RULE MAKIN G
ACTIVITIES
Each rule making is identified by an I.D. No., which consists
of 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 year00001 -the Department of State number, assigned upon
receipt of notice.
E -Emergency Rule Making—permanent action
not intended (This character could also be: Afor Adoption; P for Proposed Rule Making; RPfor Revised Rule Making; EP for a combinedEmergency and Proposed Rule Making; EA foran Emergency Rule Making that is permanentand does not expire 90 days after filing.)
Italics contained in text denote new material. Brackets
indicate material to be deleted.
Department of Civil Service
NOTICE OF EXPIRATION
The following notices have expired and cannot be reconsidered
unless the Department of Civil Service publishes new notices ofproposed rule making in the NYS Register .
Jurisdictional Classification
I.D. No. Proposed Expiration Date
CVS-29-15-00008-P July 22, 2015 July 21, 2016
Jurisdictional Classification
I.D. No. Proposed Expiration Date
CVS-29-15-00010-P July 22, 2015 July 21, 2016Education Department
EMERGENCY/PROPOSED
RULE MAKING
NO HEARING(S) SCHEDULED
Community School Grants
I.D. No. EDU-32-16-00002-EP
Filing No. 734
Filing Date: 2016-07-26
Effective Date: 2016-07-26
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Proposed Action: Amendment of section 100.19 of Title 8 NYCRR.
Statutory authority: Education Law, sections 207(not subdivided),
3015(1), (2), 211-f, 215(not subdivided), 308(not subdivided) and 309(notsubdivided); L. 2016, ch. 53
Finding of necessity for emergency rule: Preservation of general welfare.
Specific reasons underlying the finding of necessity: The purpose of the
proposed amendment is to timely implement Chapter 53 of the Laws of2016 to establish the requirements for eligible school districts with schoolsdesignated as struggling and persistently struggling by the Commissionerpursuant to Education Law section 211-f(1)(a) or (b) throughout the 2016-2017 school year that wish to apply for such grants in the 2016-2017school year. The proposed amendment also revises the definition of thecommunity schools to require programs in a community school to provide
members of the community with access to services on school buildingsand grounds consistent with all applicable laws and regulations includingbut not limited to Education Law section 414.
Since the Board of Regents meets at fixed intervals, the earliest the
proposed rule can be presented for regular (non-emergency) adoption, af-ter expiration of the required 45-day public comment period provided forin State Administrative Procedure Act (SAPA) section 202(4-a), would bethe October 17-18, 2016 Regents meeting. Furthermore, pursuant to SAPAsection 203(1), the earliest effective date of the proposed rule, if adoptedat the September meeting, would be November 2, 2016, the date a Noticeof Adoption would be published in the State Register.
Emergency action at the July 2016 Regents meeting is therefore neces-
sary for the preservation of the general welfare in order to immediately es-tablish the eligibility requirements for community school grants to imple-ment Chapter 53 of the Laws of 2016 so that eligible school districts whohave schools designated by the Commissioner as persistently strugglingand struggling in the 2016-2017 school year can apply, and receive mon-ies, to establish community schools.
Subject: Community school grants.
Purpose: To implement chapter 53 of the Laws of 2016 by establishing
the criteria for community school grants.
Text of emergency/proposed rule: 1. A new subdivision (k) is added to
section 100.19 of the Regulations of the Commissioner of Education, ef-fective July 26, 2016, as follows:
(k) Community schools grants. Subject to the terms of an appropriation,
community schools grant funds will be awarded by the Commissioner toeligible school districts with schools designated as struggling andpersistently struggling by the Commissioner pursuant to Education Lawsection 211-f(1)(a) or (b) throughout the 2016-2017 school year (“desig-nated schools”) pursuant to a plan developed by the Commissioner andapproved by the director of the budget pursuant to this subdivision.
1(1) Application for funding. Eligible school districts that seek a com-
munity schools grant fund award for a designated school or schools shallsubmit an application to the Commissioner on a form and pursuant to atimeline prescribed by the Commissioner and shall meet the requirementsset forth this subdivision. Applications must set forth the need for suchfunds, whether the school district is seeking operating funds and/or capitalfunds, how the funds would be used and the number of students that wouldbe served with such funds. If an eligible school district seeks both operat-ing and capital funds, such application shall include separate budgets for
the use of operating and capital funds. Funds shall be awarded in accor-dance with a formula developed by the Commissioner and approved bythe director of the budget which shall take into account factors that includebut need not be limited to the number of designated schools in the district,the number of students enrolled in the designated schools, and the needsof such students for English language learner, special education and otherenhanced services.
(i) Prior to submitting an application to the Commissioner, the
eligible school district shall provide appropriate community partnersand/or the community engagement team established pursuant to this sec-tion, as the school district deems appropriate, an opportunity to reviewand provide feedback on the application.
(ii) All applications for funding pursuant to this subdivision must
include detailed plans and timelines for ensuring substantial parent,teacher, and community engagement in the planning, implementation andoperations of the community school that shall include but need not belimited to the following:
(a) holding public meetings with parents, teachers and com-
munity members at least quarterly during the school year to provide infor-mation and solicit input regarding the planning, implementation andoperations of the community school. Such meetings shall be held in accor-dance with the requirements of subparagraph (c)(1)(iii) of this section;
(b) providing written notices and communications regarding the
planning, implementation and operations of the community school toparents, teachers, other school personnel and community members asoften as practicable through means that shall include but need not belimited to email and posting on the district’s internet website, if one exists.All such notices and communications shall be provided in English andtranslated, to the extent practicable, into the recipient’s native languageor mode of communication;
(c) ensuring that such meetings, notices and communications
provide parents, teachers and community members with meaningful op-portunities to provide input and feedback by providing a variety of widelyaccessible methods of communication such as email, telephone, and/oraccess to the community school site coordinator and/or the steering com-mittee; and
(d) submitting quarterly written reports to the Commissioner in
a form and format prescribed by the Commissioner containing specific in-formation about the progress of the planning, implementation and opera-tions of the community schools grant and the requirements of thissubdivision.
(2) Eligibility for services provided under this grant. Each designated
school that receives a grant to deliver co-located or school-linked servicespursuant to this subdivision shall first provide such services to the studentswho are enrolled in such school and their families.
(i) If a designated school has additional unused capacity after
making such services available to all enrolled students and their families(e.g., not all available times for health or dental screenings have beenfilled on a particular day after all students enrolled in the school havebeen given an opportunity for an appointment, or not all seats in a parent-ing workshop have been filled by parents of students who attend theschool), the school may offer such services to students who attend feederschools and their families so as to maximize effective and efficient use ofavailable resources and/or students who are alumni of the school andtheir families in order to provide continuity of services.
(ii) For purposes of this subdivision, “feeder school” shall mean a
school that receives Title I funds or is eligible for, but does not receiveTitle I funds, and from which at least 20 percent of the students in thedesigned school matriculated, provided that, for designated schools inwhich school choice, admissions lotteries, and/or open enrollment existand in which feeder school patterns are therefore not consistent from yearto year, the school district may request that a lesser percentage of studentsmatriculating into the designed schools be considered or that up to threeschools in the closest geographic proximity to the designated schools andfrom which students matriculate to such schools be feeder schools forpurposes of this subdivision.
(3) Use of grant funds. Community schools grant funds shall be used
to supplement and not supplant district expenditures and shall only beused for new expenditures on eligible operating and capital costs in ac-cordance with this subdivision and subject to the terms of theappropriation. Community schools grant funds must be used to supportthe operating and capital costs associated with the transformation of
designated schools into community hubs to deliver co-located or school-linked academic, health, mental health, nutrition, counseling, legal and/orother services to students and their families, which may include but neednot be limited to the following:
(i) providing a community school site coordinator at each strug-
gling or persistently struggling school receiving a grant pursuant to thissubdivision. The school district shall designate a full-time staff person toserve as the community school site coordinator at each such school who
shall assist the school receiver in implementing the grant, including butnot limited to managing the development of the community school strategyfor that school, coordinating and integrating service delivery at the school,ensuring the maintenance and sustainability of the community school, andconsulting and coordinating with any other community school sitecoordinators designated pursuant to this clause, if applicable. If there arecircumstances that do not justify the assignment of a full-time staff personto serve as the community school coordinator for each school (e.g., thedesignated school is a small rural school and a full-time coordinator isnot needed), or if the designation or one full-time site coordinator formultiple schools would be more effective (e.g., if the two schools desig-nated in the district are small schools in close proximity and a full-timecoordinator could serve both schools), the school district may apply to theCommissioner for a waiver from this requirement;
(ii) improving parent engagement, which may include but need not
be limited to designating a family outreach coordinator, providing parentsand families with information on and opportunities to participate in theirchild’s education and school community, including participation on theschool’s community engagement team established pursuant to this sec-tion; in the process of local stakeholder consultation conducted pursuantto this section; in the community-wide needs assessment conducted pursu-ant to this section; on the steering committee established pursuant tosubparagraph (vi) of this paragraph; and in family literacy programs,including early childhood education, interactive literacy activities be-tween parents and their children, and training for parents regarding howto be the primary teacher for their children and full partners in the educa-tion of their children;
(iii) providing early childhood education programs;(iv) offering professional development specific to the unique needs
of students enrolled in a community school and their families. Such uniqueneeds may be determined through measures including but not limited tosurveys of students, families and teachers; focus group meetings withparents, students and teachers; and/or results of comprehensive schooland community needs assessments, which may be the comprehensiveschool and community needs assessment conducted pursuant to subdivi-sion (f)(8)(iii) of this section, if one has been conducted for the specificschool. Such professional development shall include but not be limited tojob-embedded professional development with an emphasis on strategiesthat involve teacher input and feedback as well as professional develop-ment for administrators at the school with an emphasis on strategies thatdevelop leadership skill and use of principles of distributive leadershipand instructional supervision;
(v) conducting community-wide needs assessments, provided that,
if a comprehensive school and community needs assessment regarding theschool has been conducted pursuant to subdivision (f)(8)(iii) of this sec-tion, such needs assessment may be used for this purpose;
(vi) creating a steering committee to provide feedback and
guidance. Such steering committee shall be made up of various school andcommunity stakeholders, which shall include but need not be limited to,the school principal, parents of or persons in parental relation to studentsattending the school, teachers and other school staff assigned to theschool, and students attending the school; provided that, in the case of adesignated school that does not serve students in grade seven or above,the steering committee need not include students; provided further that acommunity engagement team established pursuant to this section may alsoserve as the steering committee; and
(vii) constructing or renovating spaces within such school build-
ings to serve as health suites, adult education spaces, guidance suites,resource rooms, remedial rooms, parent/community rooms, and careerand technical education classrooms, plus any other capital costs neces-sary to implement a community school.
2. Paragraph (8) of subdivision (a) of section 100.19 of the Regulations
of the Commissioner of Education is amended, effective July 26, 2016, toread as follows:
(8) Community School shall mean a school that partners with one or
more agencies with an integrated focus on rigorous academics and thefostering of a positive and supportive learning environment, and a rangeof school-based and school-linked programs and services that lead toimproved student learning, stronger families, and healthier communities.At a minimum, programs must include, but are not limited, to:
(i) addressing social service, health and mental health needs of
NYS Register/August 10, 2016 Rule Making Activities
2students in the school and their families in order to help students arrive
and remain at school ready to learn;
(ii) providing access to services in the school community to
promote a safe and secure learning environment;
(iii) encouraging family and community engagement to promote
stronger home-school relationships and increase families’ investment inthe school community;
(iv) providing access to nutrition services, resources or programs
to ensure students have access to healthy food and understand how tomake smart food choices;
(v) providing access to early childhood education to ensure a con-
tinuum of learning that helps prepare students for success; [and]
(vi) offering adult and/or community education opportunities,
including but not limited to, access to career and technical education as
well as workforce development services to students in the school and theirfamilies in order to provide meaningful employment skills and opportuni-
ties; [and]
(vii) offering expanded learning opportunities that include
afterschool, summer school, Science, Technology, Engineering, Arts, andMath programs (STEAM) and mentoring and other youth developmentprograms ; and
(viii) providing members of the community with access to services
on school buildings and grounds consistent with all applicable laws andregulations including but not limited to Education Law section 414.
