirements of electricpropulsion circuits. These guidelines conflict with current regulatory stan-dards as set forth in FMVSS Sec 571.305.

17 NYCRR 720.9(f) – Provides guidelines for drive range selectors. Nocurrent regulatory requirement exists in the federal standards.

17 NYCRR 720.9(g) – Provides guidelines for electric overloadprotection. No current regulatory requirement exists in the federalstandards.

17 NYCRR 720.9(h) – Provides guidelines for regenerative brakingsystems. No current regulatory requirement exists in the federal standards.

17 NYCRR 720.9(i) – Provides requirements for back-up alarms. Nocurrent regulatory requirement exists in the federal standards.

Text of proposed rule and any required statements and analyses may beobtained from: Alan Black, Legal Assistant 2, NYSDOT, 50 Wolf Road,Albany, NY 12232, (518) 485-9953, email: [email protected]



Consensus Rule Making DeterminationPer SAPA section 102(11)(a), “Consensus rule” means a rule proposed byan agency for adoption on an expedited basis pursuant to the expectationthat no person is likely to object to its adoption because it merely (a)repeals regulatory provisions which are no longer applicable to any person.NYSDOT has determined that no person is likely to object to repeal of 17NYCRR Section 720.9, which was adopted in 1999 to establish require-ments for the safe introduction and operation of electric and hybrid-electricbuses placed in passenger service. Due to the progress of the subjecttechnology since the 1999 rule adoption, the regulatory provisions in Sec-tion 720.9 are deemed obsolete.

Job Impact StatementThe policy objective of repealing 17 NYCRR Section 720.9 is the removalof obsolete provisions from the safety regulations enforced by theDepartment. No job impacts are anticipated due to this action.


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HEARINGS SCHEDULED

FOR PROPOSED RULE MAKINGS

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

Environmental Conservation, Department of

ENV-12-18-00043-P . . . . . . . . . . . . . . . . . . . . . . . . BEACH Act standards and reclassificationrule

Department of Environmental Conservation,47-40 21st St., Long Island City, NY—June 7,2018, 2:00 p.m.

Department of Environmental Conservation,6274 E. Avon-Lima Rd., Avon, NY—June 5,2018, 2:00 p.m.

ENV-20-18-00006-P . . . . . . . . . . . . . . . . . . . . . . . . CO2 emissions standards for major electricgenerating facilities

Department of Environmental Conservation,625 Broadway, Public Assembly Rm. 129 A/B,Albany, NY—July 16, 2018, 11:00 a.m.

Department of Transportation, One Hunter’sPoint Plaza, 47-40 21st St., Rm. 834, LongIsland City, NY—July 18, 2018, 11:00 a.m.

Department of Environmental Conservation,6274 E. Avon-Lima Rd., (Rtes. 5 and 20),Conference Rm., Avon, NY—July 24, 2018,11:00 a.m.

ENV-20-18-00007-P . . . . . . . . . . . . . . . . . . . . . . . . Repeal and replace 6 NYCRR Parts 243, 244and 245 and amend 6 NYCRR Part 200

Department of Environmental Conservation,625 Broadway, Public Assembly Rm. 129 A/B,Albany, NY—July 16, 2018, 11:00 a.m.

Department of Transportation, One Hunter’sPoint Plaza, 47-40 21st St., Rm. 834, LongIsland City, NY—July 18, 2018, 11:00 a.m.

Department of Environmental Conservation,6274 E. Avon-Lima Rd., (Rtes. 5 and 20),Conference Rm., Avon, NY—July 24, 2018,11:00 a.m.

Labor, Department of

LAB-17-18-00005-P . . . . . . . . . . . . . . . . . . . . . . . . Hours worked, 24-hour shifts Department of Labor, 55 Hanson Place,Brooklyn, NY—July 11, 2018, 11:00 a.m.

Long Island Power Authority

LPA-15-18-00011-P . . . . . . . . . . . . . . . . . . . . . . . . The Authority’s discounts for low-incomecustomers

H. Lee Dennison Bldg., 100 Veterans Memo-rial Hwy., Hauppauge, NY—June 4, 2018,10:00 a.m.

Long Island Power Authority, 333 EarleOvington Blvd., 4th Fl., Uniondale, NY—June4, 2018, 2:00 p.m.

LPA-15-18-00012-P . . . . . . . . . . . . . . . . . . . . . . . . A new time-of-use pilot rate option for resi-dential customers

H. Lee Dennison Bldg., 100 Veterans Memo-rial Hwy., Hauppauge, NY—June 4, 2018,10:00 a.m.


LPA-15-18-00013-P . . . . . . . . . . . . . . . . . . . . . . . . Outdoor area lighting H. Lee Dennison Bldg., 100 Veterans Memo-rial Hwy., Hauppauge, NY—June 4, 2018,10:00 a.m.



PSC-20-18-00008-P . . . . . . . . . . . . . . . . . . . . . . . . Proposed major rate increase in O&R’s gasdelivery revenues of approximately $4.5 mil-lion (or 1.5% in total revenues)

Department of Public Service, Agency Bldg.Three, 3rd Fl. Hearing Rm., Albany, NY—July16, 2018, 10:00 a.m. and continuing daily asneeded (Evidentiary Hearing)*


24

*On occasion, there are requests to rescheduleor postpone evidentiary hearing dates. If such arequest is granted, notification of anysubsequent scheduling changes will be avail-able at the DPS website (www.dps.ny.gov)under Case 18-G-0068.

PSC-20-18-00009-P . . . . . . . . . . . . . . . . . . . . . . . . Proposed major rate increase in O&R’selectric delivery revenues of approximately$20.3 million (or 2.3% in total revenues)

Department of Public Service, Agency Bldg.Three, 3rd Fl. Hearing Rm., Albany, NY—July16, 2018, 10:00 a.m. and continuing daily asneeded (Evidentiary Hearing)*

*On occasion, there are requests to rescheduleor postpone evidentiary hearing dates. If such arequest is granted, notification of anysubsequent scheduling changes will be avail-able at the DPS website (www.dps.ny.gov)under Case 18-E-0067.

State, Department of

DOS-20-18-00001-EP . . . . . . . . . . . . . . . . . . . . . . Miminum standards for administration andenforcement of the Uniform Code and EnergyCode

Department of State, 99 Washington Ave., Rm.505, Albany, NY—July 17, 2018, 10:00 a.m.

DOS-20-18-00002-EP . . . . . . . . . . . . . . . . . . . . . . Suspension and revocation of certifications ofcode enforcement personnel

Department of State, 99 Washington Ave., Rm.505, Albany, NY—July 24, 2018, 10:00 a.m.


25

ACTION PENDING

INDEX

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

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

Agencycode

Issuenumber

Yearpublished

Serialnumber

ActionCode

AAM 01 12 00001 P

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

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

AGRICULTURE AND MARKETS, DEPARTMENT OF

AAM-13-18-00013-P . . . . . . . . . . . 03/28/19 National Institute of Standards andTechnology (‘‘NIST’’) Handbook 44

To incorporate NIST Handbook 44 (2018edition)

AAM-18-18-00003-P . . . . . . . . . . . 05/02/19 Repeal of Part 141 of 1 NYCRR (Control ofthe Emerald Ash Borer)

Repealing the regulation since quarantines inthe rule have not stopped the spread of thisinsect in New York State

AAM-18-18-00004-P . . . . . . . . . . . 05/02/19 Milk dealer reports To exempt milk dealers operating plants thatreceive 600,000 lbs. or less of milk, yearly,from having to file plant reports

AAM-21-18-00032-P . . . . . . . . . . . 05/23/19 Incorporate by reference in 1 NYCRR the2018 edition of National Institute of Standardsand Technology (‘‘NIST’’) Handbook 133

To incorporate by reference in 1 NYCRR the2018 edition of NIST Handbook 133

ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, OFFICE OF

ASA-12-18-00001-P . . . . . . . . . . . 03/21/19 Problem Gambling Treatment and RecoveryServices

Repeals existing gambling regulation; replaceswith substantially updated provisions

ASA-13-18-00001-P . . . . . . . . . . . 03/28/19 Authorization for physicians to use controlledsubstances for treatment of chemicaldependence

Repeals obsolete regulation

ASA-21-18-00025-P . . . . . . . . . . . 05/23/19 Credentialing of Addictions Professionals Repeal obsolete rules; update process ofcredentialing addictions professionals

ASA-21-18-00026-P . . . . . . . . . . . 05/23/19 Appeals, Hearings and Rulings Protect patient confidentiality, update dueprocess provisions, technical amendments.

AUDIT AND CONTROL, DEPARTMENT OF

AAC-06-18-00002-P . . . . . . . . . . . 02/07/19 Update provisions relating to EmployerReporting; Service Credit Determination forcertain members; and Notice of Hearings

To update language necessitated by themodernization and redesign of the retirementsystem’s benefit administration system

AAC-21-18-00037-P . . . . . . . . . . . 05/23/19 Adjustments to merchandise/invoice receiptdates

To correct internal regulatory inconsistenciesrelating to adjustments to merchandise/invoicereceipt dates

NYS Register/May 30, 2018 Action Pending Index

27

CHILDREN AND FAMILY SERVICES, OFFICE OF

CFS-51-17-00017-ERP . . . . . . . . . . . 12/20/18 Specialized secure detention facilities To establish specialized secure detentionfacilities

CFS-13-18-00011-P . . . . . . . . . . . 03/28/19 Expansion of definition of prospective relativeguardian and expansion of KinGAP eligibility

To expand definition of prospective relativeguardian and KinGAP eligibility

CFS-14-18-00003-EP . . . . . . . . . . . 04/04/19 Group size and supervision ratios in legally-exempt child care settings & legally-exemptgroup child care financial incentives

To establish group size and supervision ratiosin legally-exempt child care settings & financialincentives

CFS-15-18-00007-EP . . . . . . . . . . . 04/11/19 Specialized secure detention facilities To establish specialized secure detentionfacilities

CIVIL SERVICE, DEPARTMENT OF

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

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

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

CVS-47-17-00001-P . . . . . . . . . . . 11/22/18 Jurisdictional Classification To delete positions from and classify positionsin the non-competitive class


CVS-47-17-00003-P . . . . . . . . . . . 11/22/18 Jurisdictional Classification To delete positions from and classify a positionin the exempt class



CVS-47-17-00006-P . . . . . . . . . . . 11/22/18 Jurisdictional Classification To classify a position in the non-competitiveclass

CVS-47-17-00007-P . . . . . . . . . . . 11/22/18 Jurisdictional Classification To classify positions in the exempt class.





CVS-50-17-00004-P . . . . . . . . . . . 12/13/18 Jurisdictional Classification To classify positions in the exempt class



NYS Register/May 30, 2018Action Pending Index


28





CVS-50-17-00010-P . . . . . . . . . . . 12/13/18 Jurisdictional Classification To delete positions from and classify a positionin the non-competitive class







CVS-12-18-00012-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To classify a subheading and a position in thenon-competitive class








CVS-12-18-00020-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete subheading & positions from; to addheading, subheading & positions in exempt andnon-competitive classes


CVS-12-18-00022-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete positions in the exempt class and thenon-competitive class



29


CVS-12-18-00023-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete positions in the non-competitive class

CVS-12-18-00024-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To classify a position in the exempt class andto delete a position from the non-competitiveclass












CVS-12-18-00036-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete a position from and classify aposition in the non-competitive class



CVS-12-18-00039-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To classify a position in the exempt class andto delete a position from the non-competitiveclass


CVS-12-18-00041-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To delete a position from and classify aposition in the exempt class







30












CVS-15-18-00006-P . . . . . . . . . . . 04/11/19 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class


CVS-21-18-00002-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class.





CVS-21-18-00007-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete positions from the exempt class






31





CVS-21-18-00014-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete positions from and classify positionsin the exempt and non-competitive classes




CVS-21-18-00018-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete positions from the exempt class

CVS-21-18-00019-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To classify positions in the exempt class and todelete positions from the non-competitive class

CVS-21-18-00020-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class


CVS-21-18-00022-P . . . . . . . . . . . 05/23/19 Jurisdictional Classification To delete positions from and classify positionsin the exempt class and to delete a positionfrom the non-competitive class



COMMISSIONER OF PILOTS, BOARD OF

COP-18-18-00002-P . . . . . . . . . . . . exempt Pilotage fees for the Long Island Sound andBlock Island Sound

To assess fees for pilotage on the Long IslandSound and Block Island Sound

CORRECTION, STATE COMMISSION OF

CMC-44-17-00003-P . . . . . . . . . . . 11/01/18 Inmate confinement and deprivation Require local correctional facilities to record,review and report inmate cell confinement andessential service deprivation

CMC-44-17-00012-RP . . . . . . . . . . . 11/01/18 Inmate confinement and deprivation Require local correctional facilities to record,review and report inmate cell confinement andessential service deprivation

ECONOMIC DEVELOPMENT, DEPARTMENT OF

EDV-08-18-00002-P . . . . . . . . . . . 02/21/19 Excelsior Jobs Program To update provisions of Excelsior JobsProgram to conform to statute



32

EDUCATION DEPARTMENT

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

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

EDU-52-17-00011-RP . . . . . . . . . . . 12/27/18 Grade-level extensions for certain candidateswho hold a Students with DisabilitiesGeneralist certificate

To expand the pool of qualified teachers ofstudents with disabilities by establishing gradelevel extensions for certificates

EDU-52-17-00012-ERP . . . . . . . . . . . 12/27/18 Superintendent determination for certainstudents with disabilities to graduate with alocal diploma

To expand the safety net options for studentswith disabilities to graduate with local diplomaswhen certain conditions are met

EDU-03-18-00001-ERP . . . . . . . . . . . 01/17/19 180 Day Requirement for State Aid purposes To clarify the requirement for 180 days ofinstruction for State aid purposes

EDU-13-18-00027-P . . . . . . . . . . . 03/28/19 Teacher Certification in Health Education Creation of a Transitional K Certificate forCertain New York State Licensed HealthProfessionals to Teach Health Education

EDU-13-18-00028-EP . . . . . . . . . . . 03/28/19 Laboratory Experiences Required to Take aScience Regents Examination for Students inCertain State Agency Educational Programs

To provide flexibility in meeting the sciencelaboratory requirements for certain students

EDU-17-18-00006-P . . . . . . . . . . . 04/25/19 To allow individual evaluation for certaincertificate titles in the classroom teachingservice

To help address the reported teacher shortagein NYS

EDU-17-18-00007-P . . . . . . . . . . . 04/25/19 Operation of Licensed Private Career Schools To make technical amendment to Part 126 toimplement the law and to conform to currentpractice

EDU-17-18-00008-P . . . . . . . . . . . 04/25/19 Teacher certification requirements forteachers who hold SWD generalist (7-12)certificate and teach in a special class

To create limited extensions for teacher holdinga students with disabilities generalist certificatewho teach a special class in grades 7-12

EDU-17-18-00016-P . . . . . . . . . . . 04/25/19 Registration standards for libraries andpreservation of library research materials

To clarify terminology relating to registrationstandards for libraries and to implement Ed.Law § 273 (7)

EDU-19-18-00006-P . . . . . . . . . . . 05/09/19 The implementation of New York’s approvedESSA plan to comply with the provisions ofthe Every Student Succeeds Act

To implement New York’s approved ESSA planand to comply with the provisions of the EveryStudent Succeeds Act

EDU-21-18-00039-EP . . . . . . . . . . . 05/23/19 Reports of Incidents of Harassment, Bullyingand/or Discrimination Pursuant to the Dignityfor All Students Act (DASA)

To provide illustrative examples to the field toaid in the continued implementation of DASA

EDU-21-18-00040-P . . . . . . . . . . . 05/23/19 Allow Individuals Completing a ProgramAccredited by the American Speech,Language, and Hearing Association (ASHA)to Obtain an

Allow individuals completing a programaccredited by ASHA to obtain an initialcertificate in speech language disabilities

EDU-21-18-00048-P . . . . . . . . . . . 05/23/19 Voluntary Institutional Accreditation for Title IVPurposes

To establish a fee structure for institutionalaccreditation by the Board of Regents andCommissioner of Education

ELECTIONS, STATE BOARD OF

SBE-15-18-00010-EP . . . . . . . . . . . 04/11/19 Establishing a process for the state board topublish the campaign website addresses ofcertain candidates on its website

To allow voters to easily find a candidate’scampaign website and obtain more informationabout candidates for public office



33

ELECTIONS, STATE BOARD OF

SBE-18-18-00007-P . . . . . . . . . . . 05/02/19 Standardizes subpoena requests and requiresreporting of enforcement activity

Provides procedures related to the SBOE’ssubpoena authority and requires reporting ofthe SBOE’s enforcement activity

SBE-21-18-00047-P . . . . . . . . . . . 05/23/19 Implementation of the Democracy ProtectionAct

The rule effectuates the amendments to article14 of the Election Law resulting from chapter59 of the Laws of 2018

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

*ENV-06-17-00001-RP . . . . . . . . . . . 06/29/18 Amendments to 6 NYCRR Part 617 (whichimplement the State Environmental QualityReview Act [Article 8 of the ECL])

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

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

To revise regulations concerning therecreational harvest of summer flounder in NewYork State

ENV-12-18-00043-P . . . . . . . . . . . 06/07/19 BEACH Act Standards and ReclassificationRule

To comply with the federal BEACH Act of 2000(P.L. 106-284) and protect coastal recreationwaters for recreation

ENV-13-18-00025-P . . . . . . . . . . . 03/28/19 Peekamoose Valley Riparian Corridor To establish a permit system to protect publicsafety and natural resources on thePeekamoose Valley Riparian Corridor

ENV-16-18-00003-EP . . . . . . . . . . . 04/18/19 Regulations governing the recreational andcommercial fishing of Tautog (blackfish)

To revise regulations concerning therecreational and commercial harvest of Tautogin New York State

ENV-16-18-00004-EP . . . . . . . . . . . 04/18/19 Regulations governing the recreational fishingof scup and summer flounder (fluke)

To revise regulations concerning therecreational harvest of scup and summerflounder in New York State

ENV-17-18-00004-P . . . . . . . . . . . 04/25/19 Control of the Emerald Ash Borer To repeal existing restrictions on the movementof ash wood, logs, firewood, nursery stock andwood chips

ENV-20-18-00003-EP . . . . . . . . . . . 05/16/19 Regulations governing the harvest of lobster To repeal the most restrictive rule as it appliesto closed seasons for lobster harvest

ENV-20-18-00006-P . . . . . . . . . . . 07/24/19 CO2 Emissions Standards for Major ElectricGenerating Facilities

To establish CO2 emissions standards forexisting major electric generating facilities

ENV-20-18-00007-P . . . . . . . . . . . 07/24/19 Repeal and replace 6 NYCRR Parts 243, 244and 245 and amend 6 NYCRR Part 200

Parts 243, 244 and 245 set forth the processthe Department will use to allocate allowancesunder EPA’s CSAPR Trading Programs

ENV-21-18-00028-P . . . . . . . . . . . 05/23/19 Sanitary Condition of Shellfish Lands To reclassify underwater shellfish lands toprotect public health

ENV-21-18-00029-P . . . . . . . . . . . 05/23/19 Northern Catskill Riparian Areas To ensure public safety and protect naturalresources on the Northern Catskill RiparianAreas

FINANCIAL SERVICES, DEPARTMENT OF

*DFS-17-16-00003-P . . . . . . . . . . . . exempt Plan of Conversion by Commercial TravelersMutual Insurance Company

To convert a mutual accident and healthinsurance company to a stock accident andhealth insurance company



34

FINANCIAL SERVICES, DEPARTMENT OF

*DFS-18-17-00020-ERP . . . . . . . . . . . 08/01/18 Establishment And Operation Of MarketStabilization Mechanisms For Certain HealthInsurance Markets

To allow for the implementation of a marketstabilization pool for the small group healthinsurance market

DFS-25-17-00002-EP . . . . . . . . . . . 06/21/18 Minimum standards for form, content and saleof health insurance, including standards of fulland fair disclosure

To ensure coverage for essential healthbenefits in all individual, small group, andstudent accident and health policies

DFS-39-17-00002-P . . . . . . . . . . . 09/27/18 Minimum Standards for Form, Content andSale of Health Insurance, Including Standardsof Full and Fair Disclosure

Provide a formulary exception process formedication for the detoxification ormaintenance treatment of a substance usedisorder

DFS-40-17-00003-P . . . . . . . . . . . 10/04/18 Registration Requirements and ProhibitedPractices for Credit Reporting Agencies

To address deficient practices of consumercredit reporting agencies and protect user ofand the market for financial services

DFS-52-17-00020-RP . . . . . . . . . . . 12/27/18 Suitability in Life Insurance and AnnuityTransactions

Establish suitability standards for life insuranceand clarify that a transaction must be in thebest interest of the consumer.