3. Subparagraph (ii) of paragraph (8) of subdivision (f) of section 100.19
of the Regulations of the Commissioner of Education is amended, effec-tive July 26, 2016, to read as follows:
(ii) designate a full-time staff person who participates in school
leadership and community engagement team meetings and reports to theschool receiver and whose sole job responsibility is to manage the develop-ment of the community school strategy for that school and subsequentlyensure the maintenance and sustainability of the community school. If
there are circumstances that do not justify the assignment of a full-timestaff person to serve as the community school coordinator for each school(e.g., the designated school is a small rural school and a full-timecoordinator is not needed), or if the designation or one full-time sitecoordinator for multiple schools would be more effective (e.g., if the twoschools designated in the district are small schools in close proximity anda full-time coordinator could serve both schools), the school may apply tothe Commissioner for a waiver from this requirement;
This notice is intended: to serve as both a notice of emergency adoption
and a notice of proposed rule making. The emergency rule will expireOctober 23, 2016.
Text of rule and any required statements and analyses may be obtained
from: Kirti Goswami, State Education Department, Office of Counsel,
State Education Building, Room 148, 89 Washington Ave., Albany, NY12234, (518) 474-6400, email: legal@nysed.gov
Data, views or arguments may be submitted to: Doreen Ryan, State
Education Department, Office of Higher Education, State EducationBuilding, Room 2M, 89 Washington Ave., Albany, NY 12234, (518) 474-5520, email: NYSEDP12@nysed.gov
Public comment will be received until: 45 days after publication of this
notice.
This rule was not under consideration at the time this agency submitted
its Regulatory Agenda for publication in the Register.
Regulatory Impact Statement
1. STATUTORY AUTHORITY:Education Law § 207 empowers Regents/Commissioner to adopt rules
to carry out State education laws and functions/duties conferred by law.
Education Law § 305(1) and (2) provide Commissioner, as chief execu-
tive officer, with general supervision over schools and institutions subjectto Education Law or education-related statutes, and responsibility for exe-cuting all Regents educational policies. § 305(20) provides Commissionerwith additional powers/duties as charged by Regents.
Education Law § 211-f, as added by Part EE, Subpart H of Ch. 56,
L.2015, provides for appointment of receivers to assist low-performingschools to make demonstrable improvement in student performance.
Education Law § 215 authorizes Commissioner to require schools/
districts to submit reports containing information prescribed byCommissioner.
Education Law § 308 authorizes Commissioner to enforce/give effect
to Education Law provisions or other general/special law pertaining toeducation.
Education Law § 309 charges Commissioner with general supervision
of school boards.
Chapter 53 of the Laws of 2016 establishes an appropriation of $75 mil-
lion to be used for community school grants for persistently struggling andstruggling schools and requires that the criteria for such grants to beestablished by the Commissioner in regulations.2. LEGISLATIVE OBJECTIVES:
The proposed amendment implements Chapter 53 of the Laws of 2016,
by establishing criteria for community school grants for persistently strug-gling and struggling schools.
3. NEEDS AND BENEFITS:As part of the 2016-2017 budget appropriation bill (Chapter 53 of the
Laws of 2016), the Legislature and Governor provided a $75 million ap-propriation ($50 million for operating costs and $25 million for capitalcosts) to establish community school grants for eligible school districts
with schools designated as struggling and persistently struggling by theCommissioner pursuant to Education Law section 211-f(1)(a) or (b)throughout the 2016-2017 school year (“designated schools”). The newlaw requires eligible school districts to apply to the Commissioner forsuch grants.
The proposed amendment implements these requirements and requires
that all applications for funding pursuant to this subdivision includedetailed plans and timelines for ensuring substantial parent, teacher, andcommunity engagement in the planning, implementation and operationsof the community school.
Each designated school that receives a grant to deliver co-located or
school-linked services pursuant to this subdivision shall first provide suchservices to the students who are enrolled in such school and their families.If a designated school has additional unused capacity after making suchservices available to all enrolled students and their families (e.g., not allavailable times for health or dental screenings have been filled on a partic-ular day after all students enrolled in the school have been given an op-portunity for an appointment or not all seats in a parenting workshop havebeen filled by parents of students who attend the school), the school mayoffer such services to students who attend feeder schools and their fami-lies so as to maximize effective and efficient use of available resourcesand/or students who are alumni of the school and their families in order toprovide continuity of services. The proposed amendment defines “feederschool” as a school that receives Title I funds or is eligible for, but doesnot receive Title I funds, and from which at least 20 percent of the studentsin the designated school matriculated, provided that, for designatedschools in which school choice, admissions lotteries, and/or open enroll-ment exist and in which feeder school patterns are therefore not consistentfrom year to year, the school district may request that a lesser percentageof students matriculating into the designated schools be considered or thatup to three schools in the closest geographic proximity to the designatedschools and from which students matriculate to such schools be feederschools for purposes of this subdivision.
Community schools grant funds shall be used to supplement and not
supplant district expenditures and shall only be used for new expenditureson eligible operating and capital costs in accordance with this subdivisionand subject to the terms of the appropriation. Community schools grantfunds must be used to support the operating and capital costs associatedwith the transformation of designated schools into community hubs todeliver co-located or school-linked academic, health, mental health, nutri-tion, counseling, legal, and/or other services to students and their families.
The proposed amendment also revises the current definition of com-
munity schools to require offering adult and/or community education op-portunities and programs in community schools to provide members of thecommunity with access to services on school buildings and grounds con-sistent with all applicable laws and regulations including but not limited toEducation Law section 414. These revisions allow for a greater integratedfocus on offering a range of school-based and school-linked programs andservices leading to stronger families and healthier communities.
4. COSTS:(a) Costs to State government: There are no costs to State government
beyond those imposed by the statute.
(b) Costs to local government: None, beyond those imposed by statute.(c) Costs to private regulated parties: None, beyond those imposed by
statute.
(d) Costs to regulating agency for implementation and continued
administration of this rule: The proposed amendment does not impose anycosts on SED, beyond those imposed by statute.
5. LOCAL GOVERNMENT MANDATES:The rule is necessary to implement Chapter 53 of the Laws of 2016 by
establishing criteria for community school grants. The major mandates ofrule are statutorily imposed.
Eligible school districts that seek a community schools grant fund award
for a designated school or schools shall submit an application to the Com-missioner on a form and pursuant to a timeline prescribed by theCommissioner. Applications must set forth the need for such funds,whether the school district is seeking operating funds and/or capital funds,how the funds would be used and the number of students that would beserved with such funds. If an eligible school district seeks both operatingand capital funds, such application shall include separate budgets for theuse of operating and capital funds. Funds shall be awarded in accordanceNYS Register/August 10, 2016 Rule Making Activities
3with a formula developed by the Commissioner and approved by the direc-
tor of the budget which shall take into account factors that include butneed not be limited to the number of designated schools in the district, thenumber of students enrolled in the designated schools, and the needs ofsuch students for English language learner, special education and otherenhanced services.
Prior to submitting an application to the Commissioner, the eligible
school district shall provide appropriate community partners and/or thecommunity engagement team established pursuant to this section, as theschool district deems appropriate, an opportunity to review and providefeedback on the application.
All applications for funding must include detailed plans and timelines
for ensuring substantial parent, teacher, and community engagement in the
planning, implementation and operations of the community school thatshall include but need not be limited to the following:
o holding public meetings with parents, teachers and community
members at least quarterly during the school year to provide informationand solicit input regarding the planning, implementation and operations ofthe community school. Such meetings shall be held in accordance with therequirements of subparagraph (c)(1)(iii) of this section;
o providing written notices and communications regarding the plan-
ning, implementation and operations of the community school to parents,teachers, other school personnel and community members as often aspracticable through means that shall include but need not be limited toemail and posting on the district’s internet website, if one exists. All suchnotices and communications shall be provided in English and translated,to the extent practicable, into the recipient’s native language or mode ofcommunication;
o ensuring that such meetings, notices and communications provide
parents, teachers and community members with meaningful opportunitiesto provide input and feedback by providing a variety of widely accessiblemethods of communication such as email, telephone, and/or access to thecommunity school site coordinator and/or the steering committee; and
o submitting quarterly written reports to the Commissioner in a form
and format prescribed by the Commissioner containing specific informa-tion about the progress of the planning, implementation and operations ofthe community schools grant and the requirements of this subdivision.
6. PAPERWORK:See response to No. 5 above relating to local government mandates.7. DUPLICATION:The rule is necessary to implement Chapter 53 of the Laws of 2016 and
does not duplicate, overlap or conflict with State or federal legalrequirements.
8. ALTERNATIVES:The rule is necessary to implement Chapter 56 of the Laws of 2016 by
establishing criteria for community school grants. Consequently, the ma-jor provisions of the rule are statutorily imposed, and there are no signifi-cant alternatives and none were considered.
9. FEDERAL STANDARDS:There are no applicable federal standards relating to criteria for these
community school grants, appropriated by the State Legislature.
10. COMPLIANCE SCHEDULE:The rule is necessary to implement Chapter 53 of the Laws of 2016 by
establishing criteria for community school grants. Consequently, the ma-jor provisions of the proposed rule are statutorily imposed. It is anticipatedthat regulated parties can achieve compliance with the proposed rule by itseffective date.
Regulatory Flexibility Analysis
Small Businesses:The proposed rule is necessary to implement Chapter 53 of the Laws of
2016, by establishing criteria for struggling and persistently strugglingschools to apply for community school grants and does not impose anyadverse economic impact, reporting, record keeping or any other compli-ance requirement on small businesses. Because it is evident from thenature of the rule that it does not affect small businesses, no furthermeasures were needed to ascertain that fact and none were taken. Accord-ingly, a regulatory flexibility analysis for small businesses is not requiredand one has not been prepared.
Local Government:1. EFFECT OF RULE:The proposed rule applies to those school districts that have: “Persis-
tently Failing Schools” (identified in the regulation as a “PersistentlyStruggling Schools”), which are Priority Schools that have been in themost severe accountability status since the 2006-07 school year, and/orFailing Schools (identified in the regulation as “Struggling Schools”),which are schools that have been in Priority Schools status since the2012-13 school year.
There are currently 17 school districts that have Persistently Struggling
Schools and/or Struggling Schools.
2. COMPLIANCE REQUIREMENTS:As part of the 2016-2017 budget appropriation bill (Chapter 53 of the
Laws of 2016), the Legislature and Governor provided a $75 million ap-propriation ($50 million for operating costs and $25 million for capitalcosts) to establish community school grants for eligible school districtswith schools designated as struggling and persistently struggling by theCommissioner pursuant to Education Law section 211-f(1)(a) or (b)throughout the 2016-2017 school year (“designated schools”). The newlaw requires eligible school districts to apply to the Commissioner forsuch grants.
The proposed amendment implements these requirements and requires
that all applications for funding pursuant to this subdivision includedetailed plans and timelines for ensuring substantial parent, teacher, andcommunity engagement in the planning, implementation and operationsof the community school that shall include but need not be limited to thefollowing:
Dholding public meetings with parents, teachers and community
members at least quarterly during the school year to provide informationand solicit input regarding the planning, implementation and operations ofthe community school. Such meetings shall be held in accordance with therequirements of subparagraph (c)(1)(iii) of this section;
Dproviding written notices and communications regarding the plan-
ning, implementation and operations of the community school to parents,teachers, other school personnel, and community members as often aspracticable through means that shall include but need not be limited toemail and posting on the district’s internet website, if one exists. All suchnotices and communications shall be provided in English and translated,to the extent practicable, into the recipient’s native language or mode ofcommunication;
Densuring that such meetings, notices, and communications provide
parents, teachers, and community members with meaningful opportunitiesto provide input and feedback by providing a variety of widely accessiblemethods of communication, such as email, telephone, and/or access to thecommunity school site coordinator and/or the steering committee; and
Dsubmitting quarterly written reports to the Commissioner in a form
and format prescribed by the Commissioner containing specific informa-tion about the progress of the planning, implementation, and operations ofthe community schools grant and the requirements of this subdivision.