DFS-22-18-00002-EP . . . . . . . . . . . 05/30/19 Supplementary Uninsured/UnderinsuredMotorists Insurance

To conform 11 NYCRR 60-2 to new InsuranceLaw Section 3420(f)(2-a)

GAMING COMMISSION, NEW YORK STATE

SGC-09-18-00005-P . . . . . . . . . . . 02/28/19 The licensing and registration of gamingfacility employees and vendors

To govern the licensing and registration ofgaming facility employees and vendors

SGC-17-18-00002-P . . . . . . . . . . . 04/25/19 Regulation of courier services that purchaseand claim certain Lottery tickets and prizes asagents for customers

To license courier services to facilitate the saleof Lottery tickets to generate more revenue foreducation

SGC-19-18-00004-P . . . . . . . . . . . 05/09/19 Prohibited practices and doping agents,veterinary relationship for prescribing drugs inThoroughbred horse racing

To enable the Commission to maintain theintegrity of pari-mutuel racing

SGC-20-18-00005-P . . . . . . . . . . . 05/16/19 Electronic transfer of funds to the GamingCommission from special bell jar accounts

To allow charitable gaming organizations to paytheir license fees to the Gaming Commissionvia electronic transfer

HEALTH, DEPARTMENT OF

*HLT-14-94-00006-P . . . . . . . . . . . . exempt Payment methodology for HIV/AIDSoutpatient services

To expand the current payment to incorporatepricing for services

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

HLT-22-18-00010-P . . . . . . . . . . . 05/30/19 Criminal History Record Checks andAdvanced Home Health Aides

This rule will implement statutory changesrelated to criminal history records checks andadvanced home health aides

HLT-43-17-00001-EP . . . . . . . . . . . 10/25/18 Medical Use of Marihuana To allow certain defined facilities to become adesignated caregiver for a certified patient inNYS’s Medical Marihuana Program

HLT-49-17-00002-P . . . . . . . . . . . 12/06/18 Food and Beverages in FuneralEstablishments

To lift the ban of the consumption of food andbeverages in funeral establishments



35

HEALTH, DEPARTMENT OF

HLT-02-18-00002-P . . . . . . . . . . . 01/10/19 Hospital Policies and Procedures forIndividuals with Substance Use Disorders

To require hospitals to establish policies &procedures to identify, assess & referindividuals with substance use disorders

HLT-04-18-00010-P . . . . . . . . . . . 01/24/19 Emergency Medical Services (EMS) InitialCertification Eligibility Requirements

To reduce the EMS certification eligibilityminimum age from 18 to 17 years of age

HLT-07-18-00002-P . . . . . . . . . . . 02/14/19 Medicaid Reimbursement of Nursing FacilityReserved Bed Days for Hospitalizations

To make changes relating to reserved bedpayments made by Medicaid to nursingfacilities

HLT-07-18-00014-P . . . . . . . . . . . 02/14/19 Rate Rationalization – Intermediate CareFacilities for Persons with DevelopmentalDisabilities

Amend rate methodology eff. 7/1/16 andinclude addition of an occupancy adjust. &revision to 4/1/15 2% compensation calculation

HLT-09-18-00006-P . . . . . . . . . . . 02/28/19 Managed Care Organizations To maintain the contingent reserve requirementapplied to the Medicaid Managed Care, HIVSNP and HARP programs

HIGHER EDUCATION SERVICES CORPORATION

ESC-12-18-00005-P . . . . . . . . . . . 03/21/19 Income used to determine financial aidawards

To conform the regulations to a recentlyenacted statutory provision

JOINT COMMISSION ON PUBLIC ETHICS, NEW YORK STATE

JPE-42-17-00003-ERP . . . . . . . . . . . 10/18/18 Financial disclosure statements To add a right of appeal to provisionsgoverning exemptions related to filing afinancial disclosure statement

JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS

JCP-09-18-00014-P . . . . . . . . . . . 02/28/19 Criminal History Information Checks To clarify language in the rule and maketechnical corrections

JCP-21-18-00030-P . . . . . . . . . . . 05/23/19 Protocols for interviewing service recipients To ensure interviews of service recipientsduring investigations are conducted in a safeand sensitive manner

LABOR, DEPARTMENT OF

LAB-47-17-00011-P . . . . . . . . . . . 11/22/18 Employee Scheduling (Call-In Pay) To strengthen existing call-in pay protectionsinvolving employee scheduling

LAB-17-18-00005-P . . . . . . . . . . . 07/11/19 Hours Worked, 24-Hour Shifts To clarify that hours worked may exclude mealperiods and sleep times for employees whowork shifts of 24 hours or more

LAW, DEPARTMENT OF

LAW-13-18-00010-P . . . . . . . . . . . 03/28/19 Change of office address (Lower Manhattanlocation)

To update new address of the LowerManhattan location

LIQUOR AUTHORITY, STATE

LQR-07-18-00011-P . . . . . . . . . . . 04/18/19 Municipal notification requirements forTemporary Beer and Wine Permit as well asCatering Permit applications for large events

To establish municipal notification forTemporary Beer and Wine Permit as well asCatering Permit applications for large events



36

LONG ISLAND POWER AUTHORITY

*LPA-08-01-00003-P . . . . . . . . . . . . exempt Pole attachments and related matters To approve revisions to the authority’s tariff

*LPA-41-02-00005-P . . . . . . . . . . . . exempt Tariff for electric service To revise the tariff for electric service

*LPA-04-06-00007-P . . . . . . . . . . . . exempt Tariff for electric service To adopt provisions of a ratepayer protectionplan

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

LPA-15-18-00011-P . . . . . . . . . . . . exempt The Authority’s discounts for low-incomecustomers

To improve the Authority’s discounts for low-income customers

LPA-15-18-00012-P . . . . . . . . . . . . exempt A new time-of-use pilot rate option forresidential customers

To update the Authority’s Tariff to offer a newpilot residential time-of-use rate option

LPA-15-18-00013-P . . . . . . . . . . . . exempt Outdoor area lighting To add an option and pricing for efficient LEDlamps to the Authority’s outdoor area lighting

MENTAL HEALTH, OFFICE OF

OMH-09-18-00004-P . . . . . . . . . . . 02/28/19 Procedure for Treatment and Hospitalizationof Certain Mentally Ill Prisoners in Jail

To conform implementing regulations with achange in the authorizing statute

MOTOR VEHICLES, DEPARTMENT OF

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

MTV-19-18-00001-P . . . . . . . . . . . 05/09/19 Colored Lights; amber lights To conform the regulation to the statute

NIAGARA FALLS WATER BOARD

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

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

NFW-01-18-00004-EP . . . . . . . . . . . . exempt Adoption of Rates, Fees, and Charges To pay for increased costs necessary tooperate, maintain, and manage the system,and to meet covenants with the bondholders

NIAGARA FRONTIER TRANSPORTATION AUTHORITY

NFT-23-17-00016-P . . . . . . . . . . . 06/07/18 Procurement Guidelines of the NiagaraFrontier Transportation Authority and NiagaraFrontier Transit Metro System, Inc.

To amend Procurement Guidelines to reflectchanges in law, clarifying provisions andchange signing authority level

PEOPLE WITH DEVELOPMENTAL DISABILITIES, OFFICE FOR

PDD-51-17-00006-EP . . . . . . . . . . . 12/20/18 Site Based and Community BasedPrevocational Services

To clarify site-based and community-basedservices and clarify reimbursementrequirements



37

PEOPLE WITH DEVELOPMENTAL DISABILITIES, OFFICE FOR

PDD-07-18-00001-EP . . . . . . . . . . . 02/14/19 Enrollment in Medicare Prescription DrugPlans and Fully Integrated Duals AdvantagePlans for IDD

To allow individuals to be enrolled in a FIDA-IDD plan when individuals are unable to enrollthemselves

PDD-14-18-00002-P . . . . . . . . . . . 04/04/19 Telephone Service To require providers to have and maintainactive telephone service at all times

PDD-17-18-00001-EP . . . . . . . . . . . 04/25/19 Care Coordination Organizations To allow individuals to be enrolled in a CCOwhen individuals are unable to enrollthemselves

PDD-21-18-00046-P . . . . . . . . . . . 05/23/19 Certificate of Incorporation Remove a requirement for certificate holdersthat is no longer required under MentalHygiene Law 16.07

POWER AUTHORITY OF THE STATE OF NEW YORK

*PAS-01-10-00010-P . . . . . . . . . . . . exempt Rates for the sale of power and energy Update ECSB Programs customers’ servicetariffs to streamline them/include additionalrequired information

PUBLIC SERVICE COMMISSION

*PSC-09-99-00012-P . . . . . . . . . . . . exempt Transfer of books and records by CitizensUtilities Company

To relocate Ogden Telephone Company’sbooks and records out-of-state

*PSC-15-99-00011-P . . . . . . . . . . . . exempt Electronic tariff by Woodcliff Park Corp. To replace the company’s current tariff with anelectronic tariff

*PSC-12-00-00001-P . . . . . . . . . . . . exempt Winter bundled sales service election date byCentral Hudson Gas & Electric Corporation

To revise the date

*PSC-44-01-00005-P . . . . . . . . . . . . exempt Annual reconciliation of gas costs by CorningNatural Gas Corporation

To authorize the company to include certaingas costs

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

*PSC-36-03-00010-P . . . . . . . . . . . . exempt Performance assurance plan by Verizon NewYork

To consider changes

*PSC-40-03-00015-P . . . . . . . . . . . . exempt Receipt of payment of bills by St. LawrenceGas Company

To revise the process

*PSC-41-03-00010-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries

To consider filings of various LDCs andmunicipalities

*PSC-41-03-00011-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries

To consider filings of various LDCs andmunicipalities

*PSC-44-03-00009-P . . . . . . . . . . . . exempt Retail access data between jurisdictionalutilities

To accommodate changes in retail accessmarket structure or commission mandates

*PSC-02-04-00008-P . . . . . . . . . . . . exempt Delivery rates for Con Edison’s customers inNew York City and Westchester County bythe City of New York

To rehear the Nov. 25, 2003 order

*PSC-06-04-00009-P . . . . . . . . . . . . exempt Transfer of ownership interest by SCS EnergyLLC and AE Investors LLC

To transfer interest in Steinway Creek ElectricGenerating Company LLC to AE Investors LLC

*PSC-10-04-00005-P . . . . . . . . . . . . exempt Temporary protective order To consider adopting a protective order



38


*PSC-10-04-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and VIC-RMTS-DC, L.L.C.d/b/a Verizon Avenue

To amend the agreement

*PSC-14-04-00008-P . . . . . . . . . . . . exempt Submetering of natural gas service toindustrial and commercial customers byHamburg Fairgrounds

To submeter gas service to commercialcustomers located at the Buffalo Speedway

*PSC-15-04-00022-P . . . . . . . . . . . . exempt Submetering of electricity by Glenn GardensAssociates, L.P.

To permit submetering at 175 W. 87th St., NewYork, NY

*PSC-21-04-00013-P . . . . . . . . . . . . exempt Verizon performance assurance plan byMetropolitan Telecommunications

To clarify the appropriate performance level

*PSC-22-04-00010-P . . . . . . . . . . . . exempt Approval of new types of electricity meters byPowell Power Electric Company

To permit the use of the PE-1250 electronicmeter

*PSC-22-04-00013-P . . . . . . . . . . . . exempt Major gas rate increase by ConsolidatedEdison Company of New York, Inc.

To increase annual gas revenues

*PSC-22-04-00016-P . . . . . . . . . . . . exempt Master metering of water by South LibertyCorporation

To waive the requirement for installation ofseparate water meters

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


*PSC-27-04-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and various Verizon wirelessaffiliates


*PSC-27-04-00009-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and various Verizon wirelessaffiliates


*PSC-28-04-00006-P . . . . . . . . . . . . exempt Approval of loans by Dunkirk & FredoniaTelephone Company and CassadagaTelephone Corporation

To authorize participation in the parentcorporation’s line of credit

*PSC-31-04-00023-P . . . . . . . . . . . . exempt Distributed generation service byConsolidated Edison Company of New York,Inc.

To provide an application form

*PSC-34-04-00031-P . . . . . . . . . . . . exempt Flat rate residential service by Emerald GreenLake Louise Marie Water Company, Inc.

To set appropriate level of permanent rates

*PSC-35-04-00017-P . . . . . . . . . . . . exempt Application form for distributed generation byOrange and Rockland Utilities, Inc.

To establish a new supplementary applicationform for customers

*PSC-43-04-00016-P . . . . . . . . . . . . exempt Accounts recievable by Rochester Gas andElectric Corporation

To include in its tariff provisions for thepurchase of ESCO accounts recievable

*PSC-46-04-00012-P . . . . . . . . . . . . exempt Service application form by ConsolidatedEdison Company of New York, Inc.

To revise the form and make housekeepingchanges

*PSC-46-04-00013-P . . . . . . . . . . . . exempt Rules and guidelines governing installation ofmetering equipment

To establish uniform statewide businesspractices

*PSC-02-05-00006-P . . . . . . . . . . . . exempt Violation of the July 22, 2004 order byDutchess Estates Water Company, Inc.

To consider imposing remedial actions againstthe company and its owners, officers anddirectors



39


*PSC-09-05-00009-P . . . . . . . . . . . . exempt Submetering of natural gas service by Hamleton Olde Oyster Bay

To consider submetering of natural gas to acommercial customer

*PSC-14-05-00006-P . . . . . . . . . . . . exempt Request for deferred accounting authorizationby Freeport Electric Inc.

To defer expenses beyond the end of the fiscalyear

*PSC-18-05-00009-P . . . . . . . . . . . . exempt Marketer Assignment Program byConsolidated Edison Company of New York,Inc.

To implement the program

*PSC-20-05-00028-P . . . . . . . . . . . . exempt Delivery point aggregation fee by AlliedFrozen Storage, Inc.

To review the calculation of the fee

*PSC-25-05-00011-P . . . . . . . . . . . . exempt Metering, balancing and cashout provisionsby Central Hudson Gas & Electric Corporation

To establish provisions for gas customerstaking service under Service Classification Nos.8, 9 and 11

*PSC-27-05-00018-P . . . . . . . . . . . . exempt Annual reconciliation of gas costs by NewYork State Electric & Gas Corporation

To consider the manner in which the gas costincentive mechanism has been applied

*PSC-41-05-00013-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries by local distributioncompanies and municipalities

To consider the filings

*PSC-45-05-00011-P . . . . . . . . . . . . exempt Treatment of lost and unaccounted gas costsby Corning Natural Gas Corporation

To defer certain costs

*PSC-46-05-00015-P . . . . . . . . . . . . exempt Sale of real and personal property by theBrooklyn Union Gas Company d/b/a KeySpanEnergy Delivery New York and Steel Arrow,LLC

To consider the sale

*PSC-47-05-00009-P . . . . . . . . . . . . exempt Transferral of gas supplies by Corning NaturalGas Corporation

To approve the transfer

*PSC-50-05-00008-P . . . . . . . . . . . . exempt Long-term debt by Saratoga Glen HollowWater Supply Corp.

To obtain long-term debt

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

To approve of the transfer

*PSC-06-06-00015-P . . . . . . . . . . . . exempt Gas curtailment policies and procedures To examine the manner and extent to whichgas curtailment policies and procedures shouldbe modified and/or established

*PSC-07-06-00009-P . . . . . . . . . . . . exempt Modification of the current EnvironmentalDisclosure Program

To include an attributes accounting system

*PSC-22-06-00019-P . . . . . . . . . . . . exempt Hourly pricing by National Grid To assess the impacts

*PSC-22-06-00020-P . . . . . . . . . . . . exempt Hourly pricing by New York State Electric &Gas Corporation

To assess the impacts

*PSC-22-06-00021-P . . . . . . . . . . . . exempt Hourly pricing by Rochester Gas & ElectricCorporation


*PSC-22-06-00022-P . . . . . . . . . . . . exempt Hourly pricing by Consolidated EdisonCompany of New York, Inc.




40


*PSC-22-06-00023-P . . . . . . . . . . . . exempt Hourly pricing by Orange and RocklandUtilities, Inc.


*PSC-24-06-00005-EP . . . . . . . . . . . . exempt Supplemental home energy assistancebenefits

To extend the deadline to Central Hudson’slow-income customers

*PSC-25-06-00017-P . . . . . . . . . . . . exempt Purchased power adjustment by MassenaElectric Department

To revise the method of calculating thepurchased power adjustment and update thefactor of adjustment

*PSC-34-06-00009-P . . . . . . . . . . . . exempt Inter-carrier telephone service qualitystandards and metrics by the Carrier WorkingGroup

To incorporate appropriate modifications

*PSC-37-06-00015-P . . . . . . . . . . . . exempt Procedures for estimation of customer bills byRochester Gas and Electric Corporation

To consider estimation procedures

*PSC-37-06-00017-P . . . . . . . . . . . . exempt Procedures for estimation of customer bills byRochester Gas and Electric Corporation

To consider estimation procedures

*PSC-43-06-00014-P . . . . . . . . . . . . exempt Electric delivery services by Strategic PowerManagement, Inc.

To determine the proper mechanism for therate-recovery of costs

*PSC-04-07-00012-P . . . . . . . . . . . . exempt Petition for rehearing by Orange andRockland Utilities, Inc.

To clarify the order

*PSC-06-07-00015-P . . . . . . . . . . . . exempt Meter reading and billing practices by CentralHudson Gas & Electric Corporation

To continue current meter reading and billingpractices for electric service

*PSC-06-07-00020-P . . . . . . . . . . . . exempt Meter reading and billing practices by CentralHudson Gas & Electric Corporation

To continue current meter reading and billingpractices for gas service

*PSC-11-07-00010-P . . . . . . . . . . . . exempt Investigation of the electric power outages bythe Consolidated Edison Company of NewYork, Inc.

To implement the recommendations in thestaff’s investigation

*PSC-11-07-00011-P . . . . . . . . . . . . exempt Storm-related power outages by ConsolidatedEdison Company of New York, Inc.

To modify the company’s response to poweroutages, the timing for any such changes andother related matters

*PSC-17-07-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and BridgeCom International,Inc.


*PSC-18-07-00010-P . . . . . . . . . . . . exempt Existing electric generating stations byIndependent Power Producers of New York,Inc.

To repower and upgrade existing electricgenerating stations owned by Rochester Gasand Electric Corporation

*PSC-20-07-00016-P . . . . . . . . . . . . exempt Tariff revisions and making rates permanentby New York State Electric & Gas Corporation

To seek rehearing

*PSC-21-07-00007-P . . . . . . . . . . . . exempt Natural Gas Supply and Acquisition Plan byCorning Natural Gas Corporation

To revise the rates, charges, rules andregulations for gas service

*PSC-22-07-00015-P . . . . . . . . . . . . exempt Demand Side Management Program byConsolidated Edison Company of New York,Inc.

To recover incremental program costs and lostrevenue



41


*PSC-23-07-00022-P . . . . . . . . . . . . exempt Supplier, transportation, balancing andaggregation service by National Fuel GasDistribution Corporation

To explicitly state in the company’s tariff thatthe threshold level of elective upstreamtransmission capacity is a maximum of 112,600Dth/day of marketer-provided upstreamcapacity

*PSC-24-07-00012-P . . . . . . . . . . . . exempt Gas Efficiency Program by the City of NewYork

To consider rehearing a decision establishing aGas Efficiency Program

*PSC-39-07-00017-P . . . . . . . . . . . . exempt Gas bill issuance charge by New York StateElectric & Gas Corporation

To create a gas bill issuance charge unbundledfrom delivery rates

*PSC-41-07-00009-P . . . . . . . . . . . . exempt Submetering of electricity rehearing To seek reversal

*PSC-42-07-00012-P . . . . . . . . . . . . exempt Energy efficiency program by Orange andRockland Utilities, Inc.

To consider any energy efficiency program forOrange and Rockland Utilities, Inc.’s electricservice

*PSC-42-07-00013-P . . . . . . . . . . . . exempt Revenue decoupling by Orange and RocklandUtilities, Inc.

To consider a revenue decoupling mechanismfor Orange and Rockland Utilities, Inc.

*PSC-45-07-00005-P . . . . . . . . . . . . exempt Customer incentive programs by Orange andRockland Utilities, Inc.

To establish a tariff provision

*PSC-02-08-00006-P . . . . . . . . . . . . exempt Additional central office codes in the 315 areacode region

To consider options for making additionalcodes

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

*PSC-04-08-00010-P . . . . . . . . . . . . exempt Granting of easement rights on utility propertyby Central Hudson Gas & Electric Corporation

To grant easement rights to Millennium PipelineCompany, L.L.C.

*PSC-04-08-00012-P . . . . . . . . . . . . exempt Marketing practices of energy servicecompanies by the Consumer Protection Boardand New York City Department of ConsumerAffairs

To consider modifying the commission’sregulation over marketing practices of energyservice companies

*PSC-08-08-00016-P . . . . . . . . . . . . exempt Transfer of ownership by Entergy NuclearFitzpatrick LLC, et al.

To consider the transfer

*PSC-12-08-00019-P . . . . . . . . . . . . exempt Extend the provisions of the existing electricrate plan by Rochester Gas and ElectricCorporation

To consider the request

*PSC-12-08-00021-P . . . . . . . . . . . . exempt Extend the provisions of the existing gas rateplan by Rochester Gas and ElectricCorporation

To consider the request

*PSC-13-08-00011-P . . . . . . . . . . . . exempt Waiver of commission policy and NYSEGtariff by Turner Engineering, PC

To grant or deny Turner’s petition

*PSC-13-08-00012-P . . . . . . . . . . . . exempt Voltage drops by New York State Electric &Gas Corporation

To grant or deny the petition

*PSC-23-08-00008-P . . . . . . . . . . . . exempt Petition requesting rehearing and clarificationof the commission’s April 25, 2008 orderdenying petition of public utility law project

To consider whether to grant or deny, in wholeor in part, the May 7, 2008 Public Utility LawProject (PULP) petition for rehearing andclarification of the commission’s April 25, 2008order denying petition of Public Utility LawProject



42


*PSC-25-08-00007-P . . . . . . . . . . . . exempt Policies and procedures regarding theselection of regulatory proposals to meetreliability needs

To establish policies and procedures regardingthe selection of regulatory proposals to meetreliability needs

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

*PSC-28-08-00004-P . . . . . . . . . . . . exempt Con Edison’s procedure for providingcustomers access to their account information

To consider Con Edison’s implementation planand timetable for providing customers accessto their account information

*PSC-31-08-00025-P . . . . . . . . . . . . exempt Recovery of reasonable DRS costs from thecost mitigation reserve (CMR)

To authorize recovery of the DRS costs fromthe CMR

*PSC-32-08-00009-P . . . . . . . . . . . . exempt The ESCO referral program for KEDNY to beimplemented by October 1, 2008

To approve, reject or modify, in whole or inpart, KEDNY’s recommended ESCO referralprogram

*PSC-33-08-00008-P . . . . . . . . . . . . exempt Noble Allegany’s request for lightenedregulation

To consider Noble Allegany’s request forlightened regulation as an electric corporation

*PSC-36-08-00019-P . . . . . . . . . . . . exempt Land Transfer in the Borough of Manhattan,New York

To consider petition for transfer of real propertyto NYPH

*PSC-39-08-00010-P . . . . . . . . . . . . exempt RG&E’s economic development plan andtariffs

Consideration of the approval of RG&E’seconomic development plan and tariffs

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

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

*PSC-43-08-00014-P . . . . . . . . . . . . exempt Annual Reconcilliation of Gas Expenses andGas Cost Recoveries

The filings of various LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries

*PSC-46-08-00008-P . . . . . . . . . . . . exempt Property transfer in the Village of Avon, NewYork

To consider a petition for the transfer of streetlighting and attached equipment to the Villageof Avon, New York

*PSC-46-08-00010-P . . . . . . . . . . . . exempt A transfer of indirect ownership interests innuclear generation facilities

Consideration of approval of a transfer ofindirect ownership interests in nucleargeneration facilities

*PSC-46-08-00014-P . . . . . . . . . . . . exempt The attachment of cellular antennae to anelectric transmission tower

To approve, reject or modify the request forpermission to attach cellular antennae to anelectric transmission tower

*PSC-48-08-00005-P . . . . . . . . . . . . exempt A National Grid high efficiency gas heatingequipment rebate program

To expand eligibility to customers convertingfrom oil to natural gas

*PSC-48-08-00008-P . . . . . . . . . . . . exempt Petition for the master metering andsubmetering of electricity

To consider the request of Bay City Metering,to master meter & submeter electricity at 345E. 81st St., New York, New York

*PSC-48-08-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of PCV/ST to submeterelectricity at Peter Cooper Village & StuyvesantTown, New York, New York



43


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

*PSC-51-08-00006-P . . . . . . . . . . . . exempt Commission’s October 27, 2008 Order onFuture of Retail Access Programs in Case07-M-0458

To consider a Petition for rehearing of theCommission’s October 27, 2008 Order in Case07-M-0458

*PSC-51-08-00007-P . . . . . . . . . . . . exempt Commission’s October 27, 2008 Order inCases 98-M-1343, 07-M-1514 and 08-G-0078

To consider Petitions for rehearing of theCommission’s October 27, 2008 Order inCases 98-M-1343, 07-M-1514 and 08-G-0078

*PSC-53-08-00011-P . . . . . . . . . . . . exempt Use of deferred Rural Telephone Bank funds To determine if the purchase of a softswitch byHancock is an appropriate use of deferredRural Telephone Bank funds

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

Transfer of permanent and temporaryeasements at 549-555 North Little Tor Road,New City, NY

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

*PSC-01-09-00015-P . . . . . . . . . . . . exempt FCC decision to redefine service area ofCitizens/Frontier

Review and consider FCC proposedredefinition of Citizens/Frontier service area

*PSC-02-09-00010-P . . . . . . . . . . . . exempt Competitive classification of independent localexchange company, and regulatory reliefappropriate thereto

To determine if Chazy & Westport TelephoneCorporation more appropriately belongs inscenario 1 rather than scenario 2

*PSC-05-09-00008-P . . . . . . . . . . . . exempt Revenue allocation, rate design, performancemetrics, and other non-revenue requirementissues

To consider any remaining non-revenuerequirement issues related to the Company’sMay 9, 2008 tariff filing

*PSC-05-09-00009-P . . . . . . . . . . . . exempt Numerous decisions involving the steamsystem including cost allocation, energyefficiency and capital projects

To consider the long term impacts on steamrates and on public policy of various optionsconcerning the steam system

*PSC-06-09-00007-P . . . . . . . . . . . . exempt Interconnection of the networks betweenFrontier Comm. and WVT Communicationsfor local exchange service and exchangeaccess

To review the terms and conditions of thenegotiated agreement between Frontier Comm.and WVT Comm.

*PSC-07-09-00015-P . . . . . . . . . . . . exempt Transfer certain utility assets located in theTown of Montgomery from plant held forfuture use to non-utility property

To consider the request to transfer certainutility assets located in the Town ofMontgomery to non-utility assets

*PSC-07-09-00017-P . . . . . . . . . . . . exempt Request for authorization to defer theincremental costs incurred in the restorationwork resulting from the ice storm

To allow the company to defer the incrementalcosts incurred in the restoration work resultingfrom the ice storm

*PSC-07-09-00018-P . . . . . . . . . . . . exempt Whether to permit the submetering of naturalgas service to an industrial and commercialcustomer at Cooper Union, New York, NY

To consider the request of Cooper Union, tosubmeter natural gas at 41 Cooper Square,New York, New York

*PSC-12-09-00010-P . . . . . . . . . . . . exempt Charges for commodity To charge customers for commodity costs

*PSC-12-09-00012-P . . . . . . . . . . . . exempt Charges for commodity To charge customers for commodity costs

*PSC-13-09-00008-P . . . . . . . . . . . . exempt Options for making additional central officecodes available in the 718/347 numberingplan area

To consider options for making additionalcentral office codes available in the 718/347numbering plan area



44


*PSC-14-09-00014-P . . . . . . . . . . . . exempt The regulation of revenue requirements formunicipal utilities by the Public ServiceCommission

To determine whether the regulation of revenuerequirements for municipal utilities should bemodified

*PSC-16-09-00010-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of AMPS on behalf ofPark Imperial to submeter electricity at 230 W.56th Street, in New York, New York

*PSC-16-09-00020-P . . . . . . . . . . . . exempt Whether SUNY’s core accounts should beexempt from the mandatory assignment oflocal distribution company (LDC) capacity

Whether SUNY’s core accounts should beexempt from the mandatory assignment oflocal distribution company (LDC) capacity

*PSC-17-09-00010-P . . . . . . . . . . . . exempt Whether to permit the use of Elster REX2solid state electric meter for use in residentialand commerical accounts

To permit electric utilities in New York State touse the Elster REX2

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

Whether Brooklyn Navy Yard CogenerationPartners, L.P. should be reimbursed by ConEdison for past and future use taxes

*PSC-17-09-00012-P . . . . . . . . . . . . exempt Petition for the submetering of gas atcommercial property

To consider the request of Turner Construction,to submeter natural gas at 550 Short Ave., &10 South St., Governors Island, NY

*PSC-17-09-00014-P . . . . . . . . . . . . exempt Benefit-cost framework for evaluating AMIprograms prepared by the DPS Staff

To consider a benefit-cost framework forevaluating AMI programs prepared by the DPSStaff

*PSC-17-09-00015-P . . . . . . . . . . . . exempt The construction of a tower for wirelessantennas on land owned by National Grid

To approve, reject or modify the petition tobuild a tower for wireless antennas in the Townof Onondaga

*PSC-18-09-00012-P . . . . . . . . . . . . exempt Petition for rehearing of Order approving thesubmetering of electricity

To consider the request of Frank Signore torehear petition to submeter electricity at OneCity Place in White Plains, New York

*PSC-18-09-00013-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of Living Opportunitiesof DePaul to submeter electricity at E. Main St.located in Batavia, New York

*PSC-18-09-00017-P . . . . . . . . . . . . exempt Approval of an arrangement for attachment ofwireless antennas to the utility’s transmissionfacilities in the City of Yonkers

To approve, reject or modify the petition for theexisting wireless antenna attachment to theutility’s transmission tower

*PSC-20-09-00016-P . . . . . . . . . . . . exempt The recovery of, and accounting for, costsassociated with the Companies’ advancedmetering infrastructure (AMI) pilots etc

To consider a filing of the Companies as to therecovery of, and accounting for, costsassociated with it’s AMI pilots etc

*PSC-20-09-00017-P . . . . . . . . . . . . exempt The recovery of, and accounting for, costsassociated with CHG&E’s AMI pilot program

To consider a filing of CHG&E as to therecovery of, and accounting for, costsassociated with it’s AMI pilot program

*PSC-22-09-00011-P . . . . . . . . . . . . exempt Cost allocation for Consolidated Edison’s EastRiver Repowering Project

To determine whether any changes arewarranted in the cost allocation of ConsolidatedEdison’s East River Repowering Project

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

Whether to grant, deny, or modify, in whole orin part, the petition

*PSC-25-09-00006-P . . . . . . . . . . . . exempt Electric utility implementation plans forproposed web based SIR application processand project status database

To determine if the proposed web based SIRsystems are adequate and meet requirementsneeded for implementation



45


*PSC-25-09-00007-P . . . . . . . . . . . . exempt Electric rates for Consolidated EdisonCompany of New York, Inc

Consider a Petition for Rehearing filed byConsolidated Edison Company of New York,Inc

*PSC-27-09-00011-P . . . . . . . . . . . . exempt Interconnection of the networks betweenVernon and tw telecom of new york I.p. forlocal exchange service and exchange access.

To review the terms and conditions of thenegotiated agreement between Vernon and twtelecom of new york I.p.

*PSC-27-09-00014-P . . . . . . . . . . . . exempt Billing and payment for energy efficiencymeasures through utility bill

To promote energy conservation

*PSC-27-09-00015-P . . . . . . . . . . . . exempt Interconnection of the networks betweenOriskany and tw telecom of new york l.p. forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between Oriskany andtw telecom of new york l.p

*PSC-29-09-00011-P . . . . . . . . . . . . exempt Consideration of utility compliance filings Consideration of utility compliance filings

*PSC-32-09-00009-P . . . . . . . . . . . . exempt Cost allocation for Consolidated Edison’s EastRiver Repowering Project

To determine whether any changes arewarranted in the cost allocation of ConsolidatedEdison’s East River Repowering Project

*PSC-34-09-00016-P . . . . . . . . . . . . exempt Recommendations made in the ManagementAudit Final Report

To consider whether to take action orrecommendations contained in theManagement Audit Final Report

*PSC-34-09-00017-P . . . . . . . . . . . . exempt To consider the transfer of control ofPlattsburgh Cablevision, Inc. d/b/a CharterCommunications to CH Communications, LLC

To allow the Plattsburgh Cablevision, Inc. todistribute its equity interest in CHCommunications, LLC

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

Considering exemptions from the increase inthe non-bypassable charge implemented byRG&E on June 1, 2009

*PSC-37-09-00015-P . . . . . . . . . . . . exempt Sale of customer-generated steam to the ConEdison steam system

To establish a mechanism for sale of customer-generated steam to the Con Edison steamsystem

*PSC-37-09-00016-P . . . . . . . . . . . . exempt Applicability of electronic signatures toDeferred Payment Agreements

To determine whether electronic signatures canbe accepted for Deferred Payment Agreements

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

*PSC-39-09-00018-P . . . . . . . . . . . . exempt The offset of deferral balances with PositiveBenefit Adjustments

To consider a petition to offset deferralbalances with Positive Benefit Adjustments

*PSC-40-09-00013-P . . . . . . . . . . . . exempt Uniform System of Accounts - request fordeferral and amortization of costs

To consider a petition to defer and amortizecosts

*PSC-51-09-00029-P . . . . . . . . . . . . exempt Rules and guidelines for the exchange ofretail access data between jurisdictionalutilities and eligible ESCOs

To revise the uniform Electronic DataInterchange Standards and business practicesto incorporate a contest period

*PSC-51-09-00030-P . . . . . . . . . . . . exempt Waiver or modification of Capital Expenditurecondition of merger

To allow the companies to expend less fundsfor capital improvement than required by themerger

*PSC-52-09-00006-P . . . . . . . . . . . . exempt ACE’s petition for rehearing for an orderregarding generator-specific energydeliverability study methodology

To consider whether to change the OrderPrescribing Study Methodology



46


*PSC-52-09-00008-P . . . . . . . . . . . . exempt Approval for the New York IndependentSystem Operator, Inc. to incur indebtednessand borrow up to $50,000,000

To finance the renovation and construction ofthe New York Independent System Operator,Inc.’s power control center facilities

*PSC-05-10-00008-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of UniversityResidences - Rochester, LLC to submeterelectricity at 220 John Street, Henrietta, NY

*PSC-05-10-00015-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 243 West EndAvenue Owners Corp. to submeter electricity at243 West End Avenue, New York, NY

*PSC-06-10-00022-P . . . . . . . . . . . . exempt The Commission’s Order of December 17,2009 related to redevelopment ofConsolidated Edison’s Hudson Avenuegenerating facility

To reconsider the Commission’s Order ofDecember 17, 2009 related to redevelopmentof the Hudson Avenue generating facility

*PSC-07-10-00009-P . . . . . . . . . . . . exempt Petition to revise the Uniform BusinessPractices

To consider the RESA petition to allowrescission of a customer request to return tofull utility service

*PSC-08-10-00007-P . . . . . . . . . . . . exempt Whether to grant, deny, or modify , in wholeor in part, the rehearing petition filed in Case06-E-0847

Whether to grant, deny, or modify , in whole orin part, the rehearing petition filed in Case06-E-0847

*PSC-08-10-00009-P . . . . . . . . . . . . exempt Consolidated Edison of New York, Inc. energyefficiency programs

To modify approved energy efficiency programs

*PSC-12-10-00015-P . . . . . . . . . . . . exempt Recommendations made by Staff intended toenhance the safety of Con Edison’s gasoperations

To require that Con Edison implement the Staffrecommendations intended to enhance thesafety of Con Edison’s gas operations

*PSC-14-10-00010-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 61 Jane StreetOwners Corporation to submeter Electricity at61 Jane Street, Manhattan, NY

*PSC-16-10-00005-P . . . . . . . . . . . . exempt To consider adopting and expanding mobilestray voltage testing requirements

Adopt additional mobile stray voltage testingrequirements

*PSC-16-10-00007-P . . . . . . . . . . . . exempt Interconnection of the networks between TDSTelecom and PAETEC Communications forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between TDS Telecomand PAETEC Communications

*PSC-16-10-00015-P . . . . . . . . . . . . exempt Interconnection of the networks betweenFrontier and Choice One Communications forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between Frontier andChoice One Communications

*PSC-18-10-00009-P . . . . . . . . . . . . exempt Electric utility transmission right-of-waymanagement practices

To consider electric utility transmission right-of-way management practices

*PSC-19-10-00022-P . . . . . . . . . . . . exempt Whether National Grid should be permitted totransfer a parcel of property located at 1 EddyStreet, Fort Edward, New York