Each designated school that receives a grant to deliver co-located or
school-linked services pursuant to this subdivision shall first provide suchservices to the students who are enrolled in such school and their families.If a designated school has additional unused capacity after making suchservices available to all enrolled students and their families (e.g., not allavailable times for health or dental screenings have been filled on a partic-ular day after all students enrolled in the school have been given an op-portunity for an appointment or not all seats in a parenting workshop havebeen filled by parents of students who attend the school), the school mayoffer such services to students who attend feeder schools and their fami-lies so as to maximize effective and efficient use of available resourcesand/or students who are alumni of the school and their families in order toprovide continuity of services. The proposed amendment defines “feederschool” as a school that receives Title I funds or is eligible for, but doesnot receive Title I funds, and from which at least 20 percent of the studentsin the designated school matriculated, provided that, for designatedschools in which school choice, admissions lotteries, and/or open enroll-ment exist and in which feeder school patterns are therefore not consistentfrom year to year, the school district may request that a lesser percentageof students matriculating into the designated schools be considered or thatup to three schools in the closest geographic proximity to the designatedschools and from which students matriculate to such schools be feederschools for purposes of this subdivision.
Community schools grant funds shall be used to supplement and not
supplant district expenditures and shall only be used for new expenditureson eligible operating and capital costs in accordance with this subdivisionand subject to the terms of the appropriation. Community schools grantfunds must be used to support the operating and capital costs associatedwith the transformation of designated schools into community hubs todeliver co-located or school-linked academic, health, mental health, nutri-tion, counseling, legal, and/or other services to students and their families,which may include but need not be limited to the following:
Dproviding a community school site coordinator at each struggling or
persistently struggling school receiving a grant pursuant to thissubdivision. The school district shall designate a full-time staff person toserve as the community school site coordinator at each such school whoshall assist the school receiver in implementing the grant, including butnot limited to managing the development of the community school strat-egy for that school, coordinating and integrating service delivery at theschool, ensuring the maintenance and sustainability of the communityschool, and consulting and coordinating with any other community schoolsite coordinators designated pursuant to this clause, if applicable. If thereare circumstances that do not justify the assignment of a full-time staff
NYS Register/August 10, 2016 Rule Making Activities
4person to serve as the community school coordinator for each school (e.g.,
the designated school is a small rural school and a full-time coordinator isnot needed), or if the designation of one full-time site coordinator formultiple schools would be more effective (e.g., if the two schoolsdesignated in the district are small schools in close proximity and a full-time coordinator could serve both schools), the school may apply to theCommissioner for a waiver from this requirement;
Dimproving parent engagement, which may include but need not be
limited to designating a family outreach coordinator, providing parentsand families with information on and opportunities to participate in theirchild’s education and school community, including participation on theschool’s community engagement team established pursuant to this sec-tion; in the process of local stakeholder consultation conducted pursuantto this section; in the community-wide needs assessment conducted pursu-ant to this section; on the steering committee established by these regula-tions; and in family literacy programs, including early childhood educa-tion, interactive literacy activities between parents and their children, andtraining for parents regarding how to be the primary teacher for their chil-dren and full partners in the education of their children;
Dproviding early childhood education programs;
Doffering professional development specific to the unique needs of
students enrolled in a community school and their families. Such uniqueneeds may be determined through measures including but not limited tosurveys of students, families and teachers; focus group meetings withparents, students and teachers; and/or results of comprehensive school andcommunity needs assessments, which may be the comprehensive school
and community needs assessment conducted pursuant to these regulations,if one has been conducted for the specific school. Such professionaldevelopment shall include but not be limited to job-embedded profes-sional development with an emphasis on strategies that involve teacherinput and feedback as well as professional development for administratorsat the school with an emphasis on strategies that develop leadership skills,use of principles of distributive leadership, and instructional supervision;
Dconducting community-wide needs assessments, provided that, if a
comprehensive school and community needs assessment regarding theschool has already been conducted, such needs assessment may be usedfor this purpose;
Dcreating a steering committee to provide feedback and guidance. Such
steering committee shall be made up of various school and communitystakeholders, which shall include but need not be limited to, the schoolprincipal, parents of or persons in parental relation to students attendingthe school, teachers and other school staff assigned to the school, andstudents attending the school; provided that, in the case of a designatedschool that does not serve students in grade seven or above, the steeringcommittee need not include students; provided further that a communityengagement team established pursuant to section 100.19 may also serve asthe steering committee; and
Dconstructing or renovating spaces within such school buildings to
serve as health suites, adult education spaces, guidance suites, resourcerooms, remedial rooms, parent/community rooms, and career and techni-cal education classrooms, plus any other capital costs necessary to imple-ment a community school.
The proposed amendment also revises the current definition of com-
munity schools to require offering adult and/or community education op-portunities and programs in community schools to provide members of thecommunity with access to services on school buildings and grounds con-sistent with all applicable laws and regulations including but not limited toEducation Law section 414. These revisions allow for a greater integratedfocus on offering a range of school-based and school-linked programs andservices leading to stronger families and healthier communities.
3. PROFESSIONAL SERVICES:The proposed rule does not impose any additional professional services
requirements beyond those inherent in the statute.
4. COMPLIANCE COSTS:The proposed rule is necessary to implement Chapter 53 of the Laws of
2016 and, consequently, the major mandates of the proposed rule arestatutorily imposed. The Department anticipates that because $75 millionhas been appropriated to support the community schools grants, there willbe no costs to local governments for implementing the proposedamendment.
5. ECONOMIC AND TECHNOLOGICAL FEASIBILITY:Economic feasibility is addressed in the Costs section above.6. MINIMIZING ADVERSE IMPACT:The rule is necessary to implement Chapter 53 of the Laws of 2016 by
establishing criteria for community school grants. The major provisions ofthe rule are statutorily imposed and it is not feasible to establish differingcompliance or reporting requirements, or to exempt school districts fromcoverage by the rule.
The Department intends to take steps to provide sufficient notice of the
proposed rule to ensure that school districts are made aware of the rule'srequirements so they may suitably prepare for and apply for these grants.7. LOCAL GOVERNMENT PARTICIPATION:
Comments on the proposed rule were solicited from school districts
through the offices of the district superintendents of each supervisorydistrict in the State, from the chief school officers of the five big cityschool districts, which include school districts with persistently strugglingand struggling schools.
8. INITIAL REVIEW OF RULE (SAPA § 207):Pursuant to State Administrative Procedure Act section 207(1)(b), the
State Education Department proposes that the initial review of this ruleshall occur in the fifth calendar year after the year in which the rule isadopted, instead of in the third calendar year. The justification for a fiveyear review period is that the proposed rule is necessary to implementChapter 53 of the Laws of 2016, by establishing criteria for community
school grants.
The Department invites public comment on the proposed five year
review period for this rule. Comments should be sent to the agency contactlisted in item number 10 of the Notice of Proposed Rule Making publishedherewith, and must be received within 45 days of the date the Notice ispublished in the State Register.
Rural Area Flexibility Analysis
1. TYPES AND ESTIMATED NUMBER OF RURAL AREAS:The proposed rule applies to those school districts that have: “Persis-
tently Failing Schools” (identified in the regulation as a “PersistentlyStruggling Schools”), which are Priority Schools that have been in themost severe accountability status since the 2006-07 school year, and/orFailing Schools (identified in the regulation as a “Struggling Schools”),which are schools that have been in Priority Schools status since the2012-13 school year.
There is currently one school district that has one Struggling School lo-
cated in a rural area (i.e. the 44 rural counties with less than 200,000 in-habitants and the 71 towns in urban counties with a population density of150 per square mile or less).
2. REPORTING, RECORDKEEPING AND OTHER COMPLIANCE
REQUIREMENTS; AND PROFESSIONAL SERVICES:
As part of the 2016-2017 budget appropriation bill (Chapter 53 of the
Laws of 2016), the Legislature and Governor provided a $75 million ap-propriation ($50 million for operating costs and $25 million for capitalcosts) to establish community school grants for eligible school districtswith schools designated as struggling and persistently struggling by theCommissioner pursuant to Education Law section 211-f(1)(a) or (b)throughout the 2016-2017 school year (“designated schools”). The newlaw requires eligible school districts to apply to the Commissioner forsuch grants.
The proposed amendment implements these requirements and requires
that all applications for funding pursuant to this subdivision includedetailed plans and timelines for ensuring substantial parent, teacher, andcommunity engagement in the planning, implementation and operationsof the community school that shall include but need not be limited to thefollowing:
Dholding public meetings with parents, teachers and community
members at least quarterly during the school year to provide informationand solicit input regarding the planning, implementation and operations ofthe community school. Such meetings shall be held in accordance with therequirements of subparagraph (c)(1)(iii) of this section;
Dproviding written notices and communications regarding the plan-
ning, implementation and operations of the community school to parents,teachers, other school personnel, and community members as often aspracticable through means that shall include but need not be limited toemail and posting on the district’s internet website, if one exists. All suchnotices and communications shall be provided in English and translated,to the extent practicable, into the recipient’s native language or mode ofcommunication;
Densuring that such meetings, notices, and communications provide
parents, teachers, and community members with meaningful opportunitiesto provide input and feedback by providing a variety of widely accessiblemethods of communication, such as email, telephone, and/or access to thecommunity school site coordinator and/or the steering committee; and
Dsubmitting quarterly written reports to the Commissioner in a form
and format prescribed by the Commissioner containing specific informa-tion about the progress of the planning, implementation, and operations ofthe community schools grant and the requirements of this subdivision.
Each designated school that receives a grant to deliver co-located or
school-linked services pursuant to this subdivision shall first provide suchservices to the students who are enrolled in such school and their families.If a designated school has additional unused capacity after making suchservices available to all enrolled students and their families (e.g., not allavailable times for health or dental screenings have been filled on a partic-ular day after all students enrolled in the school have been given an op-portunity for an appointment or not all seats in a parenting workshop havebeen filled by parents of students who attend the school), the school may
NYS Register/August 10, 2016 Rule Making Activities
5offer such services to students who attend feeder schools and their fami-
lies so as to maximize effective and efficient use of available resourcesand/or students who are alumni of the school and their families in order toprovide continuity of services. The proposed amendment defines “feederschool” as a school that receives Title I funds or is eligible for, but doesnot receive Title I funds, and from which at least 20 percent of the studentsin the designated school matriculated, provided that, for designatedschools in which school choice, admissions lotteries, and/or open enroll-ment exist and in which feeder school patterns are therefore not consistentfrom year to year, the school district may request that a lesser percentageof students matriculating into the designated schools be considered or thatup to three schools in the closest geographic proximity to the designatedschools and from which students matriculate to such schools be feederschools for purposes of this subdivision.