To decide whether to approve National Grid’srequest to transfer a parcel of vacant propertyin Fort Edward, New York

*PSC-22-10-00006-P . . . . . . . . . . . . exempt Requirement that Noble demonstrate that itsaffiliated electric corporations operating inNew York are providing safe service

Consider requiring that Noble demonstrate thatits affiliated electric corporations in New Yorkare providing safe service

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



47


*PSC-24-10-00009-P . . . . . . . . . . . . exempt Verizon New York Inc. tariff regulationsrelating to voice messaging service

To remove tariff regulations relating to retailvoice messaging service from Verizon NewYork Inc.’s tariff

*PSC-25-10-00012-P . . . . . . . . . . . . exempt Reassignment of the 2-1-1 abbreviated dialingcode

Consideration of petition to reassign the 2-1-1abbreviated dialing code

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

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

The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

*PSC-34-10-00005-P . . . . . . . . . . . . exempt Approval of a contract for $250,000 in tankrepairs that may be a financing

To decide whether to approve a contractbetween the parties that may be a financing of$250,000 for tank repairs

*PSC-34-10-00006-P . . . . . . . . . . . . exempt The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

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

Consideration of Central Hudson’s procedures,terms and conditions for an economicdevelopment plan

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

*PSC-40-10-00021-P . . . . . . . . . . . . exempt Whether to permit the submetering of naturalgas service to a commercial customer atQuaker Crossing Mall

To permit the submetering of natural gasservice to a commercial customer at QuakerCrossing Mall

*PSC-41-10-00018-P . . . . . . . . . . . . exempt Amount of hourly interval data provided toHourly Pricing customers who have notinstalled a phone line to read meter

Allow Central Hudson to provide less than ayears worth of interval data and charge formanual meter reading for some customers

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

Request for waiver of the individual living unitmetering requirements at 5742 Route 5,Vernon, NY

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

*PSC-43-10-00016-P . . . . . . . . . . . . exempt Utility Access to Ducts, Conduit Facilities andUtility Poles

To review the complaint from OpticalCommunications Group

*PSC-44-10-00003-P . . . . . . . . . . . . exempt Third and fourth stage gas rate increase byCorning Natural Gas Corporation

To consider Corning Natural Gas Corporation’srequest for a third and fourth stage gas rateincrease

*PSC-51-10-00018-P . . . . . . . . . . . . exempt Commission proceeding concerning three-phase electric service by all major electricutilities

Investigate the consistency of the tariffprovisions for three-phase electric service forall major electric utilities

*PSC-11-11-00003-P . . . . . . . . . . . . exempt The proposed transfer of 55.42 acres of landand $1.4 million of revenues derived from therendition of public service

The proposed transfer of 55.42 acres of landand $1.4 million of revenues derived from therendition of public service



48


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

Exclude the minimum monthly bill componentfrom the earnings test calculation

*PSC-14-11-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 83-30 118th Streetto submeter electricity at 83-30 118th Street,Kew Gardens, New York

*PSC-19-11-00007-P . . . . . . . . . . . . exempt Utility price reporting requirements related tothe Commission’s ‘‘Power to Choose’’ website

Modify the Commission’s utility electriccommodity price reporting requirements relatedto the ‘‘Power to Choose’’ website

*PSC-20-11-00012-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of KMW Group LLC tosubmeter electricity at 122 West Street,Brooklyn, New York

*PSC-20-11-00013-P . . . . . . . . . . . . exempt Determining the reasonableness of NiagaraMohawk Power Corporation d/b/a NationalGrid ‘s make ready charges

To determine if the make ready charges ofNiagara Mohawk Power Corporation d/b/aNational Grid are reasonable

*PSC-22-11-00004-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusaccWAVE for use in residential gas meterapplications

To permit gas utilities in New York State to usethe Sensus accWAVE diaphragm gas meter

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

*PSC-26-11-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity atcommercial property

To consider the request of by Hoosick RiverHardwoods, LLC to submeter electricity at 28Taylor Avenue, in Berlin, New York

*PSC-26-11-00012-P . . . . . . . . . . . . exempt Waiver of generation retirement noticerequirements

Consideration of waiver of generationretirement notice requirements

*PSC-29-11-00011-P . . . . . . . . . . . . exempt Petition requesting the Commssion reconsiderits May 19, 2011 Order and conduct ahearing, and petition to stay said Order.

To consider whether to grant or deny, in wholeor in part, Windstream New York’s Petition ForReconsideration and Rehearing.

*PSC-35-11-00011-P . . . . . . . . . . . . exempt Whether to permit Consolidated Edison awaiver to commission regulations Part 226.8

Permit Consolidated Edison to conduct ainspection program in lieu of testing theaccuracy of Category C meters

*PSC-36-11-00006-P . . . . . . . . . . . . exempt To consider expanding mobile stray voltagetesting requirements

Adopt additional mobile stray voltage testingrequirements

*PSC-38-11-00002-P . . . . . . . . . . . . exempt Operation and maintenance procedurespertaining to steam trap caps

Adopt modified steam operation andmaintenance procedures

*PSC-38-11-00003-P . . . . . . . . . . . . exempt Waiver of certain provisions of the electricservice tariffs of Con Edison

Consideration of waiver of certain provisions ofthe electric service tariffs of Con Edison

*PSC-40-11-00010-P . . . . . . . . . . . . exempt Participation of regulated local exchangecarriers in the New York Data Exchange, Inc.(NYDE)

Whether to partially modify its order requiringregulated local exchange carriers’ participationNYDE

*PSC-40-11-00012-P . . . . . . . . . . . . exempt Granting of transfer of plant in-service to aregulatory asset

To approve transfer and recovery ofunamortized plant investment

*PSC-42-11-00018-P . . . . . . . . . . . . exempt Availability of telecommunications services inNew York State at just and reasonable rates

Providing funding support to help ensureavailability of affordable telecommunicationsservice throughout New York



49


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

*PSC-47-11-00007-P . . . . . . . . . . . . exempt Remedying miscalculations of delivered gasas between two customer classes

Consideration of Con Edison’s proposal toaddress inter-class delivery imbalancesresulting from past Company miscalculations

*PSC-48-11-00007-P . . . . . . . . . . . . exempt Transfer of controlling interests in generationfacilities from Dynegy to PSEG

Consideration of the transfer of controllinginterests in electric generation facilities fromDynegy to PSEG

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

*PSC-01-12-00007-P . . . . . . . . . . . . exempt The New York State Reliability Council’srevisions to its rules and measurements

To adopt revisions to various rules andmeasurements of the New York StateReliability Council

*PSC-01-12-00008-P . . . . . . . . . . . . exempt Transfer of real property and easements fromNMPNS to NMP3

Consideration of the transfer of real propertyand easements from NMPNS to NMP3

*PSC-01-12-00009-P . . . . . . . . . . . . exempt Recovery of expenses related to theexpansion of Con Edison’s ESCO referralprogram, PowerMove

To determine how and to what extent expensesrelated to the Expansion of Con Edison’sESCO referral program should be recovered

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

Whether to grant, deny or modify, in whole orpart, Hegeman’s petition for a waiver ofCommission policy and Con Edison tariff

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

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

*PSC-19-12-00023-P . . . . . . . . . . . . exempt Petition for approval pursuant to Section 70for the sale of goods with an original cost ofless than $100,000

To consider whether to grant, deny or modify,in whole or in part, the petition filed by Orangeand Rockland Utilities, Inc.

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

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

Whether to grant, deny or modify, in whole orpart, the petition for waiver of tariff Rules 8.6and 47

*PSC-23-12-00007-P . . . . . . . . . . . . exempt The approval of a financing upon a transfer toAlliance of upstream ownership interests in ageneration facility

To consider the approval of a financing upon atransfer to Alliance of upstream ownershipinterests in a generation facility

*PSC-23-12-00009-P . . . . . . . . . . . . exempt Over earnings sharing between rate payersand shareholders

To establish an Earnings Sharing Mechanismto be applied following the conclusion ofCorning’s rate plan

*PSC-27-12-00012-P . . . . . . . . . . . . exempt Implementation of recommendations made ina Management Audit Report

To consider implementation ofrecommendations made in a ManagementAudit Report



50


*PSC-28-12-00013-P . . . . . . . . . . . . exempt Exemption of reliability reporting statistics forthe purpose of the 2012 ReliabilityPerformance Mechanism

Consideration of Orange and Rockland Utilitiesrequest for exemption of the 2012 reliabilityreporting statistics

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

*PSC-30-12-00010-P . . . . . . . . . . . . exempt Waiver of 16 NYCRR 894.1 through 894.4 To allow the Town of Andes to waive certainpreliminary franchising procedures to expeditethe franchising process

*PSC-33-12-00009-P . . . . . . . . . . . . exempt Telecommunications companies ability toattach to utility company poles

Consideration of Tech Valley’s ability to attachto Central Hudson poles

*PSC-37-12-00009-P . . . . . . . . . . . . exempt Proposed modification by Con Edison of itsprocedures to calculate estimated bills to itscustomers

Proposed modification by Con Edison of itsprocedures to calculate estimated bills to itscustomers

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

To exempt Gipsy Trail Club, Inc. fromCommission regulation of its financingagreements

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

Whether to grant, deny or modify, in whole orpart, ESHG’s petition for a waiver ofCommission policy and RG&E tariff

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

Whether to grant, deny or modify, in whole orin part the petition of Con Edison to granteasements to Millwood Fire District

*PSC-50-12-00003-P . . . . . . . . . . . . exempt Affiliate standards for Corning Natural GasCorporation

To resolve issues raised by Corning NaturalGas Corporation in its petition for rehearing

*PSC-04-13-00006-P . . . . . . . . . . . . exempt Expansion of mandatory day ahead hourlypricing for customers of Orange and RocklandUtilities with demands above 100 kW

To consider the expansion of mandatory dayahead hourly pricing for customers withdemands above 100 kW

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

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

*PSC-08-13-00012-P . . . . . . . . . . . . exempt Filing requirements for certain Article VIIelectric facilities

To ensure that applications for certain electrictransmission facilities contain pertinentinformation

*PSC-08-13-00014-P . . . . . . . . . . . . exempt Uniform System of Accounts - Request forAccounting Authorization

To allow the company to defer an item ofexpense or capital beyond the end of the yearin which it was incurred

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

*PSC-13-13-00008-P . . . . . . . . . . . . exempt The potential waiver of 16 NYCRR255.9221(d) completion of integrityassessments for certain gas transmissionlines.

To determine whether a waiver of the timelycompletion of certain gas transmission lineintegrity assessments should be granted.



51


*PSC-18-13-00007-P . . . . . . . . . . . . exempt Whether Demand Energy Networks energystorage systems should be designatedtechnologies for standby rate eligibilitypurposes

Whether Demand Energy Networks energystorage systems should be designatedtechnologies for standby rate eligibilitypurposes

*PSC-21-13-00003-P . . . . . . . . . . . . exempt To consider policies that may impactconsumer acceptance and use of electricvehicles

To consider and further develop policies thatmay impact consumer acceptance and use ofelectric vehicles

*PSC-21-13-00005-P . . . . . . . . . . . . exempt To implement an abandonment of Windover’swater system

To approve the implementation ofabandonment of Windover’s water system

*PSC-21-13-00008-P . . . . . . . . . . . . exempt Rates of National Fuel Gas DistributionCorporation

To make the rates of National Fuel GasDistribution Corporation temporary, subject torefund, if they are found to be excessive

*PSC-21-13-00009-P . . . . . . . . . . . . exempt Reporting requirements for natural gas localdistribution companies

To help ensure efficient and economicexpansion of the natural gas system asappropriate

*PSC-22-13-00009-P . . . . . . . . . . . . exempt On remand from New York State courtlitigation, determine the recovery of certaindeferred amounts owed NFG by ratepayers

On remand, to determine the recovery ofcertain deferral amounts owed NFG fromratepayers

*PSC-23-13-00005-P . . . . . . . . . . . . exempt Waiver of partial payment, directory databasedistribution, service quality reporting, andservice termination regulations

Equalize regulatory treatment based on level ofcompetition and practical considerations

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

To deny, grant or modify, in whole or in part,Central Hudson’s rehearing request.

*PSC-25-13-00009-P . . . . . . . . . . . . exempt Provision by utilities of natural gas main andservice lines.

To help ensure efficient and economicexpansion of the natural gas system asappropriate.

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

To deny, grant or modify, in whole or in part,Central Hudson’s rehearing request.

*PSC-27-13-00014-P . . . . . . . . . . . . exempt Columbia Gas Transmission Corporation CostRefund

For approval for temporary waiver of tariffprovisions regarding its Columbia GasTransmission Corporation cost refund.

*PSC-28-13-00014-P . . . . . . . . . . . . exempt Provision for the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

To consider the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

*PSC-28-13-00016-P . . . . . . . . . . . . exempt The request of NGT for lightened regulationas a gas corporation.

To consider whether to approve, reject, ormodify the request of Niagara gas transport ofLockport, NY LLC.

*PSC-28-13-00017-P . . . . . . . . . . . . exempt The request by TE for waiver of regulationsrequiring that natural gas be odorized incertain gathering line segments

Consider the request by TE for waiver ofregulations that gas be odorized in certain lines

*PSC-32-13-00009-P . . . . . . . . . . . . exempt To consider the definition of ‘‘misleading ordeceptive conduct’’ in the Commission’sUniform Business Practices

To consider the definition of ‘‘misleading ordeceptive conduct’’ in the Commission’sUniform Business Practices

*PSC-32-13-00010-P . . . . . . . . . . . . exempt Permission to write off and eliminate recordkeeping for regulatory reserves for Pensionsand Other Post Retirement Benefits

To allow write off and eliminate record keepingof Pension and Other Post Retirement BenefitsReserves



52


*PSC-32-13-00012-P . . . . . . . . . . . . exempt To consider whether NYSEG should berequired to undertake actions to protect itsname and to minimize customer confusion

To consider whether NYSEG should berequired to undertake actions to protect itsname and to minimize customer confusion

*PSC-33-13-00027-P . . . . . . . . . . . . exempt Waive underground facility requirements fornew construction in residential subdivisions toallow for overhead electric lines.

Determine whether Chapin Lumberland, LLCsubdivision will be allowed overhead electricdistribution and service lines.

*PSC-33-13-00029-P . . . . . . . . . . . . exempt Deferral of incremental costs associated withthe restoration of steam service followingSuperstorm Sandy.

To consider a petition by Con Edison to defercertain incremental steam system restorationcosts relating to Superstorm Sandy.

*PSC-34-13-00004-P . . . . . . . . . . . . exempt Escrow account and surcharge to fundextraordinary repairs

To approve the establishment of an escrowaccount and surcharge

*PSC-42-13-00013-P . . . . . . . . . . . . exempt Failure to Provide Escrow Information The closure of the Escrow Account

*PSC-42-13-00015-P . . . . . . . . . . . . exempt Failure to Provide Escrow Information The closure of the Escrow Account

*PSC-43-13-00015-P . . . . . . . . . . . . exempt Petition for submetering of electricity To consider the request of 2701 KingsbridgeTerrace L.P. to submeter electricity at 2701Kingsbridge Terrace, Bronx, N.Y.

*PSC-45-13-00021-P . . . . . . . . . . . . exempt Investigation into effect of bifurcation of gasand electric utility service on Long Island.

To consider a Petition for an investigation intoeffect of bifurcation of gas and electric utilityservice on Long Island.

*PSC-45-13-00022-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4)

To consider a waiver of certain regulationsrelating to the content of an application fortransmission line siting

*PSC-45-13-00023-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4).


*PSC-45-13-00024-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4); waiver of filing deadlines.


*PSC-45-13-00025-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4).


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

*PSC-47-13-00012-P . . . . . . . . . . . . exempt Conditioning,restricting or prohibiting thepurchase of services by NYSEG and RG&Efrom certain affiliates.

Consideration of conditioning,restricting orprohibiting the purchase of services by NYSEGand RG&E from certain affiliates.

*PSC-49-13-00008-P . . . . . . . . . . . . exempt Authorization to transfer all of Crystal WaterSupply Company, Inc. stocks to Essel InfraWest Inc.

To allow Crystal Water Supply Company, Inc totransfer all of its issued and outstanding stocksto Essel Infra West Inc.

*PSC-51-13-00009-P . . . . . . . . . . . . exempt Consolidated Edison proposing to use datafrom a test period ending September 30,2013 to support its next rate filing.

To ensure there is a reasonable basis for datasubmitted in support of a request for a changein rates.





53




*PSC-52-13-00012-P . . . . . . . . . . . . exempt The development of reliability contingencyplan(s) to address the potential retirement ofIndian Point Energy Center (IPEC).

To address the petition for rehearing andreconsideration/motion for clarification of theIPEC reliability contingency plan(s).

*PSC-52-13-00015-P . . . . . . . . . . . . exempt To enter into a loan agreement with the banksfor up to an amount of $94,000.

To consider allowing Knolls Water Company toenter into a long-term loan agreement.

*PSC-05-14-00010-P . . . . . . . . . . . . exempt The New York State Reliability Council’srevisions to its rules and measurements

To adopt revisions to various rules andmeasurements of the New York StateReliability Council

*PSC-07-14-00008-P . . . . . . . . . . . . exempt Petition for submetering of electricity To consider the request of Greater CentennialHomes HDFC, Inc. to submeter electricity at102, 103 and 106 W 5th Street, et al.

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

*PSC-08-14-00015-P . . . . . . . . . . . . exempt Verizon New York Inc.’s service quality andCustomer Trouble Report Rate (CTRR) levelsat certain central office entities

To improve Verizon New York Inc.’s servicequality andthe Customer Trouble Report Ratelevels at certain central office entities

*PSC-10-14-00006-P . . . . . . . . . . . . exempt Actions to facilitate the availability of ESCOvalue-added offerings, ESCO eligibility andESCO compliance

To facilitate ESCO value-added offerings and tomake changes to ESCO eligibility and toensure ESCO compliance

*PSC-11-14-00003-P . . . . . . . . . . . . exempt Provision for the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

To consider the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

*PSC-16-14-00014-P . . . . . . . . . . . . exempt Whether to order NYSEG to provide gasservice to customers when an expandedCPCN is approved and impose PSL 25-apenalties.

To order gas service to customers in the Townof Plattsburgh after approval of a town wideCPCN and to impose penalties.

*PSC-16-14-00015-P . . . . . . . . . . . . exempt Whether Central Hudson should be permittedto defer obligations of the Order issued onOctober 18, 2013 in Case 13-G-0336.

Consideration of the petition by Central Hudsonto defer reporting obligations of the October 18,2013 Order in Case 13-G-0336

*PSC-17-14-00003-P . . . . . . . . . . . . exempt Con Edison’s Report on its 2013 performanceunder the Electric Service ReliabilityPerformance Mechanism

Con Edison’s Report on its 2013 performanceunder the Electric Service ReliabilityPerformance Mechanism

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

To consider certain portions of petitions forrehearing, reconsideration and/or clarification

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

To consider petitions for rehearing,reconsideration and/or clarification

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

To consider certain portions of petitions forrehearing, reconsideration and/or clarification

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



54


*PSC-19-14-00015-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusaccuWAVE for use in residential andcommercial gas meter applications

To permit gas utilities in New York State to usethe Sensus accuWAVE 415TC gas meter

*PSC-22-14-00013-P . . . . . . . . . . . . exempt Petition to transfer and merge systems,franchises and assets.

To consider the Comcast and Time WarnerCable merger and transfer of systems,franchises and assets.

*PSC-23-14-00010-P . . . . . . . . . . . . exempt Whether to permit the use of the GE DresserSeries B3-HPC 11M-1480 rotary gas met foruse in industrial gas meter applications

To permit gas utilities in New York State to usethe GE Dresser Series B3-HPC 11M-1480rotary gas meter

*PSC-23-14-00014-P . . . . . . . . . . . . exempt Waiver of the negative revenue adjustmentassociated with KEDLI’s 2013 CustomerSatisfaction Performance Metric

Consideration of KEDLI’s waiver requestpertaining to its 2013 performance under itsCustomer Satisfaction Metric

*PSC-24-14-00005-P . . . . . . . . . . . . exempt To examine LDC’s performance andperformance measures.

To improve gas safety performance.

*PSC-26-14-00013-P . . . . . . . . . . . . exempt Waiver of RG&E’s tariffed definition ofemergency generator.

To consider waiver of RG&E’s tariffed definitionof emergency generator.

*PSC-26-14-00020-P . . . . . . . . . . . . exempt New electric utility backup service tariffs andstandards for interconnection may beadopted.

To encourage development of microgrids thatenhance the efficiency, safety, reliability andresiliency of the electric grid.

*PSC-26-14-00021-P . . . . . . . . . . . . exempt Consumer protections, standards andprotocols pertaining to access to customerdata may be established.

To balance the need for the informationnecessary to support a robust market withcustomer privacy concerns.

*PSC-28-14-00014-P . . . . . . . . . . . . exempt Petition to transfer systems, franchises andassets.

To consider the Comcast and Charter transferof systems, franchise and assets.

*PSC-30-14-00023-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusiPERL Fire Flow Meter.

Pursuant to 16 NYCRR Part 500.3 , it isnecessary to permit the use of the SensusiPERL Fire Flow Meter.

*PSC-30-14-00026-P . . . . . . . . . . . . exempt Petition for a waiver to master meterelectricity.

Considering the request of RenaissanceCorporation of to master meter electricity at100 Union Drive,Albany, NY.

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

To transfer 100% of the issued and outstandingstock from Vincent Cross to Bonnie andMichael Cross

*PSC-32-14-00012-P . . . . . . . . . . . . exempt Whether to grant or deny, in whole or in part,the Connect New York Coalition’s petition

To consider the Connect New York Coalition’spetition seeking a formal investigation andhearings

*PSC-35-14-00004-P . . . . . . . . . . . . exempt Regulation of a proposed electricitygeneration facility located in the Town ofBrookhaven, NY

To consider regulation of a proposed electricitygeneration facility located in the Town ofBrookhaven, NY

*PSC-35-14-00005-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusiConA electric meter

Pursuant to 16 NYCRR Parts 92 and 93,Commission approval is necessary to permitthe use of the Sensus iConA electric meter

*PSC-36-14-00009-P . . . . . . . . . . . . exempt Modification to the Commission’s ElectricSafety Standards.

To consider revisions to the Commission’sElectric Safety Standards.

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

Whether to approve, reject or modify, in wholeor in part a time-sensitive rate pilot program.



55


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

The study and petition of Con Edison regardinguse, accounting and ratemaking treatment for11-23 and 2-28 Hudson Ave. Brooklyn.

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

Action on the report and petition of Con Edisonregarding the Storm Hardening and ResiliencyCollaborative, Phase 2.

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

Whether to expand Con Edison’s low incomeprogram to include Medicaid recipients.

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

The study and petition of Con Edison regardinguse, accounting and ratemaking treatment for11-23 and 2-28 Hudson Ave. Brooklyn.

*PSC-38-14-00010-P . . . . . . . . . . . . exempt Inter-carrier telephone service qualitystandard and metrics and administrativechanges.

To review recommendations from the CarrierWorking Group and incorporate appropriatemodifications to the existing Guidelines.

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

Action on the report and petition of Con Edisonregarding the Storm Hardening and ResiliencyCollaborative, Phase 2.

*PSC-39-14-00020-P . . . . . . . . . . . . exempt Whether to permit the use of the MuellerSystems 400 Series and 500 Series of watermeters

Pursuant to 16 NYCRR section 500.3, whetherto permit the use of the Mueller Systems 400,and 500 Series of water meters

*PSC-40-14-00008-P . . . . . . . . . . . . exempt To consider granting authorization for BuyEnergy Direct to resume marketing toresidential customers.

To consider granting authorization for BuyEnergy Direct to resume marketing toresidential customers.

*PSC-40-14-00009-P . . . . . . . . . . . . exempt Whether to permit the use of the Itron OpenWay Centron Meter with Hardware 3.1 forAMR and AMI functionality.

Pursuant to 16 NYCRR Parts 93, is necessaryto permit the use of the Itron Open WayCentron Meter with Hardware 3.1.

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

*PSC-40-14-00013-P . . . . . . . . . . . . exempt Regulation of a proposed natural gas pipelineand related facilities located in the Town ofTiconderoga, NY.

To consider regulation of a proposed naturalgas pipeline and related facilities located in theTown of Ticonderoga, NY.

*PSC-40-14-00014-P . . . . . . . . . . . . exempt Waiver of 16 NYCRR Sections 894.1 through894.4(b)(2)

To allow the Town of Goshen, NY, to waivecertain preliminary franchising procedures toexpedite the franchising process.

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

*PSC-42-14-00003-P . . . . . . . . . . . . exempt Annual Reconciliation of Gas Expenses andGas Cost Recoveries

The filings of various LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries

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



56


*PSC-48-14-00014-P . . . . . . . . . . . . exempt Considering the recommendations containedin Staff’ s electric outage investigation reportfor MNRR, New Haven Line.

To consider the recommendations contained inStaff’s electric outage investigation report forMNRR, New Haven Line.

*PSC-52-14-00019-P . . . . . . . . . . . . exempt Petition for a waiver to master meterelectricity.

Considering the request of 614 South CrouseAvenue, LLC to master meter electricity at 614South Crouse Avenue, Syracuse, NY..

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

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

*PSC-08-15-00010-P . . . . . . . . . . . . exempt Request pertaining to the lawfulness ofNational Grid USA continuing its summarybilling program.

To grant, deny, or modify URAC RateConsultants’ request that National Grid ceaseits summary billing program.

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

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

Whether to waive Policy on Test Periods inMajor Rate Proceedings and provide authorityto file tariff changes

*PSC-13-15-00024-P . . . . . . . . . . . . exempt Whether Leatherstocking should be permittedto recover a shortfall in earnings

To decide whether to approveLeatherstocking’s request to recover a shortfallin earnings

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

To permit the use of the Sensus Smart PointGas AMR/AMI product

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

To permit the use of the Measurlogic DTS 310submeter

*PSC-13-15-00028-P . . . . . . . . . . . . exempt Whether to permit the use of the SATECEM920 electric meter

To permit necessary to permit the use of theSATEC EM920 electric meter

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

To permit the use of the Triacta submeters

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

To consider the petition of Leatherstocking GasCompany, LLC seeking authority to issue long-term debt of $2.75 million

*PSC-18-15-00005-P . . . . . . . . . . . . exempt Con Edison’s Report on its 2014 performanceunder the Electric Service ReliabilityPerformance Mechanism

Con Edison’s Report on its 2014 performanceunder the Electric Service ReliabilityPerformance Mechanism

*PSC-19-15-00011-P . . . . . . . . . . . . exempt Gas Safety Performance Measures andassociated negative revenue adjustments

To update the performance measuresapplicable to KeySpan Gas East Corporationd/b/a National Grid

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

To consider the request for waiver of theindividual residential unit meter requirementsand 16 NYCRR 96.1(a)



57


*PSC-23-15-00005-P . . . . . . . . . . . . exempt The modification of New York AmericanWater’s current rate plan

Whether to adopt the terms of the JointProposal submitted by NYAW and DPS Staff

*PSC-23-15-00006-P . . . . . . . . . . . . exempt The modification of New York AmericanWater’s current rate plan

Whether to adopt the terms of the JointProposal submitted by NYAW and DPS Staff

*PSC-25-15-00008-P . . . . . . . . . . . . exempt Notice of Intent to Submeter electricity. To consider the request of 165 E 66Residences, LLC to submeter electricity at 165East 66th Street, New York, New York.

*PSC-29-15-00018-P . . . . . . . . . . . . exempt Approval of ratemaking related to amendmenta certificate of public convenience andnecessity

To approve or reject the ratemaking aspects ofSLG’s petition to amend its certificate of publicconvenience and necessity

*PSC-29-15-00025-P . . . . . . . . . . . . exempt Joint Petition for authority to transfer realproperty located at 624 West 132nd Street,New York, NY

Whether to authorize the proposed transfer ofreal property located at 624 West 132nd Street,New York, NY

*PSC-32-15-00006-P . . . . . . . . . . . . exempt Development of a Community SolarDemonstration Project.

To approve the development of a CommunitySolar Demonstration Project.

*PSC-33-15-00009-P . . . . . . . . . . . . exempt Remote net metering of a demonstrationcommunity net metering program.

To consider approval of remote net metering ofa demonstration community net meteringprogram.

*PSC-33-15-00012-P . . . . . . . . . . . . exempt Remote net metering of a Community SolarDemonstration Project.

To consider approval of remote net metering ofa Community Solar Demonstration Project.

*PSC-34-15-00021-P . . . . . . . . . . . . exempt Petition by NYCOM requesting assistancewith obtaining information on CLECs andESCOs

To consider the petition by NYCOM requestingassistance with obtaining information onCLECs and ESCOs

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

To consider consequences against Light Power& Gas, LLC for violations of the UBP

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

*PSC-40-15-00014-P . . . . . . . . . . . . exempt Whether to permit the use of the Open Way3.5 with cellular communications

To consider the use of the Open Way 3.5electric meter, pursuant to 16 NYCRR Parts 92and 93

*PSC-42-15-00006-P . . . . . . . . . . . . exempt Deferral of incremental expenses associatedwith NERC’s new Bulk Electric System (BES)compliance requirements approved by FERC.

Consideration of Central Hudson’s request todefer incremental expenses associated withnew BES compliance requirements.

*PSC-44-15-00028-P . . . . . . . . . . . . exempt Deferral of incremental expenses associatedwith new compliance requirements

Consideration of Central Hudson’s request todefer incremental expenses associated withnew compliance requirements

*PSC-47-15-00013-P . . . . . . . . . . . . exempt Whitepaper on Implementing LightenedRatemaking Regulation.

Consider Whitepaper on ImplementingLightened Ratemaking Regulation.

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

Consider the lightened and incidentalregulation of a 55 MW electric and steamgenerating facility.

*PSC-48-15-00011-P . . . . . . . . . . . . exempt Proposal to retire Huntley Units 67 and 68 onMarch 1, 2016.

Consider the proposed retirement of HuntleyUnits 67 and 68.



58


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

*PSC-50-15-00009-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the request to submeter electricityat 31-33 Lincoln Road and 510 FlatbushAvenue, Brooklyn, New York.

*PSC-51-15-00010-P . . . . . . . . . . . . exempt Modification of the EDP To consider modifying the EDP

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

To consider amendment to Section 5,Attachment 1.A of the Uniform BusinessPractices

*PSC-04-16-00007-P . . . . . . . . . . . . exempt Whether Hamilton Municipal Utilities shouldbe permitted to construct and operate amunicipal gas distribution facility.

Consideration of the petition by HamiltonMunicipal Utilities to construct and operate amunicipal gas distribution facility.

*PSC-04-16-00012-P . . . . . . . . . . . . exempt Proposal to mothball three gas turbineslocated at the Astoria Gas Turbine GeneratingStation.

Consider the proposed mothball of three gasturbines located at the Astoria Gas TurbineGenerating Station.

*PSC-04-16-00013-P . . . . . . . . . . . . exempt Proposal to find that three gas turbineslocated at the Astoria Gas Turbine GeneratingStation are uneconomic.

Consider whether three gas turbines located atthe Astoria Gas Turbine Generating Station areuneconomic.

*PSC-06-16-00012-P . . . . . . . . . . . . exempt Inclusion of a Farm and Food Communityprogram in the community distributedgeneration program.

To consider the inclusion of a Farm and FoodCommunity program in the communitydistributed generation program.

*PSC-06-16-00013-P . . . . . . . . . . . . exempt Continued deferral of approximately$16,000,000 in site investigation andremediation costs.

To consider the continued deferral ofapproximately $16,000,000 in site investigationand remediation costs.

*PSC-06-16-00014-P . . . . . . . . . . . . exempt MEGA’s proposed demonstration CCAprogram.

To consider MEGA’s proposed demonstrationCCA program.

*PSC-14-16-00008-P . . . . . . . . . . . . exempt Resetting retail markets for ESCO massmarket customers.

To ensure consumer protections with respect toresidential and small non-residential ESCOcustomers.

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

*PSC-18-16-00013-P . . . . . . . . . . . . exempt Amendments to the Uniform BusinessPractices of ESCOs.

To ensure consumer protection for ESCOcustomers.



*PSC-18-16-00015-P . . . . . . . . . . . . exempt Petitions for rehearing of the Order ResettingRetail Energy Markets and EstablishingFurther Process.

To ensure consumer protections for ESCOcustomers.







59


*PSC-20-16-00008-P . . . . . . . . . . . . exempt Consideration of consequences againstGlobal Energy Group, LLC for violations ofthe Uniform Business Practices (UBP).

To consider consequences against GlobalEnergy Group, LLC for violations of theUniform Business Practices (UBP).

*PSC-20-16-00010-P . . . . . . . . . . . . exempt Deferral and recovery of incrementalexpense.

To consider deferring costs of conducting leaksurvey and repairs for subsequent recovery.

*PSC-20-16-00011-P . . . . . . . . . . . . exempt Enetics LD-1120 Non-Intrusive LoadMonitoring Device in the StatewideResidential Appliance Metering Study.

To consider the use of the Enetics LD-1120Non-Intrusive Load Monitoring Device.

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

*PSC-25-16-00009-P . . . . . . . . . . . . exempt To delay Companies’ third-party assessmentsof customer personally identifiable informationuntil 2018.

To extend the time period between theCompanies’ third-party assessments ofcustomer personally identifiable information.

*PSC-25-16-00024-P . . . . . . . . . . . . exempt Pole Attachment Rules. To determine that the Commission’s existingpole attachment rules apply to wirelessproviders.

*PSC-25-16-00025-P . . . . . . . . . . . . exempt Acquisition of all water supply assets ofWoodbury Heights Estates Water Co., Inc. bythe Village of Kiryas Joel.

To consider acquisition of all water supplyassets of Woodbury Heights Estates WaterCo., Inc. by the Village of Kiryas Joel.

*PSC-25-16-00026-P . . . . . . . . . . . . exempt Use of the Badger E Series Ultrasonic ColdWater Stainless Steel Meter, in residential fireservice applications.

To consider the use of the Badger E SeriesUltrasonic Cold Water Stainless Steel Meter infire service applications.

*PSC-28-16-00017-P . . . . . . . . . . . . exempt A petition for rehearing of the Order Adoptinga Ratemaking and Utility Revenue ModelPolicy Framework.

To determine appropriate rules for andcalculation of the distributed generationreliability credit.

*PSC-29-16-00024-P . . . . . . . . . . . . exempt Participation of NYPA customers insurcharge-funded clean energy programs.

To consider participation of NYPA customers insurcharge-funded clean energy programs.

*PSC-32-16-00012-P . . . . . . . . . . . . exempt Benefit-Cost Analysis Handbooks. To evaluate proposed methodologies of benefit-cost evaluation.

*PSC-33-16-00001-EP . . . . . . . . . . . . exempt Use of escrow funds for repairs. To authorize the use of escrow account fundsfor repairs.

*PSC-33-16-00005-P . . . . . . . . . . . . exempt Exemption from certain charges for delivery ofelectricity to its Niagara Falls, New Yorkfacility.

Application of System Benefits Charges,Renewable Portfolio Standard charges andClean Energy Fund surcharges.

*PSC-35-16-00015-P . . . . . . . . . . . . exempt NYSRC’s revisions to its rules andmeasurements

To consider revisions to various rules andmeasurements of the NYSRC

*PSC-36-16-00004-P . . . . . . . . . . . . exempt Recovery of costs for installation of electricservice.

To consider the recovery of costs forinstallation of electric service.

*PSC-40-16-00025-P . . . . . . . . . . . . exempt Consequences pursuant to the Commission’sUniform Business Practices (UBP).

To consider whether to impose consequenceson Smart One for its apparent non-compliancewith Commission requirements.

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



60


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




*PSC-49-16-00005-P . . . . . . . . . . . . exempt Waiver of certain rules and requirementspertaining to cable television franchise.

To determine whether to waive any regulations.

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

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

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

*PSC-14-17-00017-P . . . . . . . . . . . . exempt Petition for Full-Scale Deployment of AMI andto Establish an AMI Surcharge.

To consider the petition for Full-ScaleDeployment of AMI and to Establish an AMISurcharge.

*PSC-18-17-00024-P . . . . . . . . . . . . exempt A petition for rehearing or reconsideration ofthe Order Addressing Public PolicyTransmission Need for AC TransmissionUpgrades

To determine whether Public PolicyTransmission Need/Public Policy Requirementscontinue to exist.

*PSC-18-17-00026-P . . . . . . . . . . . . exempt Revisions to the Dynamic Load Managementsurcharge.

To consider revisions to the Dynamic LoadManagement surcharge.

*PSC-19-17-00004-P . . . . . . . . . . . . exempt NYAW’s request to defer and amortize, forfuture rate recognition, pension settlementpayout losses incurred in 2016.

Consideration of NYAW’s petition to defer andamortize, for future rate recognition, pensionpayour losses incurred in 2016.

*PSC-20-17-00008-P . . . . . . . . . . . . exempt Compressed natural gas as a motor fuel fordiesel fueled vehicles.

To consider a report filed by National Grid NYregarding the potential for adoption ofcompressed natural gas as a motor fuel.

*PSC-20-17-00010-P . . . . . . . . . . . . exempt Compressed natural gas as a motor fuel fordiesel fueled vehicles.

To consider a report filed by National Gridregarding the potential for adoption ofcompressed natural gas as a motor fuel.

PSC-21-17-00013-P . . . . . . . . . . . . exempt The establishment and implementation ofEarnings Adjustment Mechanisms.

To consider the establishment andimplementation of Earnings AdjustmentMechanisms.

PSC-21-17-00018-P . . . . . . . . . . . . exempt Proposed agreement for the provision ofwater service by Saratoga Water Services,Inc.

To consider a waiver and approval of terms ofa service agreement.

PSC-22-17-00004-P . . . . . . . . . . . . exempt Financial incentives to create customersavings and develop market-enabling tools,with a focus on outcomes and incentives

To consider the proposed InterconnectionSurvey Process and Earnings AdjustmentMechanisms



61


PSC-22-17-00007-P . . . . . . . . . . . . exempt Certain Commission requirements related toblockable central office codes

To consider a change to certain Commissionrequirements related to blockable central officecodes

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


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

PSC-24-17-00014-P . . . . . . . . . . . . exempt An alternative methodology for calculatingbilling adjustments.