Community schools grant funds shall be used to supplement and not
supplant district expenditures and shall only be used for new expenditureson eligible operating and capital costs in accordance with this subdivisionand subject to the terms of the appropriation. Community schools grantfunds must be used to support the operating and capital costs associatedwith the transformation of designated schools into community hubs todeliver co-located or school-linked academic, health, mental health, nutri-tion, counseling, legal, and/or other services to students and their families,which may include but need not be limited to the following:
Dproviding a community school site coordinator at each struggling or
persistently struggling school receiving a grant pursuant to thissubdivision. The school district shall designate a full-time staff person to
serve as the community school site coordinator at each such school whoshall assist the school receiver in implementing the grant, including butnot limited to managing the development of the community school strat-egy for that school, coordinating and integrating service delivery at theschool, ensuring the maintenance and sustainability of the communityschool, and consulting and coordinating with any other community schoolsite coordinators designated pursuant to this clause, if applicable. If thereare circumstances that do not justify the assignment of a full-time staffperson to serve as the community school coordinator for each school (e.g.,the designated school is a small rural school and a full-time coordinator isnot needed), or if the designation of one full-time site coordinator formultiple schools would be more effective (e.g., if the two schoolsdesignated in the district are small schools in close proximity and a full-time coordinator could serve both schools), the school may apply to theCommissioner for a waiver from this requirement;
Dimproving parent engagement, which may include but need not be
limited to designating a family outreach coordinator, providing parentsand families with information on and opportunities to participate in theirchild’s education and school community, including participation on theschool’s community engagement team established pursuant to this sec-tion; in the process of local stakeholder consultation conducted pursuantto this section; in the community-wide needs assessment conducted pursu-ant to this section; on the steering committee established by these regula-tions; and in family literacy programs, including early childhood educa-tion, interactive literacy activities between parents and their children, andtraining for parents regarding how to be the primary teacher for their chil-dren and full partners in the education of their children;
Dproviding early childhood education programs;
Doffering professional development specific to the unique needs of
students enrolled in a community school and their families. Such uniqueneeds may be determined through measures including but not limited tosurveys of students, families and teachers; focus group meetings withparents, students and teachers; and/or results of comprehensive school andcommunity needs assessments, which may be the comprehensive schooland community needs assessment conducted pursuant to these regulations,if one has been conducted for the specific school. Such professionaldevelopment shall include but not be limited to job-embedded profes-sional development with an emphasis on strategies that involve teacherinput and feedback as well as professional development for administratorsat the school with an emphasis on strategies that develop leadership skills,use of principles of distributive leadership, and instructional supervision;
Dconducting community-wide needs assessments, provided that, if a
comprehensive school and community needs assessment regarding theschool has already been conducted, such needs assessment may be usedfor this purpose;
Dcreating a steering committee to provide feedback and guidance. Such
steering committee shall be made up of various school and communitystakeholders, which shall include but need not be limited to, the schoolprincipal, parents of or persons in parental relation to students attendingthe school, teachers and other school staff assigned to the school, andstudents attending the school; provided that, in the case of a designatedschool that does not serve students in grade seven or above, the steeringcommittee need not include students; provided further that a communityengagement team established pursuant to section 100.19 may also serve asthe steering committee; andDconstructing or renovating spaces within such school buildings to
serve as health suites, adult education spaces, guidance suites, resourcerooms, remedial rooms, parent/community rooms, and career and techni-cal education classrooms, plus any other capital costs necessary to imple-ment a community school.
The proposed amendment also revises the current definition of com-
munity schools to require offering adult and/or community education op-portunities and programs in community schools to provide members of thecommunity with access to services on school buildings and grounds con-sistent with all applicable laws and regulations including but not limited toEducation Law section 414. These revisions allow for a greater integratedfocus on offering a range of school-based and school-linked programs andservices leading to stronger families and healthier communities.
3. COMPLIANCE COSTS:The proposed rule is necessary to implement Chapter 53 of the Laws of
2016 and, consequently, the major mandates of the proposed rule are
statutorily imposed. The Department anticipates that because $75 millionhas been appropriated to support community schools grants, the grantmoney will be used to assist local governments and that no additionalcosts are imposed on local governments by the proposed amendment.
4. MINIMIZING ADVERSE IMPACT:The rule is necessary to implement Chapter 53 of the Laws of 2016 by
establishing criteria for community school grants. The major provisions ofthe rule are statutorily imposed and it is not feasible to establish differingcompliance or reporting requirements, or to exempt school districts fromcoverage by the rule.
The Department intends to take steps to provide sufficient notice of the
proposed rule to ensure that school districts, including those located in ru-ral areas are made aware of the rule's requirements so they may suitablyprepare for and apply for these grants.
5. RURAL AREA PARTICIPATION:Department staff will solicit comments on the proposed amendment
from the Rural Advisory Committee, which has members who live andwork in rural areas on the State.
Job Impact Statement
The purpose of the proposed amendment is to timely implement Chapter
53 of the Laws of 2016 to establish the requirements for eligible schooldistricts with schools designated as struggling and persistently strugglingby the Commissioner pursuant to Education Law section 211-f(1)(a) or (b)throughout the 2016-2017 school year that wish to apply for such grants inthe 2016-2017 school year. The proposed amendment also revises the def-inition of the community schools to require programs in a communityschool to provide members of the community with access to services onschool buildings and grounds consistent with all applicable laws andregulations including but not limited to Education Law section 414.
Furthermore, an apportionment of $75 million in State funds will be
available to Struggling and Persistently Struggling Schools for theimplementation of community schools and a portion of those monies mustbe used on operating costs. Another portion of the funding is to be usedfor capital costs (i.e., construction and/or renovation). This will result in anet gain of jobs.
Department of Environmental
Conservation
EMERGENCY
RULE MAKING
Chemical Bulk Storage (CBS)
I.D. No. ENV-19-16-00006-E
Filing No. 709
Filing Date: 2016-07-21
Effective Date: 2016-07-21
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: Amendment of Part 597 of Title 6 NYCRR.
Statutory authority: Environmental Conservation Law, sections 1-0101,
3-0301, 3-0303, 17-0301, 17-0303, 17-0501, 17-1743, 27-1301, 37-0101through 37-0107 and 40-0101 through 40-0121
Finding of necessity for emergency rule: Preservation of public health.
Specific reasons underlying the finding of necessity: The New YorkNYS Register/August 10, 2016 Rule Making Activities
6State Department of Health (NYSDOH) has requested that the New York
State Department of Environmental Conservation (DEC) add perfluo-rooctanoic acid (PFOA-acid, Chemical Abstracts Service (CAS) No. 335-67-1), ammonium perfluorooctanoate (PFOA-salt, CAS No. 3825-26-1),perfluorooctane sulfonic acid (PFOS-acid, CAS No. 1763-23-1), andperfluorooctane sulfonate (PFOS-salt, CAS No. 2795-39-3) to 6 NYCRRSection 597.3, List of Hazardous Substances. DEC has concluded thatthese four substances meet the definition of a hazardous substance basedupon the conclusion of the NYSDOH that prolonged exposure to signifi-cantly elevated levels of these compounds can affect health and, conse-quently, pose a threat to public health in New York State when improperlytreated, stored, transported, disposed of or otherwise managed. NYSDOHscientists have concluded that it is essential to list these chemicals as haz-ardous substances. See the Regulatory Impact Statement for additional in-formation, including NYSDOH’s letter requesting that these chemicals beadded to the List of Hazardous Substances (Section 597.3).
It is essential to immediately identify PFOA-acid, PFOA-salt, PFOS-
acid, and PFOS-salt as hazardous substances pursuant to 6 NYCRR Sec-tion 597.3, thereby making them hazardous wastes pursuant to Environ-mental Conservation Law Section 27-1301, and enabling DEC to exert itsenforcement authorities and to expend funds from the Hazardous WasteRemedial Fund to clean up the contaminant. The emergency rule will
provide DEC with authority to take immediate action to protect publichealth. To the extent elevated levels of PFOA-related and PFOS-relatedsubstances are identified throughout the State, DEC needs the authority toact expeditiously.
Subject: Chemical Bulk Storage (CBS).
Purpose: To amend Part 597 of the CBS regulations.
Text of emergency rule: 6 NYCRR Part 597 is amended to read as follows:
Existing subdivision 597.1(a) through paragraph 597.1(b)(1) remain
unchanged.
Existing paragraph 597.1(b)(2) is amended to read as follows:
(2) Chemical [a] Abstract s[s]Service number or CAS number is the
unique identifier for a chemical substance assigned by the CAS division ofthe American Chemical Society.
Existing paragraph 597.1(b)(3) through section 597.2 remain
unchanged.
Existing section 597.3 is amended to read as follows:597.3 List of hazardous substancesTable 1 sets forth the list of hazardous substances in alphabetical order.
Table 2 sets forth the list of hazardous substances in Chemical Abstract s
Service (CAS) number order.
Table 1 and Table 2 are amended to read as follows:
Table 1 – Alphabetical Order
CASRN SubstanceRQ
Air
(pounds)RQ
Land/
Water
(pounds)Notes
3825-26-1 Ammonium
Perfluorooctanoate11
2795-39-3 Perfluorooctane
Sulfonate11
1763-23-1 Perfluorooctane
Sulfonic Acid11
335-67-1 Perfluorooctanoic
Acid11
Table 2 – CAS Number Order
CASRN SubstanceRQ
Air
(pounds)RQ
Land/
Water
(pounds)Notes
335-67-1 Perfluorooctanoic
Acid11
1763-23-1 Perfluorooctane
Sulfonic Acid11
2795-39-3 Perfluorooctane
Sulfonate11
3825-26-1 Ammonium
Perfluorooctanoate11Existing subdivision 597.4(a) is amended to read as follows:
(a) Prohibition of releases.The release of a hazardous substance which is required to be reported
pursuant to subdivision (b) of this section is prohibited unless:
(1) such release is authorized; [or](2) such release is continuous and stable in quantity and rate and has
been reported pursuant to paragraph (b)(4) of this section[.] ;o r
(3) such release is of fire-fighting foam containing Perfluorooctanoic
Acid (CAS No. 335-67-1), Ammonium Perfluorooctanoate (CAS No. 3825-26-1), Perfluorooctane Sulfonic Acid (CAS No. 1763-23-1), or Perfluo-rooctane Sulfonate (CAS No. 2795-39-3) used for fighting fires (but notfor training purposes) and occurs on or before April 25, 2017. In the eventthere is a release of such foam that exceeds the reportable quantity of anyhazardous substance, the release must be reported pursuant to subdivi-sion (b) of this section.
Existing subdivision 597.4(b) remains unchanged.
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. ENV-19-16-00006-EP, Issue ofMay 11, 2016. The emergency rule will expire September 18, 2016.
Text of rule and any required statements and analyses may be obtained
from: Russ Brauksieck, NYS Department of Environmental Conserva-
tion, 625 Broadway, Albany, NY 12233-7020, (518) 402-9553, email:derweb@dec.ny.gov
Additional matter required by statute: Negative Declaration, Coastal As-
sessment Form, and Short Environmental Assessment Form have beencompleted for this proposed rule making.
Summary of Regulatory Impact Statement
Full text of the Regulatory Impact Statement is available on the New
York State Department of Environmental Conservation’s website at http://www.dec.ny.gov/regulations/104968.html
1. STATUTORY AUTHORITYThe State law authority that empowers the New York State Department
of Environmental Conservation (Department) to create a list of hazardoussubstances is found in Title one of Article 37 of the Environmental Con-servation Law (ECL), sections 37-0101 through 37-0111, entitled “Sub-stances Hazardous to the Environment” (Article 37). The Department isauthorized to adopt regulations to implement ECL provisions (ECL sec-tions 3-0301[2][a] and [m]) which includes listing “substances hazardousto the public health, safety or environment” which “because of theirquantity, concentration, or physical, chemical or infectious characteristicscause physical injury or illness when improperly treated, stored, trans-ported, disposed of, or otherwise managed” in 6 NYCRR Part 597.
2. LEGISLATIVE OBJECTIVESThe legislative objectives underlying Article 37 are directed toward
establishing a list of hazardous substances which pose a threat to public
health or the environment. The emergency rule adds perfluorooctanoicacid (PFOA-acid, Chemical Abstracts Service [CAS] No. 335-67-1), am-monium perfluorooctanoate (PFOA-salt, CAS No. 3825-26-1), perfluo-rooctane sulfonic acid (PFOS-acid, CAS No. 1763-23-1), and perfluo-rooctane sulfonate (PFOS-salt, CAS No. 2795-39-3) to the list ofhazardous substances in 6 NYCRR Section 597.3 (Section 597.3). Theproposed rule, upon adoption, makes the amendments permanent.