To consider an alternative methodology forcalculating billing adjustments.

PSC-25-17-00005-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual revenues by$154,329 or 116%

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

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

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

PSC-32-17-00007-P . . . . . . . . . . . . exempt Petition to amend bill estimation proceduresfor AMI.

To consider the petition of Orange andRockland to amend its current bill estimationprocedures for AMI.

PSC-33-17-00013-P . . . . . . . . . . . . exempt The obligation of electric utilities to pay for theextension of electric service to residentialdevelopments.

To consider if National Grid should change itspractices and compensate the petitioners forpast charges.

PSC-34-17-00011-P . . . . . . . . . . . . exempt Waiver to permit Energy Cooperative ofAmerica to serve low-income customers

To consider the petition for a waiver

PSC-34-17-00017-P . . . . . . . . . . . . exempt Use of the Honeywell Mercury EC350volumetric corrector in gas meteringapplications

To consider the use of the Honeywell MercuryEC350 volumetric corrector in gas meteringapplications

PSC-36-17-00012-P . . . . . . . . . . . . exempt Petition to amend bill estimation proceduresfor AMI.

To consider the petition of Con Edison toamend its current bill estimation procedures forAMI.

PSC-37-17-00005-P . . . . . . . . . . . . exempt Financial incentives to create customersavings and develop market-enabling tools,with a focus on outcomes and incentives.

To consider the revised Interconnection SurveyProcess and Earnings AdjustmentMechanisms.

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

PSC-37-17-00009-P . . . . . . . . . . . . exempt Fishers Island Water Works Corporation’srates for the provision of water.

To consider an increase in Fishers IslandWater Works Corporation’s annual waterrevenues by approximately $296,031 or 44.5%.

PSC-39-17-00008-P . . . . . . . . . . . . exempt Petition to submeter electricity and waiverrequest.

To consider the petition to submeter electricityand waiver request of 16 NYCRR § 96.5(k)(3).



62


PSC-39-17-00009-P . . . . . . . . . . . . exempt Whether a proposed agreement for theprovision of water service by Saratoga WaterServices, Inc. is in the public interest.

To consider the terms of a service agreementand waiver.

PSC-39-17-00011-P . . . . . . . . . . . . exempt Whether to direct New York State Electric &Gas to complete electric facility upgrades atno charge to Hanehan.

To determine financial responsibility betweenNYSEG and Hanehan for the electric serviceupgrades to Hanehan.

PSC-40-17-00006-P . . . . . . . . . . . . exempt The aggregation of electric service for theEmpire State Plaza and the Sheridan AvenueSteam Plant

To consider a waiver of National Grid’s tariffprovision requiring all electric delivery points tobe on the same premises

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

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

PSC-42-17-00005-P . . . . . . . . . . . . exempt Complaint for review of rates charged forwater service to commercial and residentialcustomers of water works corporation.

To consider the complaint filed on January 3,2017 by Bristol customers.

PSC-42-17-00010-P . . . . . . . . . . . . exempt Petition for rehearing of negative revenueadjustment and contents of annualPerformance Report.

To consider NFGD’s petition for rehearing.

PSC-45-17-00008-P . . . . . . . . . . . . exempt Major water rate filing. To consider an increase in SUEZ O-N’s annualrevenue requirement by approximately$600,000, or 33.4%.

PSC-46-17-00006-P . . . . . . . . . . . . exempt To consider further proposed amendments tothe original criteria to grandfatheringestablished in the Transition Plan

To modify grandfathering criteria

PSC-46-17-00009-P . . . . . . . . . . . . exempt Requirements pertaining to inspections andreporting on plastic fusions installed in gascompany service territories

To clarify prior requirements and establish newrequirements for plastic fusion qualificationsand inspections

PSC-46-17-00010-P . . . . . . . . . . . . exempt Compliance with plastic fusion requirements To consider requiring NFG to comply withcurrent and new plastic fusion requirementsand report compliance failures



PSC-46-17-00013-P . . . . . . . . . . . . exempt Annual Reconciliation of Gas Expenses andGas Cost Recoveries

To consider filings of LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries



PSC-47-17-00010-P . . . . . . . . . . . . exempt Con Edison’s petition for approval of theSmart Solutions for Natural Gas CustomersProgram.

To consider Con Edison’s multi-solutionstrategy to decrease gas usage and procurealternative resources.

PSC-48-17-00015-P . . . . . . . . . . . . exempt Low Income customer options for affordablewater bills.

To consider the Low Income Bill Discountand/or Energy Efficiency Rebate Programs.



63


PSC-49-17-00009-P . . . . . . . . . . . . exempt Part of the Tier 2 Maintenance Tier Programin the RES of the CES

To promote and maintain renewable electricenergy resources

PSC-49-17-00010-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual revenues ofabout $300,000 or 5.2%

PSC-50-17-00017-P . . . . . . . . . . . . exempt New Wave Energy Corp.’s petition forrehearing.

To consider the petition for rehearing filed byNew Wave Energy Corp.

PSC-50-17-00018-P . . . . . . . . . . . . exempt Application of the Public Service Law to DERsuppliers.

To determine the appropriate regulatoryframework for DER suppliers.

PSC-50-17-00019-P . . . . . . . . . . . . exempt Transfer of utility property. To consider the transfer of utility property.

PSC-50-17-00021-P . . . . . . . . . . . . exempt Disposition of tax refunds and other relatedmatters.

To consider the disposition of tax refunds andother related matters.

PSC-50-17-00022-P . . . . . . . . . . . . exempt Data protection rules for DER suppliers. To determine the appropriate regulatoryframework for DER suppliers.

PSC-51-17-00007-P . . . . . . . . . . . . exempt Opt-out tariff regarding installation ofadvanced digital metering devices in CentralHudson’s service territory.

To determine the appropriate opt-out provisionsfor Central Hudson customers regardingadvanced digital metering devices.

PSC-51-17-00009-P . . . . . . . . . . . . exempt Consideration of Con Edison’s proposedImplementation Plan.

To consider Con Edison’s Implementation Planand appropriate design of the utility-ownedShared Solar Pilot Program.

PSC-51-17-00011-P . . . . . . . . . . . . exempt Petition for recovery of certain costs related tothe implementation of a Non-Wires AlternativeProject.

To consider Con Edison’s petition for therecovery of costs for implementing the JFKProject.

PSC-51-17-00015-P . . . . . . . . . . . . exempt Opt-out tariff regarding installation ofadvanced digital metering devices in CentralHudson’s service territory.

To determine the appropriate opt-out provisionsfor Central Hudson customers regardingadvanced digital metering devices.

PSC-51-17-00016-P . . . . . . . . . . . . exempt Petition for waiver request of Opinion No.76-17 and 16 NYCRR Part 96.

To consider the petition of Jericho Project forwaiver request of Opinion No. 76-17 and 16NYCRR Part 96.

PSC-52-17-00014-P . . . . . . . . . . . . exempt Oversight and support of Clean Energy Fundand related NYSERDA activities

To support and monitor the deployment ofclean energy technology

PSC-52-17-00016-P . . . . . . . . . . . . exempt SUEZ O-N’s rates of the Forest Park Systemsfor the provision of water

To consider an increase in SUEZ O-N’s annualwater revenues of the Forest Park Systems byapproximately $298,221 or 48.52%

PSC-52-17-00019-P . . . . . . . . . . . . exempt Petition to submeter electricity To consider the petition of Bruns Associates,LLC to submeter electricity

PSC-01-18-00011-P . . . . . . . . . . . . exempt Participation of low-income ratepayers incommunity distributed generation projects.

To consider methods to support participation oflow-income ratepayers in community distributedgeneration projects.

PSC-02-18-00008-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of Murray HillMarquis LLC to submeter electricity.

PSC-04-18-00003-P . . . . . . . . . . . . exempt Minor rate filing. To consider a proposal for an increase in totalannual revenues of approximately $136,634, or11.4%.



64


PSC-04-18-00005-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of Montante/Morgan Gates Circle LLC to submeterelectricity.

PSC-04-18-00006-P . . . . . . . . . . . . exempt Consideration of the Central Hudson Gas &Electric Corporation Implementation Plan andaudit recommendations.

To consider Central Hudson Gas & ElectricCorporation’s Management AuditImplementation Plan.

PSC-04-18-00007-P . . . . . . . . . . . . exempt Con Edison’s methodology for reconciling thegas POR discount rate charge.

To consider modifications to the manner inwhich reconciliations of the POR discount rateare collected or refunded.

PSC-04-18-00008-P . . . . . . . . . . . . exempt Waiver of Commission requirements. To consider a waiver of the Commission’selectric infrastructure requirement.

PSC-05-18-00004-P . . . . . . . . . . . . exempt Lexington Power’s ZEC complianceobligation.

To promote and maintain renewable and zero-emission electric energy resources.

PSC-05-18-00005-P . . . . . . . . . . . . exempt Distributed Generation (DG), Natural GasVehicle (NGV) and Prime-WNY PilotPrograms.

To consider to make permanent the DG andNGV Pilot Programs and continue the Prime-WNY Pilot Program with modifications.

PSC-05-18-00008-P . . . . . . . . . . . . exempt Implementation of Advanced MeteringInfrastructure (AMI) in O&R’s territory, andprovisions for individual opt-outs therefrom.

To consider Advanced Metering Infrastructure(AMI) in Orange & Rockland’s service territory.

PSC-06-18-00011-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRR§ 86.3(a)(1); 86.3(a)(2); 86.3(b)(2) and88.4(a)(4)




PSC-06-18-00013-P . . . . . . . . . . . . exempt Proposed sale of property from Con Edison to500 Kent LLC

To consider Con Edison and 500 Kent LLC’sjoint petition for a proposed sale of property

PSC-06-18-00015-P . . . . . . . . . . . . exempt Whether a proposed agreement for theprovision of water service by Saratoga WaterServices, Inc. is in the public interest

To consider a waiver and terms of a serviceagreement

PSC-06-18-00017-P . . . . . . . . . . . . exempt Merger of NYAW and Whitlock Farms WaterCorp.

To consider the merger of NYAW and WhitlockFarms Water Company into a single corporateentity

PSC-07-18-00015-P . . . . . . . . . . . . exempt The accuracy and reasonableness of NationalGrid’s billing for certain interconnectionupgrades.

To consider AEC’s petition requestingresolution of their billing dispute with NationalGrid.

PSC-07-18-00016-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of Silo RidgeCondo Association to submeter electricity.

PSC-08-18-00003-P . . . . . . . . . . . . exempt Gas service to power generators. To consider proposals in the report regardingservice to power generators and relatedproposed tariff revisions.

PSC-08-18-00004-P . . . . . . . . . . . . exempt Negative revenue adjustments assessed foralleged gas safety violations in 2014, 2015,and 2016.

To encourage active efforts by the utilitycompany to maximize gas safety.



65


PSC-08-18-00005-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity andwaiver request.

To consider the notice of intent to submeterelectricity and waiver request of 16 NYCRR§ 96.5(k)(3).

PSC-08-18-00006-P . . . . . . . . . . . . exempt Gas service to power generators. To consider proposals in the report regardingservice to power generators and relatedproposed tariff revisions.

PSC-08-18-00007-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of 160 LeroyLLC to submeter electricity.

PSC-08-18-00008-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of MIP OneWall Street Acquisition, LLC to submeterelectricity.

PSC-09-18-00010-P . . . . . . . . . . . . exempt Use of the Itron OpenWay Riva CENTRONPolyphase CP2SRA electric meter

To ensure that consumers bills are based onaccurate measurements of electric usage

PSC-09-18-00011-P . . . . . . . . . . . . exempt Transfer of certain street lighting facilities To consider the transfer of certain streetlighting facilities from NYSEG to the Village ofOwego

PSC-09-18-00012-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual waterrevenues by approximately $93,436 or 68.2%

PSC-09-18-00013-P . . . . . . . . . . . . exempt Proposed use of electronic signatures forDeferred Payment Agreements

To make it easier for customers to obtainDeferred Payment Agreements

PSC-11-18-00002-P . . . . . . . . . . . . exempt Use of funds for ratepayer benefit programs. To promote gas safety.

PSC-11-18-00003-P . . . . . . . . . . . . exempt Use of funds for ratepayer benefit. To promote gas safety measures.

PSC-11-18-00004-P . . . . . . . . . . . . exempt New York State Lifeline Program. To consider TracFone’s petition seekingapproval to participate in Lifeline.

PSC-12-18-00007-P . . . . . . . . . . . . exempt Minor rate filing To consider an increase in annual waterrevenues by approximately $30,487 or 189%

PSC-12-18-00008-P . . . . . . . . . . . . exempt Trading and banking of Renewable EnergyCertificates

To determine proper treatment of RenewableEnergy Certificates

PSC-12-18-00009-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity andwaiver request

To consider the notice of intent to submeterelectricity and waiver request

PSC-13-18-00014-P . . . . . . . . . . . . exempt Commission oversight of distributed energyresource suppliers

To protect customers and utilities in the receiptof services from distributed energy resourcesuppliers

PSC-13-18-00015-P . . . . . . . . . . . . exempt Eligibility of an ESCO to market to and enrollresidential customers.

To consider whether Astral should be allowedto market to and enroll residential customersfollowing a suspension.

PSC-13-18-00016-P . . . . . . . . . . . . exempt Electronic Deferred Payment Agreements(DPA).

To consider a proposal to implement ElectronicDPAs.


To consider the notice of intent to submeterelectricity and waiver request.


To consider the notice of intent to submeterelectricity and waiver request.



66


PSC-13-18-00019-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent to submeterelectricity.




PSC-13-18-00023-P . . . . . . . . . . . . exempt Reconciliation of property taxes. To consider NYAW’s request to reconcileproperty taxes.

PSC-13-18-00024-P . . . . . . . . . . . . exempt SC No. 3 - Multiple-Dwelling Service. To consider a tariff change proposing theelimination of an outdated provision under SCNo. 3 - Multiple-Dwelling Service.

PSC-14-18-00001-EP . . . . . . . . . . . . exempt Authorization of a new tariff leaf, Rider A, forhigh density demand customers.

To allow the New York Municipal PowerAgency’s Rider A to go into effect on anemergency basis.

PSC-14-18-00004-P . . . . . . . . . . . . exempt Terms of a service agreement and waiver oftariff provisions

To consider Saratoga Water’s requested termsof a service agreement and tariff waivers

PSC-14-18-00005-P . . . . . . . . . . . . exempt Transfer of certain street lighting facilities To consider the transfer of certain streetlighting facilities located in the ChautauquaUtility District

PSC-14-18-00006-P . . . . . . . . . . . . exempt Petition for abandonment To consider the abandonment of Willsboro BayWater Company’s water system

PSC-14-18-00007-P . . . . . . . . . . . . exempt An offshore wind generating facilities program To promote offshore wind generating facilitiesand to reduce greenhouse gas emissions

PSC-15-18-00008-P . . . . . . . . . . . . exempt Amendments to the Uniform BusinessPractices.

Consideration of revised consumer protectionsand business practices of energy servicecompanies.

PSC-15-18-00009-P . . . . . . . . . . . . exempt AP Gas and Electric ZEC complianceobligation.

To promote and maintain renewable and zero-emission electric energy resources.

PSC-16-18-00005-P . . . . . . . . . . . . exempt Company-owned LED street lighting To consider a tariff change proposing revisedand additional Company-owned LED streetlighting options

PSC-16-18-00006-P . . . . . . . . . . . . exempt Company-owned LED street lighting To consider a tariff change proposing revisedand additional Company-owned LED streetlighting options

PSC-16-18-00007-P . . . . . . . . . . . . exempt Regulatory treatment of utilities regardingrecent changes in federal tax law

To ensure just and reasonable utility rates

PSC-17-18-00009-P . . . . . . . . . . . . exempt Petition to submeter electricity. To consider the petition of Harmony MillsFallsview LLC to submeter electricity.

PSC-17-18-00010-P . . . . . . . . . . . . exempt Petition for use of gas metering equipment. To ensure that consumer bills are based onaccurate measurements of gas usage.



67


PSC-17-18-00011-P . . . . . . . . . . . . exempt Increase demand and energy charges underS.C. No. 3 and S.C. No. 4.

To consider a proposal to protect existingelectric customers from increased supply costsresulting from HDL customers.

PSC-17-18-00012-P . . . . . . . . . . . . exempt Residential Electric Vehicle Charging. To effectuate service enhancements mandatedby State Legislation.



PSC-17-18-00015-P . . . . . . . . . . . . exempt Implement High Density Load CustomerProgram - Individual Service Agreements.

To consider allowing Massena to offer electricservice to high density load customers whilepassing costs to those customers.

PSC-18-18-00008-P . . . . . . . . . . . . exempt Residential Electric Vehicle Charging To effectuate service enhancements mandatedby State Legislation

PSC-18-18-00009-P . . . . . . . . . . . . exempt Transfer of control of Keene Valley Video Inc. To ensure performance in accordance withapplicable cable laws, regulations andstandards and the public interest

PSC-18-18-00010-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRSections 86.3(a)(1), (a)(2), (b)(2), 86.4(b) and88.4(a)(4)

To ensure that adequate maps and systemstudies support the application



PSC-18-18-00013-P . . . . . . . . . . . . exempt Motion requesting program eligibilityclarification and to make clarifying editsrelated to Case 16-E-0060 and Rider Q

To test standby rate designs to facilitatedistributed generation growth

PSC-19-18-00005-P . . . . . . . . . . . . exempt Whether Flanders’ can market to and enrollnew customers.

To protect customers by enforcing compliancewith the Uniform Business Practices.

PSC-20-18-00004-EP . . . . . . . . . . . . exempt Appointment of a temporary operator of awater system

To ensure activation and availability of a safewater supply to existing residences

PSC-20-18-00008-P . . . . . . . . . . . . exempt Proposed major rate increase in O&R’s gasdelivery revenues of approximately $4.5million (or 1.5% in total revenues)

To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences

PSC-20-18-00009-P . . . . . . . . . . . . exempt Proposed major rate increase in O&R’selectric delivery revenues of approximately$20.3 million (or 2.3% in total revenues)

To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences

PSC-21-18-00033-P . . . . . . . . . . . . exempt Property tax expenses and refunds of over-collections for such expenses.

To ensure just and reasonable rates.

PSC-21-18-00041-P . . . . . . . . . . . . exempt Con Edison’s petition for the Smart Solutionsfor Natural Gas DR Pilot Implementation Planand associated budget.

To promote gas system reliability byencouraging gas demand reductions duringpeak gas demand days.



68


PSC-21-18-00042-P . . . . . . . . . . . . exempt Establish new SC No. 7 - High Density LoadsIndividual Negotiated Contract.

To ensure that high density load customersreceive cost-based rates that do not provide anundue preference.

PSC-21-18-00043-P . . . . . . . . . . . . exempt Intent to submeter electricity at 98 FrontStreet, Brooklyn, New York.

To ensure adequate submetering equipmentand consumer protections are in place.

PSC-21-18-00044-P . . . . . . . . . . . . exempt Electric ratemaking policy for Direct CurrentFast Charging (DCFC) facilities used torecharge electric vehicles.

To ensure just and reasonable rates in thecontext of charging electric vehicles.

PSC-21-18-00045-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRSections 86.3(a)(1), (a)(2), (b)(1), (b)(2), 86.6,86.10 and 88.4(a)(4).