3. NEEDS AND BENEFITSThe purpose of the emergency rule and proposed rule is to:1. Add PFOA-acid, PFOA-salt, PFOS-acid, and the PFOS-salt to Sec-
tion 597.3;
2. Allow fire-fighting foam containing PFOA-acid, PFOA-salt, PFOS-
acid, or PFOS-salt to be used to fight fires (but not for any other purposes)on or before April 25, 2017; and
3. Correct the list of hazardous substances by providing units for the
reportable quantities (RQs).
Needs and Benefits of Adding PFOA-acid, PFOA-salt, PFOS-acid, and
PFOS-salt to the List of Hazardous Substances
The Department promulgated an emergency rule on January 27, 2016
to add PFOA-acid to the list of hazardous substances in Section 597.3.Since then, the Department became aware of three additional substancesthat need to be added to the list of hazardous substances. These additionalsubstances have physical, chemical, and toxicological properties similar toPFOA-acid. The Department decided to allow the January 27, 2016 emer-gency rule to expire and to undertake the emergency and proposed rule toinclude all four substances on the list of hazardous substances.
The Department has concluded that these four substances meet the def-
inition of hazardous substance based upon the conclusion of the New YorkState Department of Health (NYSDOH) that the combined weight of evi-dence from human and experimental animal studies indicates thatNYS Register/August 10, 2016 Rule Making Activities
7prolonged exposure to significantly elevated levels of these compounds
can affect health and, consequently, pose a threat to public health in NewYork State when improperly treated, stored, transported, disposed of orotherwise managed. NYSDOH scientists have concluded that it is essentialto list these chemicals as hazardous substances. See the Regulatory ImpactStatement for additional information, including NYSDOH’s letter request-ing that these chemicals be added to the List of Hazardous Substances(Section 597.3).
There are at least three benefits of listing these substances as hazardous
substances in Part 597. First, if a mixture containing one of these sub-stances in concentrations of 1% or more is stored in an aboveground tankof 185 gallons or more or any size underground tank, the tank would besubject to the requirements of the Chemical Bulk Storage (CBS) regula-tions (6 NYCRR Parts 596 – 599) with the purpose of preventing leaksand spills to protect public health and the environment. Second, releases tothe environment are prohibited (subdivision 597.4[a]). Any release of onepound or more of these substances must be reported to the Department’sspill hotline (subdivision 597.4[b]). Third, if one of these substances isreleased, the Department is authorized to pursue clean-up of the contami-nation under one of the Department’s remedial programs (6 NYCRR Part375) and may expend funds under the “State Superfund” if a responsibleparty is unwilling or unable to undertake the remediation.
Need and Benefit of Allowing Continued Use of Fire-Fighting FoamThese four substances have been used in Aqueous Film-Forming Foam
(AFFF). While their use was restricted or reportedly removed from newproducts by December 2015, AFFF containing these substances are likely
stored at some facilities since the reported shelf-life of AFFF is up to 25years. In accordance with existing 6 NYCRR subdivision 597.4(a), therelease of a hazardous substance is prohibited. This rule adds a provisionallowing entities with fire-fighting foam time to determine if stored foamcontains these hazardous substances. If so, the facility would be requiredto arrange for proper disposal of the foam by April 25, 2017. Replacementfoam may not contain a hazardous substance at a concentration that wouldresult in the release of more than the RQ (one pound) when used as a fire-fighting foam. Prior to April 25, 2017, entities storing this foam would beallowed to use the foam, as needed, to fight fires to protect public safetybut not for any other purpose such as training. If the foam is used to fight afire and there is a release of one pound or more of a hazardous substance,the release must be reported to the Department’s spill hotline to allow theDepartment to determine if remediation of the release is appropriate.
Need for Correction of the List of Hazardous SubstancesA correction is being made to the tables listing hazardous substances. It
was determined that the units for RQs were left off the table causing someuncertainty regarding when a release would need to be reported. This ruleadds units back to the column heading of the table.
4. COSTSCosts to Regulated PartiesBecause the use of these chemicals is limited by United States Environ-
mental Protection Agency (USEPA) and the CBS tank system require-ments for handling and storing these chemicals do not apply until April25, 2018, the Department expects that compliance costs will be minimal.For example, if a facility is storing one of these substances in a 5,000 gal-lon aboveground storage tank, the two-year registration fee would be $125.If the facility were to discontinue storage by April 25, 2018, when thestorage and handling standards go into effect, there would be no substan-tive costs beyond payment of the registration fee. If the facility were tocontinue to store one of these substances, it would be subject to the costsof complying with the handling and storage requirements in Parts 598 and599.
With one possible exception (entities with fire-fighting form), the
release prohibition should not present unusual compliance costs forpersons who may be in possession of PFOA-containing or PFOS-containing substances. Since the Department recognizes the importantsocietal interest of ensuring the availability of materials to control fires,persons have until April 25, 2017 to determine if foam contains hazardoussubstances and replace the foam if necessary. If fire-fighting foam containsa hazardous substance, it cannot be released to the environment after April25, 2017. The Department anticipates that replacement foams would bepurchased and that old foam containing a hazardous substance would bedisposed of in accordance with applicable requirements. The cost toreplace the foam ranges from $16 to $32 per gallon, depending on theamount and type of foam. Since use of these substances has been restrictedor phased-out, the Department is uncertain how many regulated partiesmay be in possession of fire-fighting foams that contain one of thesesubstances.
The costs of complying with the requirements of Part 375 to implement
a remedial program where the four substances are primary contaminantswill vary widely as costs depend upon many factors. Thus, it is not pos-sible to meaningfully estimate potential remedial costs other than to notethat remedial program costs for other hazardous substances range from thethousands to millions of dollars.Costs to the Department, State, and Local Government
The Department will incur costs to administer the CBS program and to
oversee of site remediation by responsible parties. In cases where aresponsible party is unwilling or unable to undertake remediation, thecosts of the remediation would be incurred by the Department (subject toefforts to recover the costs).
State and local governments will incur costs making determinations
regarding whether products containing one of these substances are storedat their facilities.
5. LOCAL GOVERNMENT MANDATESNo additional recordkeeping, reporting, or other requirements not al-
ready created by statute or described above would be imposed on localgovernments. This is not a local government mandate.
6. PAPERWORKThe emergency rule and proposed rule contain no substantive changes
to existing reporting and record keeping requirements, except for thosenewly subject to this regulation.
7. DUPLICATIONThe listing of PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt as
hazardous substances in Part 597 causes no duplication, overlap or conflictwith any other state or federal government programs or rules.
8. ALTERNATIVESThe only alternative to listing PFOA-acid, PFOA-salt, PFOS-acid, and
PFOS-salt as hazardous substances considered by the Department, the noaction alternative, was not taken. The Department declined to take no ac-tion because, as determined by NYSDOH, the combined weight of evi-dence from human and experimental animal studies indicates thatprolonged exposure to significantly elevated levels of these compoundscan affect health and, consequently, pose a threat to public health in NewYork State when improperly treated, stored, transported, disposed of, orotherwise managed.
9. FEDERAL STANDARDSListing PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt as hazard-
ous substances exceeds the current federal approach, as USEPA has notlisted these substances as any of the substances defined as hazardous sub-stances under the federal Comprehensive Environmental Response,Compensation, and Liability Act (CERCLA), 42 U.S.C Section 9601, etseq., or under the applicable regulation, 40 CFR Part 302 (“Designation,Reportable Quantities, and Notification”). Under the Toxic SubstancesControl Act, USEPA worked with industry to voluntarily phase out theuse of PFOA-related substances by December 2015, and proposed a sig-nificant new use rule, completed in 2002, to limit production and importa-tion of PFOA-related substances.
10. COMPLIANCE SCHEDULEA facility that stores one of these substances that is subject to the CBS
registration requirements is required to submit its registration applicationto the Department when it becomes subject to regulation. If a facility is al-ready storing one of these substances and is subject to the registrationrequirements, the requirement became effective on April 25, 2016, the ef-fective date of this emergency rule. If a facility begins storing one of thesesubstances and is subject to the registration requirements, it must obtain avalid registration certificate prior to storing the material. Facilities withexisting storage are not required to comply with the handling and storagerequirements for hazardous substances until April 25, 2018 (6 NYCRRsubdivision 598.1[h]). The Department expects that facilities that cur-rently store one of these substances will phase out storage of the substanceprior to April 25, 2018, and, therefore, will not have significant CBScompliance requirements beyond the registration requirement.
Existing Part 597 prohibits the release of a hazardous substance to the
environment (subdivision 597.4[a]). This emergency rule and proposedrule allow entities storing fire-fighting foam to use the foam until April25, 2017 while they determine if the foam contains one of these hazardoussubstances. If the foam does contain one of the substances, the foam mustnot be released to the environment after April 25, 2017. However, if thefoam is used to fight a fire and there is a release of one pound or more of ahazardous substance, the release needs to be reported to the Department’sspill hotline (subdivision 597.4[b]).
Listing these substances as hazardous substances results in sites con-
taminated with one of these substances being subject to the inactive haz-ardous waste disposal sites regulatory requirements of Part 375, whichsets forth requirements for remediation. Remedial programs for a site tendto be complex, multi-phased, and take from a few to many years tocomplete.
Summary of Regulatory Flexibility Analysis
Full text of the Regulatory Flexibility Analysis for Small Businesses &
Local Governments is available on the New York State Department ofEnvironmental Conservation’s website at http://www.dec.ny.gov/regulations/104968.html
1. EFFECT OF RULEThe purpose of the emergency rule and proposed rule is to:
NYS Register/August 10, 2016 Rule Making Activities
81. Add perfluorooctanoic acid (PFOA-acid, Chemical Abstracts Service
[CAS] No. 335-67-1), ammonium perfluorooctanoate (PFOA-salt, CASNo. 3825-26-1), perfluorooctane sulfonic acid (PFOS-acid, CAS No.1763-23-1), and perfluorooctane sulfonate (PFOS-salt, CAS No. 2795-39-3) to 6 NYCRR Section 597.3;
2. Allow fire-fighting foam containing PFOA-acid, PFOA-salt, PFOS-
acid, or PFOS-salt (all four substances) to be used to fight fires (but notfor training or any other purposes) on or before April 25, 2017, a use whichwould not otherwise be allowed under the regulation since the release of a
hazardous substance is prohibited; and
3. Correct the list of hazardous substances by providing units for report-
able quantities (RQs).
The emergency rule and proposed rule apply statewide in all 62 coun-
ties of New York State (State). The listing of the hazardous substances hastwo effects. First, facilities storing all four substances are now (upon theeffective date of the emergency rule) subject to registration requirements(6 NYCRR Part 596) with the New York State Department of Environmen-tal Conservation (Department) under the Department’s Chemical BulkStorage (CBS) program. Facilities must comply with the applicablehandling and storage requirements (6 NYCRR Parts 598-599).
Production of all four substances has already been restricted or report-
edly phased out and replaced with alternative substances. Facilities storingproducts containing any of the four substances manufactured prior to themanufacturing phase-out will be subject to CBS registration requirements.Older stocks of fire-fighting foam containing any of the four substanceswill be subject to the CBS registration requirements. If the stored foamcontains PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt, the facilitywould be required to arrange for the proper disposal of the foam by April25, 2017. Small businesses are not likely to store these foams in quantities(explained below). Large local government agencies (fire departments,fire districts) possibly maintain stocks of fire-fighting foam that could besubject to the registration requirement. The number of facilities that wouldbe required to register as CBS facilities is expected to be small and go tozero as stocks of the four substances are eliminated.