To ensure application to amend certificateissued under PSL Article VII contains sufficientinformation for review to proceed.

PSC-22-18-00005-P . . . . . . . . . . . . exempt Use of unspent funds previously allocated tothe NY-Sun Initiative for years 2014 and 2015

To efficiently encourage the preservation ofenvironmental values and the conservation ofnatural resources

PSC-22-18-00006-P . . . . . . . . . . . . exempt Intent to submeter electricity and requestedwaiver of the energy audit requirement

To ensure adequate submetering equipment,consumer protections, and energy efficiencyprotections are in place

PSC-22-18-00007-P . . . . . . . . . . . . exempt Intent to submeter electricity To ensure adequate submetering equipmentand consumer protections are in place

PSC-22-18-00008-P . . . . . . . . . . . . exempt Intent to submeter electricity To ensure adequate submetering equipmentand consumer protections are in place

PSC-22-18-00009-P . . . . . . . . . . . . exempt Expand the SmartCharge New York Programto include medium-duty and heavy-dutyelectric vehicles

To ensure just and reasonable rates in thecontext of charging electric vehicles, includingincentivizing off-peak charging

STATE, DEPARTMENT OF

DOS-07-18-00010-P . . . . . . . . . . . 02/14/19 Cease and desist zone for the IncorporatedVillage of Chestnut Ridge, NY

To adopt a cease and desist zone for theIncorporated Village of Chestnut Ridge, NY

DOS-12-18-00006-P . . . . . . . . . . . 03/21/19 The education qualifications for real estatebroker’s license

To update course requirements to meet currentindustry needs

DOS-20-18-00001-P . . . . . . . . . . . 07/17/19 Minimum standards for administration andenforcement of the Uniform Code and EnergyCode

Requires programs for local governmentsadministering/enforcing Uniform and EnergyCodes to include provisions relating to parkinggarages, establish procedures for occuranceswhere Secretary of State and State agenciesmust administer/enforce Uniform Code

DOS-20-18-00002-EP . . . . . . . . . . . 07/24/19 Suspension and revocation of certifications ofcode enforcement personnel.

See attached ‘‘Purpose’’

TAXATION AND FINANCE, DEPARTMENT OF

TAF-21-18-00031-P . . . . . . . . . . . . exempt Fuel use tax on motor fuel and diesel motorfuel and the art. 13-A carrier tax jointlyadministered therewith

To set the sales tax component and thecomposite rate per gallon for the period July 1,2018 through September 30, 2018



69

TEMPORARY AND DISABILITY ASSISTANCE, OFFICE OF

TDA-12-18-00004-P . . . . . . . . . . . 03/21/19 Reengagement/conciliation and sanctionprocedures for employment programs

To implement statutory changes relative topublic assistance (PA) reengagement/conciliation and sanction procedures

TRANSPORTATION, DEPARTMENT OF

TRN-11-18-00001-P . . . . . . . . . . . 03/14/19 Regulation of commercial motor carriers inNew York State

The rule making updates Title 49 CFRprovisions incorporated by reference pursuantto regulation of commercial motor carriers

TRN-22-18-00001-P . . . . . . . . . . . 05/30/19 Electric powered motor vehicle equipment To repeal section 720.9

URBAN DEVELOPMENT CORPORATION

UDC-14-18-00008-P . . . . . . . . . . . 04/04/19 Regional Revolving Loan Trust Fund Update procedures for the administration of theRegional Revolving Loan Trust Fund program

WORKERS’ COMPENSATION BOARD

WCB-52-17-00021-P . . . . . . . . . . . 12/27/18 Establishment of Prescription Drug Formulary Establishment of a drug formulary that includeshigh-quality and cost-effective preauthorizedmedication

WCB-18-18-00014-P . . . . . . . . . . . 05/02/19 Procedures under WCL 21-a To correct typographical citation errors and aclarifying change

WCB-21-18-00038-P . . . . . . . . . . . 05/23/19 Workers’ Compensation Board - LegalInternship Program

To allow a more expansive group of law schooland legal interns to represent parties of interestin Board proceedings



70

SECURITIESOFFERINGS

STATE NOTICES

Published pursuant to provisions of General Business Law[Art. 23-A, § 359-e(2)]

DEALERS; BROKERS

15 Creative Cause/Gold N Shaft, LLC1306 Somerhill Place, Anchorage, KY 40223State or country in which incorporated — Kentucky

16 Noble Mission/Easy Limit, LLC1306 Somerhill Place, Anchorage, KY 40223State or country in which incorporated — Kentucky

16 Uncle Mo/Four Sugars, LLC1306 Somerhill Place, Anchorage, KY 40223State or country in which incorporated — Kentucky

16 Uncle Mo/Fresia, LLC1306 Somerhill Place, Anchorage, KY 40223State or country in which incorporated — Kentucky

Aquestive Therapeutics, Inc.30 Technology Dr. S, Warren, NJ 07059State or country in which incorporated — Delaware

BGH Capital Trust IBLevel 26, 101 Collins St., Melbourne, Victoria 3000, Australia

Bienville Saudi Opportunities Fund521 Fifth Ave., 35th Fl., New York, NY 10175

Bienville Saudi Opportunities Offshore Fund (SP)521 Fifth Ave., 35th Fl., New York, NY 10175State or country in which incorporated — Cayman Islands

CEI Acquisition Group, LLC1058 Maple St., Suite 200, Plymouth, MI 48170State or country in which incorporated — Michigan

Centric Financial Corporation4320 Linglestown Rd., Harrisburg, PA 17112State or country in which incorporated — Pennsylvania

Cross Ocean Aviation Fund I (SAF), L.P.902 Broadway, Suite 1611, New York, NY 10010Partnership — SAF Advisors, LLC

Cytogel Pharma, LLCThree Thorndal Circle, Darien, CT 06820State or country in which incorporated — Connecticut limited liabilitycompany

Datum One, L.P.50 S. LaSalle St., Chicago, IL 60603Partnership — 50 South Capital Advisors, LLC

DFT Acquisition Holdings, LLC676 N. Michigan Ave., Suite 3300, Chicago, IL 60611State or country in which incorporated — Delaware

DropShot Capital Al Alpha Fund, LPc/o DropShot Capital Partners, LLC, 601 Harrison St., Apt. 311W,Hoboken, NJ 07030Partnership — DropShot Capital Partners, LLC

Fiera Capital Series Trust375 Park Ave., 8th Fl., New York, NY 10152State or country in which incorporated — Delaware

FP DFT Aggregator, LLC676 N. Michigan Ave., Suite 3300, Chicago, IL 60611State or country in which incorporated — Delaware

Granite CLO Partners I LLCOne Liberty Lane E, Suite 100, Hampton, NH 03842State or country in which incorporated — Delaware

Herbert J. Sims & Co. Inc.2150 Post Rd., Suite 301, Fairfield, CT 06824State or country in which incorporated — Delaware

High Street Capital Partners, LLCc/o High Street Capital Partners Management, LLC, 505 Fifth Ave.,New York, NY 10017State or country in which incorporated — Delaware

Leap Holdings, LLC40 Colles Ave., Morristown, NJ 07960State or country in which incorporated — Delaware

LP Operating, LLC115 Oak Park Dr., Boerne, TX 78006State or country in which incorporated — Texas

Makaira Investors, LP7776 Ivanhoe Ave., Suite 250, La Jolla, CA 92037Partnership — Makaira Partners, LLC

New Millennium Fundamental Hedged Equity, L.P.115 S. LaSalle St., 27th Fl., Chicago, IL 60603Partnership — Kovitz Investment Group Partners, LLC, general part-ner

Obenshain Fund I, L.P.Ten West 86th St., #4B, New York, NY 10024Partnership — Obenshain Partners, LLC

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Privet Capital Investments II, LP79 W. Paces Ferry Rd., 2nd Fl., Atlanta, GA 30305Partnership — Privet Capital Management LLC

RentRedi Inc.800 Troy Schenectady Rd., Latham, NY 12110State or country in which incorporated — Delaware

Royal Oak Realty Trust Inc.600 East Ave., Suite 200, Rochester, NY 14607State or country in which incorporated — Maryland

SafeShoot USA, Inc.600 S. Spring St., Suite PH11, Los Angeles, CA 90014State or country in which incorporated — Delaware

State Street Global Advisors Funds Dist, LLCOne Iron St., Boston, MA 02210State or country in which incorporated — Massachusetts

Transamerica Capital, Inc.1801 California St., Suite 5200, Denver, CO 80202State or country in which incorporated — Delaware

Woodgreen Windsor LLC6515 Main St., Suite 12, Trumbull, CT 06611State or country in which incorporated — Connecticut

YiLoLife Inc.201 S. 36th St., Phoenix, AZ 85034State or country in which incorporated — Delaware

NYS Register/May 30, 2018Securities Offerings

72

ADVERTISEMENTS FORBIDDERS/CONTRACTORS

SEALED BIDS

REPAIRELECTRICAL VAULT ROOMDownstate Correctional Facility

Fishkill, Dutchess County

Sealed bids for Project Nos. M3082-C, M3082-H, comprising sepa-rate contracts for Construction Work and HVAC Work, Repair Electri-cal Vault Room, Downstate Correctional Facility, 122 Red School-house Road, PO Box 445, Fishkill (Dutchess County), NY, will bereceived by the Office of General Services (OGS), Design & Construc-tion Group (D&C), Division of Contract Management, 35th Fl., Corn-ing Tower, Empire State Plaza, Albany, NY 12242, on behalf of theDepartment of Corrections and Community Supervision, until 2:00p.m. on Wednesday, June 6, 2018, when they will be publicly openedand read. Each bid must be prepared and submitted in accordance withthe Instructions to Bidders and must be accompanied by a certifiedcheck, bank check, or bid bond in the amount of $23,700 for C and$4,500 for H.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of publicbonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be between$500,000 and $1,000,000 for C and between $50,000 and $100,000for H.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are Jessica Hoffman, Carl Ruppert and Pierre Alric inthe Division of Contract Management, telephone (518) 474-0203, fax(518) 473-7862 and John Lewyckyj, Deputy Director, Design &Construction Group, telephone (518) 474-0201, fax (518) 486-1650.OGS D&C employees are also required to obtain certain informationwhen contacted during the restricted period and make a determinationof the responsibility of the bidder pursuant to these two statutes.Certain findings of non-responsibility can result in rejection forcontract award and in the event of two findings within a four-year pe-riod, the bidder is debarred from obtaining governmental ProcurementContracts. Bidders responding to this Advertisement must familiarizethemselves with the State Finance Law requirements and will beexpected to affirm that they understand and agree to comply on the bidform. Further information about these requirements can be foundwithin the project manual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

As a condition of award, within 48 hours of receipt of the proposedContract Agreement from the State, the low bidder shall return theContract Agreement to the State, properly executed, along with theBonds if required by said Agreement. Low bidders who cannot meetthese provisions may be subject to disqualification and forfeiture ofthe bid security.

The State intends to expedite award of this Contract and theContractor shall be prepared to proceed with the Work accordingly.Bidders are warned that time is of the essence of the Contract andsubstantial completion of the Work must be within 404 days after theAgreement is approved by the Comptroller. Due to the tightness of theconstruction schedule, bidders should consider the necessity for anincreased work force and shift operations.

The only time prospective bidders will be allowed to visit the jobsite to take field measurements and examine existing conditions of theproject area will be at 10:00 a.m. on May 25, 2018 at OGS Field Of-fice, 275 Matteawan Road, Beacon, NY. Prospective bidders are urgedto visit the site at this time. Prospective bidders or their representa-tives attending the pre-bid site visit will not be admitted on facilitygrounds without proper photo identification. Note that parking restric-tions and security provisions will apply and all vehicles will be subjectto search.

Phone the office of Shannon Landolfa, (845) 831-3111 a minimumof 72 hours in advance of the date to provide the names of those whowill attend the pre-bid site visit.

Pursuant to New York State Executive Law Article 15-A and therules and regulations promulgated thereunder, OGS is required topromote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 30% for MWBE participation, 15% forMinority-Owned Business Enterprises (“MBE”) participation and15% for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs) forConstruction Work. The total contract goal can be obtained by utiliz-ing any combination of MBE and /or WBE participation for subcon-tracting and supplies acquired under this Contract.

The Office of General Services reserves the right to reject any or allbids.

The Bidding and Contract Documents for this Project are availableon compact disc (CD) only, and may be obtained for an $8.00 depositper set, plus a $2.00 per set shipping and handling fee. Contractorsand other interested parties can order CD’s on-line through a secureweb interface available 24 hours a day, 7 days a week. Please use thefollowing link at the OGS website for ordering and paymentinstructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp

For questions about purchase of bid documents, please send ane-mail to [email protected], or call (518) 474-0203.

For additional information on this project, please use the link belowand then click on the project number: https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp

By John D. Lewyckyj, Deputy DirectorOGS - Design & Construction Group

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http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp

https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp

https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp

NOTICE OF AVAILABILITYOF STATE AND FEDERAL FUNDS

Department of Environmental Conservation625 Broadway

Albany, NY 12233-3506

GOVERNMENTAL ENTITIES AND NOT-FOR-PROFIT CORPO-RATIONS LOCATED WITHIN THE GEOGRAPHIC BOUNDA-RIES OF THE HUDSON RIVER ESTUARY2018 Hudson River Estuary Grants for Local Stewardship Plan-ning Under the New York State Environmental Protection Fund

Applications will be accepted through 3:00 pm July 11, 2018 forgrant funding under the Hudson River Estuary Grant Program.Anticipated grant funds from the New York State EnvironmentalProtection Fund (NYS EPF) is approximately $350,000. This is a com-petitive grant program and projects must implement priorities of theHudson River Estuary Action Agenda identified in the application.The Hudson River Estuary Action Agenda can be viewed at http://www.dec.ny.gov/lands/5104.html. Projects eligible for state assis-tance must be located within the geographic boundaries of the HudsonRiver. The recipient must provide a match of at least 15% of the grantfunding amount.

Applications must be completed online and are available on theNew York State Grants Gateway at https://grantsgateway.ny.gov. Theapplication ID Number is DEC01-HRER24-2018. All applicants mustregister in the Grants Gateway to be eligible to apply for any NYSgrant opportunity. Not-for-profit applicants must also be “prequali-fied” in the Grants Gateway system prior to the application deadline tobe considered eligible for a grant. Information regarding registrationand prequalification can be found at: https://grantsreform.ny.gov In-formation regarding the Hudson River Estuary grant applications canbe found at http://www.dec.ny.gov/lands/5091.html or you maycontact Department of Environmental Conservation Hudson RiverEstuary Program at the above address or e-mail:[email protected]

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MISCELLANEOUSNOTICES/HEARINGS

Notice of Abandoned PropertyReceived by the State Comptroller

Pursuant to provisions of the Abandoned Property Law and relatedlaws, the Office of the State Comptroller receives unclaimed moniesand other property deemed abandoned. A list of the names and lastknown addresses of the entitled owners of this abandoned property ismaintained by the office in accordance with Section 1401 of theAbandoned Property Law. Interested parties may inquire if they ap-pear on the Abandoned Property Listing by contacting the Office ofUnclaimed Funds, Monday through Friday from 8:00 a.m. to 4:30p.m., at:

1-800-221-9311or visit our web site at:

www.osc.state.ny.us

Claims for abandoned property must be filed with the New YorkState Comptroller’s Office of Unclaimed Funds as provided in Section1406 of the Abandoned Property Law. For further information contact:Office of the State Comptroller, Office of Unclaimed Funds, 110 StateSt., Albany, NY 12236.

NOTICE OFPUBLIC HEARING

New York Homes and Community RenewalNew York State Annual Action Plan

To administer federal funds for the Community Development BlockGrant (CDBG), HOME Investment Partnerships (HOME), EmergencySolutions Grants (ESG), and Housing Opportunities for Persons withAIDS (HOPWA) programs, New York State must prepare an AnnualAction Plan (AAP). New York State’s next AAP will describe theState’s anticipated use of federal CDBG, HOME, ESG, and HOPWAfunds in 2019 to address affordable housing and community develop-ment needs identified in its Consolidated Plan for 2016-2020. ThisAAP will also describe the State’s methods for distributing these fundsto local grantees.

The Public is encouraged to offer oral and/or written comments atPublic Hearings on Tuesday, June 5 and Wednesday June 6, 2018. OnJune 5th, the first public hearing will be held from 10:00 am until11:00 am. On June 6th, the second public hearing will be held from2:00 pm until 3:00 pm. At these dates and times, hearings will be heldconcurrently at the following four New York State Division of Hous-ing and Community Renewal offices: 641 Lexington Avenue in NewYork City; 38-40 State Street in Albany; 620 Erie Boulevard West inSyracuse; and 535 Washington Street in Buffalo. If needed, more timewill be made available at each public hearing.

Each site is accessible to individuals with mobility impairments.Every effort will be made to accommodate persons with other specialneeds. To do so, it will be necessary to receive any requests no laterthan May 31st, 2018. Individuals who seek additional informationregarding the hearings may call DHCR’s toll-free number, 1-866-ASK-DHCR (275-3427).

Space may be limited in some locations: persons planning to attenda hearing are encouraged to pre-register by calling 1-866-ASK-DHCR(275-3427) or sending an e-mail to [email protected]. Speak-ers will be limited to five (5) minutes of testimony. Attendees must

present a driver’s license or other government-issued photo ID uponentry.

All speakers are urged to provide a written copy of their testimony.Individuals who are unable to attend may submit comments to NYSHCR, Alison Murphy, 38-40 State Street, Albany, NY 12207, or e-mailthem to [email protected]. Written comments must be receivedno later than Wednesday, June 20, 2018. E-mail comments must alsobe sent by this date.

NOTICE OFPUBLIC HEARING

Department of StateSUBJECT: Legislative Hearing to Review the Community Services

Block Grant (CSBG) Program.

PURPOSE: To review the Community Services Block GrantProgram within the State of New York.

Wednesday

June 6, 2018

10:00 AM

Roosevelt Hearing Room C

Legislative Office Building

Albany, NY

The Community Services Block Grant (CSBG) is a federal programcreated by Congress for the purpose of alleviating poverty nationwide.The CSBG is administered at the Federal level by the Office of Com-munity Services (OCS), a branch of the Administration for Childrenand Families (ACF) within the Department of Health and Human Ser-vices (DHHS). In New York State, the Secretary of State is charged byArticle 6-D of the NY Executive Law with administration of the CSBGprogram in the state, including distribution of New York’s federalCSBG allocation and monitoring of the recipients of those funds.

This hearing will focus on the CSBG program within the State ofNew York as administered by the New York State Department of State,including, but not limited to, the development of the New York StateDepartment of State’s CSBG Management Plan. The ManagementPlan delineates the manner in which funds will be expended and howthe State will meet the federal CSBG program requirements.

Copies of the Department of State’s CSBG Management Plan maybe obtained from the Department of State website at https://www.dos.ny.gov/dcs/documents.htm, or by contacting Manuel Rosa,Department of State, Division of Community Services, One Com-merce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-5741.