Most facilities subject to the CBS regulations are municipal facilities,
manufacturing facilities, and utilities. There are over 1,400 registeredCBS facilities. The Department believes that the great majority of facilityowners and operators are likely small businesses. Local governments haveregistered over 580 CBS facilities. The Department believes that the typesof facilities registered by local governments are water and wastewatertreatment facilities and are not expected to store any of the four substances.
The Department only collects information regarding the name, address,
and contact information for the owner and operator of registered facilities.Hence, the Department cannot estimate the number of small businesseswhich are CBS regulated (6 NYCRR Parts 596 through 599) or will beregulated due to the emergency rule and proposed rule.
The second effect of the promulgation of this rule is the permanent pro-
hibition of releases of any of the four substances to the environment. Theprohibition takes effect on April 25, 2017 for fire-fighting foams. Therelease prohibition now applies to the four substances including any olderstocks of fire-fighting foams and any material containing the four sub-stances stored by small businesses or local governments. This will requirelocal government and small businesses to dispose of materials containingthe four substances. Releases of listed hazardous substances above thereportable quantity (RQ) given in Part 597 (one pound for the four sub-stances) must be reported to the Department’s Spill Hotline (subdivision597.4[b]).
The number of sites that will become remedial sites because of the ad-
dition of these four substances to Part 597 is unknown. The Departmenthas placed one site on the Registry of Inactive Hazardous Waste DisposalSites (Registry) as a result of adding PFOA-acid to Part 597 (Site RegistryID No. 442046). The Department expects that other sites that used the anyof the four substances in commercial or industrial processes may haveenvironmental contamination. Locations where disposal of the substancesoccurred or where the substances were components of materials releasedto the environment may become remedial sites subject to the requirementsof Part 375.
The Department anticipates that remediation issues would be most sig-
nificant for areas where the substances were either manufactured, used tomake other products, released, or disposed of. Based upon currently avail-able information, the four substances have not been manufactured in NewYork State, but have been used here to create other products. It is notknown how many small businesses or local governments own propertiesthat will be subject to the regulatory requirements of Part 375 because ofcontamination from these four substances.
2. COMPLIANCE REQUIREMENTSThis rule makes no changes to any substantive requirement for CBS fa-
cilities other than to place the four substances on the list of hazardous sub-stances in Part 597.
Facilities that store the any of the four substances in amounts and intanks that make them subject to the registration requirements of 6 NYCRR
Part 596 must include tank systems on facility registrations with theDepartment and pay the registration fee associated with the CBS program.The fees range from $50 per tank for tanks with capacities less than 550gallons to $125 per tank for capacities greater than 1,100 gallons.
If a facility is already storing any of the four substances and is subject
to the registration requirements, the registration requirement became ef-fective on April 25, 2016, the effective date of this emergency rule. A fa-cility planning to start storing PFOA-acid, PFOA-salt, PFOS-acid, or
PFOS-salt must obtain a valid registration certificate prior to storage. Fa-cilities with existing storage of these substances are not required to complywith the handling and storage requirements for hazardous substances untilApril 25, 2018 (6 NYCRR subdivision 598.1[h]). The Departmentanticipates that facilities that currently store any of the four substanceswill phase out their storage of the substance prior to April 25, 2018 andtherefore would not have substantive CBS compliance requirements be-yond the registration requirement.
Listing the four substances as hazardous results in sites otherwise meet-
ing regulatory criteria to be subject to the inactive hazardous waste dis-posal sites regulatory requirements of Part 375 for the first time. In thesecases, requirements for investigation and cleanup are established by Part375 and by Department orders and agreements with regulated entities.Part 375 sets forth site investigation requirements which determine thenature and extent of environmental contamination, evaluate remedialalternatives, design and construct a remedy, complete the operation andmaintenance activities required to achieve the site remedial action objec-tives, and maintain any institutional or engineering controls which makethe remedy effective. Remedial programs for a site tend to be complex,multi-phased, and take from a few to many years to complete.
3. PROFESSIONAL SERVICESNo new or additional professional services will be needed for small
businesses or local governments to comply with this rule. Facilitiescontinuing to store the substances after April 25, 2018, when the storageand handling standards go into effect, may need professional services tomeet hazardous substances handling and storage requirements.
A small business or local government which becomes a remedial party
subject Part 375 remedial program requirements, will require consultingand contractual services, including professional engineers or qualifiedenvironmental professionals as defined in Part 375 and contractual ser-vices needed to undertake site investigation field work, analyses ofenvironmental samples, or other specialized services.
4. COMPLIANCE COSTSProduction of the four substances has been phased out and the substan-
tive CBS tank system requirements for their handling and storage will notapply until April 25, 2018. The Department expects that the compliancecosts for meeting the CBS requirements will be minimal. If the facilitydiscontinues storage by April 25, 2018, when the storage and handlingstandards go into effect, there will be no other substantive costs.
The release prohibition will not present significant compliance costs for
small businesses and local governments.
Part 375 compliance costs for remedial program implementation where
any of the four substances are the primary contaminants will vary widely.Costs are related to the following: quantity released to the environment,media contaminated (e.g., soil, groundwater, surface water, sediment,bedrock), the horizontal and vertical extent of contamination, the acces-sibility of contamination, whether there are human or environmentalreceptors to protect while a remedial program is undertaken, the difficultyof removing the substances from the contaminated environmental media,the anticipated future use of the area of contamination, and other factors. Itis not possible to meaningfully estimate the potential costs to small busi-nesses and local governments resulting from listing the substances ashazardous. Remedial program costs for other hazardous substances haveranged from the thousands to millions of dollars on a case-by-case basis.
5. ECONOMIC AND TECHNOLOGICAL FEASIBILITYThe economic and technological feasibility for small businesses or lo-
cal governments related to compliance with this rule depends upon whichrequirements apply. If small businesses or local governments are requiredto comply with CBS registration requirements only, no significant impedi-ments will be faced. If a CBS facility decides to store the substances afterApril 25, 2018, when the storage and handling standards go into effect,costs would be incurred to comply with handling and storage requirements.Costs could include design, construction, and maintenance of tank systemsto meet the technical requirements for release prevention, release detec-tion, and containment of potential spills. No technological feasibility is-sues will exist, but costs would be incurred commensurate with storageamounts.
The economic and technical feasibility of complying with the require-
ments to remediate a site contaminated by the substances for a small busi-ness or local government is explained above in compliance costs.
6. MINIMIZING ADVERSE IMPACT
NYS Register/August 10, 2016 Rule Making Activities
9The Department is adopting this emergency rule and proceeding with
this proposed rule based upon the conclusion of NYSDOH that thecombined weight of evidence from human and experimental animal stud-ies indicates that prolonged exposure to significantly elevated levels ofthese compounds can affect health and, consequently, pose a threat to pub-lic health in New York State when improperly treated, stored, transported,disposed of or otherwise managed. See the Regulatory Impact Statementfor additional information, including NYSDOH’s letter requesting thatthese chemicals be added to the List of Hazardous Substances (Section597.3).
7. SMALL BUSINESS AND LOCAL GOVERNMENT PARTICIPA-
TION
The Department will ensure public notice and input by issuing public
notices in the State Register and newspapers, publication in the Depart-ment’s Environmental Notice Bulletin, holding a comment period of atleast 45 days, and holding public hearings. Interested parties, includingsmall businesses and local governments, will have the opportunity tosubmit comments and participate in public hearings. The Department willpost relevant rule making documents on the Department’s website.
8. CURE PERIOD OR OTHER OPPORTUNITY FOR AMELIORA-
TIVE ACTION
There can be no ameliorative actions or cure period regarding the prohi-
bition against releasing the four substances to the environment because theprohibition is absolute and intended to prevent the harm that would cometo public health. Prolonged exposure to significantly elevated levels ofthese compounds can affect health and, consequently, pose a threat to pub-lic health in New York State when improperly treated, stored, transported,disposed of or otherwise managed. The concept of a cure period does notapply in the case of a remedial program.
If a facility subject to the CBS facility registration requirement for the
any of the four substances fails to register its facility in accordance withPart 596, the facility owner/operator will be subject to penalties that havebeen in place and exercised by the Department for all types of parties fordecades, including small businesses and local governments. Therefore, noadditional ameliorative actions or cure period established for this ruleregarding CBS registration or handling and storage requirements.
9. INITIAL REVIEW OF THE RULEDEC would conduct an initial review of the rule within three years of
the promulgation of the final rule.
Rural Area Flexibility Analysis
1. TYPES AND ESTIMATED NUMBER OF RURAL AREASThere are 44 counties in New York State (State) that have populations
of less than 200,000 people and 71 towns in non-rural counties where thepopulation density is less than 150 people per square mile. Since the emer-gency rule and proposed rule apply statewide, they apply to all rural aswell as non-rural areas of the State. The emergency rule adds perfluo-rooctanoic acid (PFOA-acid, Chemical Abstracts Service [CAS] No. 335-67-1), ammonium perfluorooctanoate (PFOA-salt, CAS No. 3825-26-1),perfluorooctane sulfonic acid (PFOS-acid, CAS No. 1763-23-1), andperfluorooctane sulfonate (PFOS-salt, CAS No. 2795-39-3) to the list ofhazardous substances in 6 NYCRR Section 597.3 (Section 597.3). Thisrule also provides time for facilities storing fire-fighting foam containingone or more of these newly listed hazardous substances to properly disposeof it, and makes a correction to the tables of hazardous substances in Part597 by providing units for reportable quantities (RQs). There is no reasonto believe that the actions under this rule will disproportionally impact ru-ral areas.
2. REPORTING, RECORDKEEPING, OTHER COMPLIANCE RE-
QUIREMENTS, AND NEED FOR PROFESSIONAL SERVICES
This emergency rule and proposed rule makes no changes to reporting,
recordkeeping, or other compliance requirements for Chemical Bulk Stor-age (CBS) facilities other than to place PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt on the list of hazardous substances in Section 597.3.
Facilities that store PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt
in specified quantities and use certain tanks that make them subject to theregistration requirements of 6 NYCRR Part 596 must include these tanksystems in their facility registration with the Department, and pay aregistration fee associated with the CBS program. Facilities regulatedunder 6 NYCRR Parts 596-599 most commonly store hazardous sub-stances in stationary aboveground tank systems with a capacity greaterthan 185 gallons.
A facility that stores PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt
that is subject to the CBS registration requirements, as explained above,must submit its registration application to the Department and pay thecommensurate fee at the time it becomes subject to regulation. If the facil-ity is already storing PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt,and is subject to the registration requirements, the registration require-ments became effective on April 25, 2016, the effective date of this emer-gency rule. If a facility plans to start storing PFOA-acid, PFOA-salt,PFOS-acid, or PFOS-salt, and is subject to the registration requirement, itmust obtain a valid registration certificate prior to storing the material. A
facility with existing storage of PFOA-acid, PFOA-salt, PFOS-acid, orPFOS-salt is not required to comply with the handling and storage require-ments for hazardous substances until April 25, 2018 (subdivision598.1[h]). Since the Department anticipates that facilities that currentlystore PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt will phase outstorage of the substance prior to April 25, 2018, they will not have substan-tive CBS compliance requirements regarding these chemicals beyond theregistration requirement.
Existing Part 597 prohibits the release of a hazardous substance to the
environment unless a release is authorized or is continuous and stable andhas been reported to the Department (subdivision 597.4[a]). This rule inaddition allows entities with fire-fighting foam to use the foam to fightfires on or before April 25, 2017 while they determine if the foam containsPFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt. If the foam containsone of these hazardous substances, the foam must be disposed of in accor-dance with appropriate regulations by April 25, 2017. Replacement foammay not contain a hazardous substance at a concentration that would resultin the release of more than the RQ (one pound) when used as a fire-fightingfoam. However, if the foam is used to fight a fire and there is a release of ahazardous substance above the RQ stated in Part 597 for the substance(one pound for these hazardous substances), the release must be reportedto the Department’s spill hotline (subdivision 597.4[b]).
Listing PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt as hazard-
ous substances results in sites contaminated with PFOA-acid, PFOA-salt,PFOS-acid, or PFOS-salt being subject to the inactive hazardous wastedisposal sites regulatory requirements of 6 NYCRR Part 375. In thesecases, requirements for investigation and cleanup are established by Part375 and by Department orders and agreements with regulated entities.Part 375 sets forth requirements for the investigation of site conditions todetermine the nature and extent of environmental contamination, evaluateremedial alternatives, design and construct a remedy, complete the opera-tion and maintenance activities required to achieve the remedial actionobjectives for the site, and maintain any institutional or engineeringcontrols needed to maintain the effectiveness of the remedy. Remedialprograms for a site tend to be complex, multi-phased, and take from a fewto many years to complete.
No new or additional professional services are anticipated to be needed
by facilities located in rural areas to comply with the emergency rule andproposed rule regarding the CBS requirements if they discontinue storingPFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt before the handlingand storage requirements take effect on April 25, 2018. If facilitiescontinue to store after April 25, 2018, when the storage and handling stan-dards go into effect, facility owners/operators may need professional ser-vices to assist them in meeting the handling and storage requirements forhazardous substances.
If an owner/operator in a rural area becomes a remedial party subject to
requirements to implement a remedial program under Part 375, it wouldlikely require consulting and contractual services to assist in carrying outthe remedial program. This could include professional engineers or quali-fied environmental professionals, as defined in Part 375, and contractualservices needed to complete site investigation field work, analyses ofenvironmental samples, or other specialized services.
3. COSTSThe Department does not anticipate a variation in compliance costs for
different types of public and private entities in rural areas. Since PFOS-acid, PFOS-salt, and PFOS-related substances was restricted beginning in2002 and, under the EPA’s Stewardship Program addressing PFOA-related substances, eight companies voluntarily removed PFOA-acid,PFOA-salt, and PFOA-related substances from new products by December2015, and because the substantive CBS tank system requirements forhandling and storing PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-saltwill not apply until April 25, 2018, the Department expects that thecompliance costs for meeting the CBS requirements will be minimal. Haz-ardous substances regulated under Parts 596-599 are most commonlystored in stationary aboveground tank systems with a capacity greater than185 gallons. Registration fees apply to each regulated tank and dependupon the capacity of each tank. The fees range from $50 per tank for tankswith capacities less than 550 gallons to $125 per tank for capacities greaterthan 1,100 gallons. If a facility discontinues storage by April 25, 2018,when the storage and handling standards go into effect, there will be noother substantive costs.
The prohibition of releases of hazardous substances is not expected to
present significant compliance costs for public or private entities in ruralareas with the possible exception of entities in possession of fire-fightingfoams (Aqueous Film Forming Foam - AFFF) that contain PFOA-relatedor PFOS-related substances. This emergency rule and proposed rule addsa provision to allow facilities with fire-fighting foam the time necessary todetermine if stored foam contains one or more of these substances. If thestored foam contains one of these substances, the facility would be
NYS Register/August 10, 2016 Rule Making Activities
10required to arrange for the disposal of the foam by April 25, 2017. Replace-
ment foam may not contain a hazardous substance. The older foams maybe disposed of as solid waste in a permitted landfill since these substancesdo not meet the definition of Resource Conservation and Recovery wasteswhen disposed properly. The cost to replace the foam ranges from $16 to$32 per gallon, dependent on the amount and type of foam that is beingstored. Prior to April 25, 2017, entities storing this foam will be allowed touse the foam, as needed, to fight fires to protect public safety. However, ifthe foam containing one or more of these hazardous substances is releasedto the environment in an amount that exceeds the RQ (one pound), therelease must be reported to the spill hotline to allow the Department todetermine if any remediation of the release is appropriate.
The costs of complying with the requirements of Part 375 to implement
a remedial program where PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt are the primary contaminants, will vary widely as the costs dependupon many factors. These include the quantity released to the environ-ment, the media contaminated (e.g., soil, groundwater, surface water, sedi-ment, bedrock), the horizontal and vertical extent of contamination foreach medium, the accessibility of the contamination, whether there are hu-man or environmental receptors that must be protected while a remedialprogram is being undertaken, the difficulty of removing PFOA-acid,PFOA-salt, PFOS-acid and PFOS-salt from the contaminated environmen-tal media, the future anticipated use of the area of contamination, andother factors. Because of the wide variety of scenarios, it is not possible tomeaningfully estimate the potential costs to persons managing PFOA-acid, PFOA-salt, PFOS-acid and PFOS-salt in rural areas resulting fromthe listing of PFOA-acid, PFOA-salt, PFOS-acid and PFOS-salt as haz-ardous substances other than to note that remedial program costs for otherhazardous substances can range from the thousands to millions of dollarson a case-by-case basis.
4. MINIMIZING ADVERSE IMPACTThe Department is adopting this emergency rule and proceeding with
this proposed rule based upon the conclusion of the New York StateDepartment of Health (NYSDOH) that the combined weight of evidencefrom human and experimental animal studies indicates that prolongedexposure to significantly elevated levels of these compounds can affecthealth and, consequently, pose a threat to public health in New York Statewhen improperly treated, stored, transported, disposed of or otherwisemanaged. NYSDOH scientists have concluded that it is essential to listthese chemicals as hazardous substances. See the Regulatory Impact State-ment for additional information, including NYSDOH’s letter requestingthat these chemicals be added to the List of Hazardous Substances (Sec-tion 597.3).
This action does not lend itself to the mitigating measures listed in State
Administrative Procedure Act section 202-bb(2), but there are existingrequirements established in the regulations that help to minimize adverseimpacts. For example, the CBS regulations allow a two-year period after anew chemical is added to the list of hazardous substances before thehandling and storage requirements of Part 598 apply to facilities withexisting storage of the chemical (subdivision 598.1[h]). In addition, theDepartment has determined through other rule making actions that theremaining regulatory compliance provisions, including the storage,handling, release prohibition, and disposal provisions, appropriately applyto persons managing hazardous substances in rural areas.
5. RURAL AREA PARTICIPATIONThe Department is providing statewide outreach to persons who are
subject to this emergency and proposed rule, including those in rural areas.The Department will ensure public notice and input by issuing public no-tices in the State Register, newspapers, and the Department’s Environmen-tal Notice Bulletin; holding a comment period of at least 45 days; andholding public hearings. Interested parties will have the opportunity tosubmit written comments and participate in the public hearings. TheDepartment will also post relevant rule making documents on theDepartment’s website.
6. INITIAL REVIEW OF THE RULEThe Department will conduct an initial review of the rule within three
years of the promulgation of the final rule.
Job Impact Statement
1. NATURE OF IMPACTThrough the emergency rule and proposed rule, the New York State
Department of Environmental Conservation (Department):
1. Adds perfluorooctanoic acid (PFOA-acid, Chemical Abstracts Ser-
vice No. 335-67-1), ammonium perfluorooctanoate (PFOA-salt, CAS No.3825-26-1), perfluorooctane sulfonic acid (PFOS-acid, CAS No. 1763-23-1), and perfluorooctane sulfonate (PFOS-salt, CAS No. 2795-39-3) to thelist of hazardous substances in 6 NYCRR Section 597.3 (Section 597.3);
2. Allows fire-fighting foam containing PFOA-acid, PFOA-salt, PFOS-
acid, or PFOS-salt to be used to fight fires (but not for training or anyother purposes) on or before April 25, 2017, a use which would nototherwise be allowed under the regulation since the release of a hazardoussubstance is prohibited; and3. Corrects the list of hazardous substances by providing units for
reportable quantities (RQs).
The substantive effects of listing of these substances in Section 597.3 is
to (1) make the handling and storage of PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt subject to the registration and other regulatory stan-dards for Chemical Bulk Storage (CBS) facilities (6 NYCRR Parts 596-599); (2) prohibit the unauthorized release of PFOA-acid, PFOA-salt,PFOS-acid, and PFOS-salt to the environment (subdivision 597.4[a]) andrequire that any releases above the RQ (one pound) be reported to the
Department (subdivision 597.4[b]); and (3) make the investigation andremediation of releases of PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt to the environment subject to the Department’s remedial programrequirements (6 NYCRR Part 375).
The substantive effect of allowing fire-fighting foam to be used to fight
fires (but not for training or any other purposes) on or before April 25,2017 is to provide entities the time necessary to determine if stored foamcontains one or more of these hazardous substances and replace any foamsas necessary. If stored foam contains one of these substances, a facilitywould have to arrange for the proper disposal of the foam in accordancewith all local, state, and federal requirements. Replacement foam may notcontain a hazardous substance at a concentration that would result in therelease of more than the RQ (one pound) when used as a fire-fightingfoam. The older foams may be disposed of as solid waste in a permittedlandfill since these substances are not Resource Conservation andRecovery Act wastes when disposed properly.
The effect of correcting the tables listing hazardous substances is to
include the units for RQs to remove uncertainty regarding when a releasemust be reported.
Under the federal Toxic Substances Control Act, the United States
Environmental Protection Agency (USEPA) has worked with industry tovoluntarily phase out the use of PFOA-related substances by December2015, and proposed a significant new use rule (SNUR) to limit the produc-tion and importation of PFOA-related substances in anticipation of thephase-out deadline (80 FR 2885; January 21, 2015). USEPA completedthe SNUR to limit the production and importation of PFOS-related sub-stances in 2002.
Since production of PFOA-related and PFOS-related substances has al-
ready been reportedly phased out or restricted, and alternative substanceshave been developed to take the place of these hazardous substances, theDepartment does not expect this rule to have a significant impact on jobsand employment either in terms of lost jobs or the creation of new jobs.Employment opportunities should remain the same or may increase some-what due to remediation activities.
2. CATEGORIES AND NUMBERS AFFECTEDSince PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt are report-
edly no longer being produced in the United States, the CBS regulationswould only apply to stored PFOA-containing or PFOS-containing materi-als produced before the phase-out. Since replacement materials are al-ready in place and the number of facilities storing PFOA or PFOS inquantities large enough to be subject to the CBS regulations is expected tobe small, the number of jobs affected is expected to be small. Existing em-ployees may be required to arrange for the disposal of older stocks ofPFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt containing materials,but this should not require the creation of new jobs or the loss of existingjobs.
Where PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt has previ-
ously been released to the environment in ways that make the resultingcontamination subject t o a 6 NYCRR Part 375 remedial program, a limited
number of jobs may be created in order to complete the necessaryinvestigations and remediation of the sites. Job categories would include,for example, drilling contractors and other heavy equipment operators,field investigation technicians, hydrogeologists, engineers, analyticalchemists and technicians, and others with training and experience relatedto site remediation.
The number of sites that may become remedial sites because of the ad-
dition of PFOA-acid, PFOA-salt, PFOS-acid, and PFOS-salt to Section597.3 is unknown. The Department has placed one site on the Registry ofInactive Hazardous Waste Disposal Sites (Registry) as a result of addingPFOA-acid to Section 597.3 (Site Registry ID No. 442046). The Depart-ment expects that other sites that used PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt in commercial or industrial processes may have PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt environmental contamination.Locations where PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-salt dis-posal occurred or where PFOA-acid, PFOA-salt, PFOS-acid, or PFOS-saltwere components of materials released to the environment may becomeremedial sites subject to the requirements of Part 375. Nationally, researchby the United States Department of Defense (DoD) found that ap-proximately 600 DoD sites are categorized as fire/crash/training areas andthus have the potential for contamination with perfluoroalkyl compounds(including PFOA-related and PFOS-related substances) due to historical
NYS Register/August 10, 2016 Rule Making Activities
11use of aqueous film-forming foams (AFFF) [Strategic Environmental
Research and Development Program (SERDP), FY 2014 Statement ofNeed (SON), Environmental Restoration (ER) Program Area, “In SituRemediation of Perfluoroalkyl Contaminated Groundwater,” SONNumber: ERSON-14-02, October 25, 2012]. It is possible that the Depart-ment will list additional Registry sites. The work needed to investigateand remediate these sites may be accomplished by existing staff or newjobs may be added depending upon the number and complexity of sites.