Persons wishing to present pertinent testimony to the Committees atthe above hearing should contact: Jennifer Marrero, Rm. 442 -Capitol, Albany, NY 12248, (518) 455-4371, Fax: (518) 455-4693

PUBLIC NOTICEOffice of General Services

Interagency Committee on Sustainability and GreenProcurement

Pursuant to Executive Order No. 4: Establishing a State GreenProcurement and Agency Sustainability Program, April 24, 2008 (“EO4”), the Interagency Committee on Sustainability and Green Procure-ment hereby gives public notice of the following:

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13 green specifications were tentatively approved by the Inter-agency Committee on Sustainability and Green Procurement and havebeen posted for public comment. These include new or amended spec-ifications on the following topics: Adhesives, Brake Pads, FloorCoverings, Imaging Equipment, Janitorial Paper, Lubricants, Paint,Pest Management for Indoor Spaces, Pest Management for OutdoorSpaces, Pre-Packaged Snowmelt and Deicing Products, ReusableBags, State-Funded Lodging, and Trash Bags.

All of the above specifications are available for viewing at: https://www.ogs.state.ny.us/ greenny/green-tentative.asp

Information regarding the green specification approval process isalso available at the above link.

Comments may be submitted electronically to:[email protected]

PUBLIC NOTICEDepartment of Health

Pursuant to 42 CFR Section 447.205, the Department of Healthhereby gives public notice of the following:

The Department of Health proposes to amend the Title XIX(Medicaid) State Plan with regard to Medicaid Maximization now be-ing applied to Independent Practitioner Services for Individuals withDevelopmental Disabilities in order to comply with enacted amend-ments to the New York Social Services Law which equalize thereimbursement for those services with the reimbursement for the sameservices provided in outpatient clinics authorized under Article 16 ofthe New York Mental Hygiene Law. The following changes areproposed:

Non-Institutional Services

This notice clarifies the notice previously published on April 25,2018. Effective on and after May 1, 2018, Medicaid Maximizationwill now also be applied to Independent Practitioner Services forIndividuals with Developmental Disabilities (IPSIDD) as well as thepreviously noticed, Traumatic Brain Injury (TBI) waiver population.Typically, Medicaid payment for Medicare Part B coinsuranceamounts is limited to the lower of the Medicare Part B coinsuranceamount or the difference between the Medicare payment and theMedicaid rate. This payment logic does not apply to facilities licensedunder Article 16 of the New York Mental Hygiene Law that are certi-fied to provide Occupational Therapy (OT), Physical Therapy (PT),Speech Language Pathology (SLP), Psychology, and Social Work ser-vices to a Medicare/Medicaid eligible developmentally disabledindividual. Payment to Article 16 clinics is subject to MedicaidMaximization rules; Article 16 clinics that provide services to a devel-opmentally disabled Medicare/Medicaid dually eligible individualreceive either the difference between the Medicare payment and theMedicaid rate or the Medicare Part B coinsurance amount, whicheveramount is greater. However, Medicaid Maximization is not in placefor Medicare/Medicaid dually eligible individuals who receive theexact same services through IPSIDD providers designated to providethose services by the New York State Office for People With Develop-mental Disabilities. Presently, for IPSIDD services, if the Medicaidpayment rate is greater than the Medicare payment amount, Medicaidwill pay the provider the Medicare Part B coinsurance only.

Pursuant to enacted amendments to New York Social Services Law§ 367-a, Medicaid Maximization will now be applied to claims forIPSIDD services. If an individual with developmental disabilities hasboth Medicare and Medicaid coverage, an IPSIDD provider will nowreceive the difference between the Medicaid rate and the Medicarepayment or the Medicare Part B coinsurance amount, whichever ishigher.

The estimated annual net aggregate increase in gross Medicaidexpenditures attributable to this initiative contained in the budget forstate fiscal year 2018/2019 is $1,320,000.

The public is invited to review and comment on this proposed StatePlan Amendment, a copy of which will be available for public reviewon the Department’s website at http://www.health.ny.gov/regulations/state_plans/status. Individuals without Internet access may view theState Plan Amendments at any local (county) social services district.

For the New York City district, copies will be available at the fol-lowing places:

New York County250 Church StreetNew York, New York 10018

Queens County, Queens Center3220 Northern BoulevardLong Island City, New York 11101

Kings County, Fulton Center114 Willoughby StreetBrooklyn, New York 11201

Bronx County, Tremont Center1916 Monterey AvenueBronx, New York 10457

Richmond County, Richmond Center95 Central Avenue, St. GeorgeStaten Island, New York 10301

For further information and to review and comment, please contact:Department of Health, Division of Finance and Rate Setting, 99Washington Ave., One Commerce Plaza, Suite 1432, Albany, NY12210, e-mail: [email protected]

PUBLIC NOTICENew York City Deferred Compensation Plan & NYCE IRA

The New York City Deferred Compensation Plan & NYCE IRA(the “Plan”) is seeking proposals from qualified vendors to provideunbundled recordkeeping services for the City of New York DeferredCompensation Plan. The Request for Proposals (“RFP”) will be avail-able beginning on Thursday, June 7, 2018. Responses are due no laterthan 4:30 p.m. Eastern Time on Tuesday, July 17, 2018. To obtain acopy of the RFP, please visit www1.nyc.gov/site/olr/about/about-rfp.page and download the RFP along with the applicable documents.

If you have any questions, please submit them by fax to GeorgetteGestely, Director, at (212) 306-7376.

Consistent with the policies expressed by the City, proposals fromNew York City certified minority-owned and/or women-owned busi-nesses or proposals that include partnering arrangements with NewYork City certified minority-owned and/or women-owned firms areencouraged. Additionally, proposals from small and New York City-based businesses are also encouraged.

PUBLIC NOTICEDepartment of State

F-2018-0121Date of Issuance – May 30, 2018

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act of 1972, as amended.

The applicant has certified that the proposed activities comply withand will be conducted in a manner consistent to the maximum extentpracticable with the federally approved New York State CoastalManagement Program (NYSCMP). The applicant’s consistency certi-fication and accompanying public information and data are availablefor inspection at the New York State Department of State offices lo-cated at One Commerce Plaza, 99 Washington Avenue, in Albany,New York.

In F-2018-0121, the applicants, A. John Merola and Richard A.Merola, are proposing work at private property of (no number) StoneGate Lane, Wellesley Island, Alexandria Bay, Jefferson County. Theproperty fronts the St. Lawrence River or Seaway.

NYS Register/May 30, 2018Miscellaneous Notices/Hearings

78

http://www.health.ny.gov/regulations/state_plans/status

http://www.health.ny.gov/regulations/state_plans/status

The applicants propose to remove and replace 51' linear feet of anexisting seawall with 51' linear feet of new steel seawall in a configu-ration approximately 3' diagonally offset of the old wall. The western-most extent of the seawall would be approx. 3' waterward of its pre-sent position and the eastern extent of the seawall is being drawn backlandward apparently 3'.

According to the information the applicant has provided to theDepartment of State, a lot line adjustment with the neighboring prop-erty to the east has been made and accepted by the Town of Alexan-dria Zoning Board of Appeals in order to maintain a 6' building offsetand 57.23' of Merola property frontage. The applicant cites the needfor seawall replacement is due to the occurrence of large sinkholeswithin the upland parking area in need of repair.

The applicant proposes to additionally remove the existing docksand pilings, and then install new docks with a covered roof over theboat slip. A garage and apartment space is proposed and depictedlandward of the seawall. The applicant has stated that no part of thegarage or apartment is being constructed over the ordinary high watermark (OHW) or state lands.

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 30 days fromthe date of publication of this notice or June 29, 2018.

Comments should be addressed to the Department of State, Officeof Planning and Development and Community Infrastructure, Consis-tency Review Unit, One Commerce Plaza, Suite 1010, 99 WashingtonAve., Albany, NY 12231, (518) 474-6000, Fax (518) 473-2464. Com-ments can also be submitted electronically via e-mail to:[email protected]

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.


F-2018-0147Date of Issuance – May 30, 2018

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act of 1972, as amended.

The applicant has certified that the proposed activities comply withand will be conducted in a manner consistent to the maximum extentpracticable with the federally approved New York State CoastalManagement Program (NYSCMP). The applicant’s consistency certi-fication and accompanying public information and data are availablefor inspection at the New York State Department of State offices lo-cated at One Commerce Plaza, 99 Washington Avenue, in Albany,New York.

In F-2018-0147, the Thousand Islands Bridge Authority (TIBA), isproposing to replace the existing Rift Water Treatment Plant (WTP)which is currently located within the median between the northboundand southbound lanes of I-81, Town of Orleans, Jefferson County andabove the International Rift of the St. Lawrence River. The TIBA citesthe WTP replacement is necessary to accommodate the pending 2018U.S. Customs Facility expansion.

The scope of work includes significant clearing of forested lands tothe west of the I-81, installation of a new raw water piping and intake,installation of the new distribution piping within the U.S. service area,and an onsite wastewater treatment system with outlet piping andoutfall to the St. Lawrence River, Rift Channel. The project encom-passes changes to infrastructure including buildings, roads and ac-cessways, and fencing, gates, and other security systems. The existingRift WTP would be completely abandoned of all water treatmentoperations.

Specifically, proposed actions include installation of 170' of 3� wa-ter intake pipe, 160' of 4� wastewater outfall pipe, placement of 1,700cubic yards of fill below the mean high water mark along 180' ofshoreline, within a (0.114 acre) 4,966 square foot area of confined

riverine wetland along the St. Lawrence River, fill of (0.155 acres) or6,752 sq. feet of forested wetlands for the construction of the accessdrive and utilities to the new water treatment plant. Total impacts towetlands would be 0.269 acres.

The plant would be capable of providing treatment for domesticwater supply plus limited U.S. Customs fire storage tank refill flowrates.

The TIBA cites work to begin this spring/ summer following permitapprovals to allow for operation of the plant in the fall of 2018 to meetU.S. General Services Administration (GSA)/ Canadian Border Patrol(CBP) timelines.

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 15 days fromthe date of publication of this notice or June 29, 2018.

Comments should be addressed to the Department of State, Officeof Planning and Development and Community Infrastructure, Consis-tency Review Unit, One Commerce Plaza, Suite 1010, 99 WashingtonAve., Albany, NY 12231, (518) 474-6000, Fax (518) 473-2464. Com-ments can also be submitted electronically via e-mail to:[email protected]

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.


Uniform Code Variance / Appeal Petitions

Pursuant to 19 NYCRR Part 1205, the variance and appeal petitionsbelow have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2018-0022 Matter of MTA-New York City Transit, Two Broadway,D3.131, New York, NY 10004, for a variance concerning fire safetyrequirements, including fire area, exiting and fire protectionprovisions. Involved are improvements to the first avenue station alongline L located in the borough of Brooklyn, City of New York, State ofNew York.

2018-0023 Matter of MTA-New York City Transit, Two Broadway,D3.131, New York, NY 10004, for a variance concerning fire safetyrequirements, including fire area, exiting and fire protectionprovisions. Involved are improvements to the Bedford Avenue Stationalong line L located in the borough of Manhattan, City of New York,State of New York.




Pursuant to 19 NYCRR Part 1205, the variance and appeal petitionsbelow have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Preventions and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, One

NYS Register/May 30, 2018 Miscellaneous Notices/Hearings

79

Commerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2018-0245 Matter of Skidmore, Owings & Merritt LLP, NicoleDosso, 14 Wall Street, 24th Floor, New York, NY 10001, for a vari-ance concerning safety requirements, including fire protection andexits. The subject building contains assembly, business, mercantileand storage occupancies. The building, known as the James A. Farleybuilding, is located at 412 8th Avenue, City of New York, County ofNew York, State of New York.




2018-0247 In the matter of P J Apartments, Nicole Freelove, P.O.Box 218, Ithaca, NY for 125 Highland Place, LLC. concerning firesafety requirements including a variance for reduction in requiredheight of existing handrails and guardrails.

Involved is the certificate of compliance inspection of an existingresidential occupancy, three stories in height, located at 125 HighlandPlace, City of Ithaca, County of Tompkins, New York.

PUBLIC NOTICESusquehanna River Basin Commission

Commission Meeting

SUMMARY: The Susquehanna River Basin Commission will holdits regular business meeting on June 15, 2018, in Baltimore, Maryland.Details concerning the matters to be addressed at the business meetingare contained in the Supplementary Information section of this notice.

DATES: The meeting will be held on Friday, June 15, 2018, at 9a.m.

ADDRESSES: The meeting will be held at the Crowne PlazaBaltimore Downtown-Inner Harbor, Carroll Room, 105 West FayetteStreet, Baltimore, MD 21201.

FOR FURTHER INFORMATION CONTACT: Gwyn Rowland,Manager, Governmental & Public Affairs, 717-238-0423, ext. 1316.

SUPPLEMENTARY INFORMATION: The business meeting willinclude actions or presentations on the following items: (1) informa-tional presentation of interest to the lower Susquehanna River region;(2) election of Commission officers for FY2019; (3) the proposedFY2019 Regulatory Program Fee Schedule; (4) adoption of a prelimi-nary expense budget for FY2020; (5) adoption of member allocationsfor FY2020; (6) ratification/approval of contracts/grants; (7) aproposed records retention policy; (8) a resolution on delegation ofsettlement authority; (9) a report on delegated settlements; (10) theproposed Water Resources Program for fiscal years 2019 through2021; (11) amendments to the Comprehensive Plan for the Water Re-sources of the Susquehanna River Basin; and (12) Regulatory Programprojects.

Projects, the fee schedule, the records retention policy and amend-ments to the Comprehensive Plan listed for Commission action arethose that were the subject of a public hearing conducted by the Com-mission on May 10, 2018, and identified in the notice for such hear-ing, which was published in 83 FR 15665, April 11, 2018.

The public is invited to attend the Commission’s business meeting.Comments on the Regulatory Program projects, the fee schedule, therecords retention policy and amendments to the Comprehensive Planwere subject to a deadline of May 21, 2018. Written comments pertain-ing to other items on the agenda at the business meeting may be mailed

to the Susquehanna River Basin Commission, 4423 North Front Street,Harrisburg, Pennsylvania 17110-1788, or submitted electronicallythrough http://www.srbc.net/pubinfo/publicparticipation.htm. Suchcomments are due to the Commission on or before June 8, 2018. Com-ments will not be accepted at the business meeting noticed herein.

AUTHORITY: Pub. L. 91-575, 84 Stat. 1509 et seq., 18 CFR Parts806, 807, and 808.

Dated: May 10, 2018.

Stephanie L. Richardson,

Secretary to the Commission.

NYS Register/May 30, 2018Miscellaneous Notices/Hearings

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http://www.srbc.net/pubinfo/publicparticipation.htm

EXECUTIVEORDERS

Executive Order No. 170.1: Amendment to Executive Order 170 -State Policy Concerning Immigrant Access to State Services andBuildings.

WHEREAS, access to State services is critical to the well-being ofimmigrant communities and their integration into the State;

WHEREAS, New York State remains committed to welcoming im-migrants as vital and respected members of our State;

WHEREAS, pursuant to Executive Order No. 170, it is the policyof the State that State officers or employees shall not inquire about anindividual’s immigration status unless necessary to determine eligibil-ity for a program, benefit, or provision of a service, or disclose infor-mation to federal immigration authorities for the purpose of federalcivil immigration enforcement unless required by law;

WHEREAS, the State has a recognized interest in maintaining thesafety and security of its facilities to ensure that all residents haveequal access to State programs, benefits, and services and must imple-ment policies in furtherance thereof;

WHEREAS, federal immigration authorities have increasinglyconducted immigration enforcement activity in sensitive spacescrucial to immigrants’ full participation in the economic, civil, andcultural life of the State;

WHEREAS, immigration enforcement activity in these spaces cre-ate a chilling effect, preventing immigrants from fully participating inthe State;

NOW, THEREFORE, I, ANDREW M. CUOMO, Governor of theState of New York, by virtue of the authority vested in me by the Con-stitution and laws of the State of New York, do hereby proclaim andorder as follows:

A. Definitions

1. “State facility” shall mean any building, or part thereof, ownedor leased by any Affected State Entity.

2. “Affected State Entities” shall mean (i) all agencies and depart-ments over which the Governor has executive authority, and (ii) allpublic benefit corporations, public authorities, boards, and commis-sions for which the Governor appoints the Chair, Chief Executive, orthe majority of the Board Members, except the Port Authority of NewYork and New Jersey.

3. “Judicial Warrant” shall mean a warrant issued by a magistratesitting in the judicial branch of local, state, or federal government.

4. “Judicial Order” shall mean an order issued by a magistratesitting in the judicial branch of local, state, or federal government.

B. Federal Immigration Authorities Access to State Buildings

Civil arrests by federal immigration authorities may only be exe-cuted within state facilities when accompanied by a judicial warrantor judicial order authorizing them to take into custody the person whois the subject of such warrant, unless the civil arrest is related to aproceeding within such facility.

(L.S.) GIVEN under my hand and the Privy Seal ofthe State in the City of Albany this twenty-fifth day of April in the year two thousandeighteen.

BY THE GOVERNOR

/S/ Andrew M. Cuomo

/s/ Melissa DeRosa

Secretary to the Governor

Executive Order No. 180.1: Continuing the Temporary Suspen-sion of Provisions Relating to the Declaration of a Public HousingDisaster in the Counties of Bronx, Kings, New York, Queens, andRichmond.

WHEREAS, on April 2, 2018, I issued Executive Order Number180 declaring a disaster emergency within the territorial boundaries ofthe counties of Bronx, Kings, New York, Queens, and Richmond afterdetermining that the environmental health conditions in residentialproperties managed by the New York City Housing Authority (NY-CHA) constitute a public nuisance or condition affecting the securityof life and health of tenants, and, pursuant to Public Health Law Sec-tion 1301, ordered the nuisance conditions located therein to be abatedand removed and suspended statutory and regulatory provisions to fa-cilitate action necessary to cope with the State disaster emergency;

WHEREAS, Section 29-a of the Executive Law provides for thetemporary suspension of laws during a state disaster emergency for aperiod of thirty days, if compliance with such provisions wouldprevent, hinder, or delay action necessary to cope with the disaster andfurther provides that, upon reconsideration of all of the relevant factsand circumstances, the suspension may be extended for additionalthirty-day periods;

WHEREAS, the conditions of habitability at NYCHA-managedresidential properties continue to constitute a public nuisance affect-ing the security of life and health in the city of New York and, as aresult, a disaster remains imminent for which the affected localgovernment is unable to respond adequately;

NOW, THEREFORE, I, ANDREW M. CUOMO, Governor of theState of New York, by virtue of the authority vested in me by the Con-stitution of the State of New York and Executive Law Section 28,hereby declare a continuing State Disaster Emergency for NYCHAcomplexes within the territorial boundaries of the counties of Bronx,Kings, New York, Queens, and Richmond and order the nuisanceconditions located therein to be abated and removed in accordancewith the terms and conditions of Executive Order 180.

FURTHER, I, ANDREW M. CUOMO, Governor of the State ofNew York, by virtue of the authority vested in me by Section 29-a ofArticle 2-B of the Executive Law, and after having reconsidered allthe relevant facts and circumstances, do hereby find that the temporarysuspension of laws is necessary to cope with the continuing state di-saster emergency declaration in Executive Order 180 and order thatthe suspension of laws and regulations ordered therein shall becontinued through June 2, 2018.

(L.S.) GIVEN under my hand and the Privy Seal ofthe State in the City of Albany this secondday of May in the year two thousandeighteen.

BY THE GOVERNOR

/S/ Andrew M. Cuomo

/s/ Melissa DeRosa

Secretary to the Governor

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