3. REGIONS OF ADVERSE IMPACTThere are no regions of the State expected to be disproportionately
impacted by the emergency rule and proposed rule as they apply statewide.There is no reason to expect that PFOA-acid, PFOA-salt, PFOS-acid, orPFOS-salt issues will be concentrated in one area over another to any sig-nificant degree.
4. MINIMIZING ADVERSE IMPACTFor the reasons described above, the emergency rule and proposed rule
are not expected to have a significant adverse impact on jobs andemployment.
5. SELF-EMPLOYMENT OPPORTUNITIESThe emergency rule and proposed rule are not expected to impact self-
employment opportunities.
6. INITIAL REVIEW OF RULEThe Department will conduct an initial review of the rule within three
years of the promulgation of the final rule.
New York State Gaming
Commission
NOTICE OF ADOPTION
Thoroughbred Restricted Time Periods for Various Drugs
I.D. No. SGC-39-15-00005-A
Filing No. 735
Filing Date: 2016-07-26
Effective Date: 2016-08-10
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: Amendment of section 4043.2(a) and (e) of Title 9 NYCRR.
Statutory authority: Racing, Pari-Mutuel Wagering and Breeding Law,
sections 103(2), 104(1), (19) and 122
Subject: Thoroughbred restricted time periods for various drugs.
Purpose: To enhance the integrity and safety of thoroughbred horse racing.
Text or summary was published in the September 30, 2015 issue of the
Register, I.D. No. SGC-39-15-00005-RP.
Final rule as compared with last published rule: No changes.
Revised rule making(s) were previously published in the State Register
onSeptember 30, 2015.
Text of rule and any required statements and analyses may be obtained
from: Kristen Buckley, New York State Gaming Commission, One
Broadway Center, P.O. Box 7500, Schenectady, New York 12301, (518)388-3407, email: gamingrules@gaming.ny.gov
Initial Review of Rule
As a rule that does not require a RFA, RAFA or JIS, this rule will be
initially reviewed in the calendar year 2021, which is no later than the 5thyear after the year in which this rule is being adopted.
Assessment of Public Comment
The agency received no public comment.
NOTICE OF ADOPTION
Simplifying How a Trainer May Alter the Use of Hopples
I.D. No. SGC-22-16-00004-A
Filing No. 736
Filing Date: 2016-07-26
Effective Date: 2016-08-10
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:Action taken: Amendment of sections 4113.5 and 4117.3 of Title 9
NYCRR.
Statutory authority: Racing, Pari-Mutuel Wagering and Breeding Law,
sections 103(2), 104(1), (19) and 301(1)
Subject: Simplifying how a trainer may alter the use of hopples.
Purpose: To preserve the integrity of pari-mutuel racing while generating
reasonable revenue for the support of government.
Text or summary was published in the June 1, 2016 issue of the Register,
I.D. No. SGC-22-16-00004-P.
Final rule as compared with last published rule: No changes.
Text of rule and any required statements and analyses may be obtained
from: Kristen Buckley, New York State Gaming Commission, One
Broadway Center, P.O. Box 7500, Schenectady, New York 12301, (518)388-3407, email: gamingrules@gaming.ny.gov
Initial Review of Rule
As a rule that does not require a RFA, RAFA or JIS, this rule will be
initially reviewed in the calendar year 2021, which is no later than the 5thyear after the year in which this rule is being adopted
Assessment of Public Comment
The agency received no public comment.
NOTICE OF ADOPTION
Decoupling of Harness Horses in Major Stakes Races
I.D. No. SGC-22-16-00005-A
Filing No. 738
Filing Date: 2016-07-26
Effective Date: 2016-08-10
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: Amendment of section 4111.15 of Title 9 NYCRR.
Statutory authority: Racing, Pari-Mutuel Wagering and Breeding Law,
sections 103(2), 104(1), (19) and 301(1)
Subject: Decoupling of harness horses in major stakes races.
Purpose: To preserve the integrity of pari-mutuel racing while generating
reasonable revenue for the support of government.
Text or summary was published in the June 1, 2016 issue of the Register,
I.D. No. SGC-22-16-00005-P.
Final rule as compared with last published rule: No changes.
Text of rule and any required statements and analyses may be obtained
from: Kristen Buckley, New York State Gaming Commission, One
Broadway Center, P.O. Box 7500, Schenectady, New York 12301, (518)388-3407, email: gamingrules@gaming.ny.gov
Initial Review of Rule
As a rule that does not require a RFA, RAFA or JIS, this rule will be
initially reviewed in the calendar year 2021, which is no later than the 5thyear after the year in which this rule is being adopted.
Assessment of Public Comment
The Gaming Commission received public comments from The Hambleto-
nian Society and from management of Tioga Downs and Vernon Downsracetracks in support of adopting the proposed amendments.
NOTICE OF ADOPTION
Voidable Claims Based on Race Day Samples
I.D. No. SGC-23-16-00006-A
Filing No. 737
Filing Date: 2016-07-26
Effective Date: 2016-08-10
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: Amendment of sections 4038.19(a) and 4109.7(a) of Title 9
NYCRR.
Statutory authority: Racing, Pari-Mutuel Wagering and Breeding Law,
sections 103(2), 104(1), (19) and 301(1)
Subject: Voidable claims based on race day samples.
Purpose: To enhance the safety and integrity of horse racing while
generating a reasonable return for government.NYS Register/August 10, 2016 Rule Making Activities
12Text or summary was published in the June 8, 2016 issue of the Register,
I.D. No. SGC-23-16-00006-P.
Final rule as compared with last published rule: No changes.
Text of rule and any required statements and analyses may be obtained
from: Kristen Buckley, New York State Gaming Commission, One
Broadway Center, P.O. Box 7500, Schenectady, New York 12301, (518)388-3407, email: gamingrules@gaming.ny.gov
Initial Review of Rule
As a rule that does not require a RFA, RAFA or JIS, this rule will be
initially reviewed in the calendar year 2021, which is no later than the 5thyear after the year in which this rule is being adopted.
Assessment of Public Comment
The agency received no public comment.
NOTICE OF ADOPTION
Criteria for the Licensing, Conduct and Operation of
Independent Testing Laboratories
I.D. No. SGC-23-16-00014-A
Filing No. 739
Filing Date: 2016-07-26
Effective Date: 2016-08-10
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: Addition of Part 5318; and amendment of sections 5100.2
and 5118.6 of Title 9 NYCRR.
Statutory authority: Racing, Pari-Mutuel Wagering and Breeding Law,
sections 104(19), 1307(1), 1303, 1326(1) and 1335(8); Tax Law, section1617-a(c)
Subject: Criteria for the licensing, conduct and operation of independent
testing laboratories.
Purpose: To govern the licensing, conduct and operation, testing and
reporting requirements of independent testing laboratories.
Text or summary was published in the June 8, 2016 issue of the Register,
I.D. No. SGC-23-16-00014-P.
Final rule as compared with last published rule: No changes.
Text of rule and any required statements and analyses may be obtained
from: Kristen Buckley, Acting Secretary, New York State Gaming Com-
mission, One Broadway Center, 6th Fl., Schenectady, NY 12305, (518)388-3407, email: gamingrules@gaming.ny.gov
Initial Review of Rule
As a rule that does not require a RFA, RAFA or JIS, this rule will be
initially reviewed in the calendar year 2021, which is no later than the 5thyear after the year in which this rule is being adopted.
Assessment of Public Comment
The Gaming Commission received a comment from one entity, Allen &
Desnoyers LLP on behalf of Gaming Laboratories International, LLC inregard to this proposed rulemaking. The Commission has considered thecomment and decided that no changes are appropriate at this time. Inparticular:
1. Proposed Rule 5318.3. The commenter recommends that indepen-
dent testing laboratories seeking licensure should be able to demonstrate,through clear and convincing evidence, its financial suitability, stabilityand viability to the Commission. The Commission believes there is noneed to duplicate those requirements in the proposed rule. Pursuant toRacing, Pari-Mutuel Wagering and Breeding Law section 1326(1), inde-pendent testing laboratories are casino vendor enterprises. Casino vendorenterprises must qualify under the standards for qualification of a casinokey employee under Racing, Pari-Mutuel Wagering and Breeding Law
section 1326(4). Thus, the laboratories must establish by clear andconvincing evidence the financial stability of the applicant under Racing,Pari-Mutuel Wagering and Breeding Law section 1323(2)(a). To do so,the laboratories must complete the vendor license application form thatincludes financial suitability information.
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Licensing and Registration of Gaming Facility Employees and
Vendors
I.D. No. SGC-32-16-00001-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 5303 through 5307 of Title 9
NYCRR.
Statutory authority: Racing, Pari-Mutuel Wagering and Breeding Law,
sections 104(19), 1307(1), (2), 1322, 1323, 1324, 1325, 1326 and 1327
Subject: Licensing and registration of gaming facility employees and
vendors.
Purpose: To govern the licensing and registration of gaming facility em-
ployees and vendors.
Substance of proposed rule (Full text is posted at the following State
website:www.gaming.ny.gov): The proposed amendments to Parts 5303
through 5307 of Subtitle T of Title 9 NYCRR clarifies the licensing andregistration process required by the New York Gaming Commission(“Commission”) for gaming facility employees and vendors.
Section 5303.9 clarifies the Commission’s expectations in regard to
updating a submitted application. Section 5303.15 (renumbered as section5303.14) specifies the process and circumstances under which an applicantwho has been denied a license or registration, or a licensee or registrantwhose license or registration has been revoked, may re-apply for a newlicense or registration. Section 5306.2(b) applies the statutory disqualifica-tion criteria to applicants for a non-gaming employee registration. Section5306.4 sets the term for a non-gaming employee registration at five years,to match the statutory five-year duration for a casino key employee andgaming employee license. Section 5307.2 revises language to allow formore entities to be categorized as vendor registrants rather than ancillarycasino vendor enterprises. Section 5307.3 designates groups of vendorswho are not required to be licensed or registered. Section 5307.5 clarifiesthe forms required for licensing of casino vendor enterprises or ancillarycasino vendor enterprises, the standards applicable to such licensing, theforms required for registration of employees of vendor registrants and thestandards applicable to such employee registrants.
Text of proposed rule and any required statements and analyses may be
obtained from: Kristen Buckley, New York State Gaming Commission,
One Broadway Center, 6th Floor, Schenectady, NY 12305, (518) 388-3407, email: kristen.buckley@gaming.ny.gov
Data, views or arguments may be submitted to: Same as above.
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement
1. STATUTORY AUTHORITY: Racing, Pari-Mutuel Wagering and
Breeding Law (“Racing Law”) section 104(19) grants authority to theGaming Commission (“Commission”) to promulgate rules and regulationsthat it deems necessary to carry out its responsibilities. Racing Law sec-tion 1307(1) grants rule making authority to the Commission to imple-ment, administer and enforce the provisions of Racing Law Article 13.
Racing Law section 1307(2) prescribes that the Commission regulate,
among other things: the methods and forms of application and registrationthat any applicant or registrant shall follow and complete; the methods,procedures, and form for delivery of information concerning any person’sfamily, habits, character, associates, criminal record, business activitiesand financial affairs; the procedures for the fingerprinting of an employeeof a licensee, or registrant; the manner and method of collection of pay-ments of fees; and the grounds and procedures for the revocation orsuspension of licenses and registrations.
Racing Law section 1322 requires the Commission to regulate the form
by which applicants, licensees and registrants provide information pertain-ing to their qualifications for licensure or registration.
Racing Law section 1323 requires the Commission to regulate the
procedures for photographing and fingerprinting applicants, licensees andregistrants for identification and investigation purposes.
Racing Law section 1324 requires the Commission to regulate the
method and form of registration that a gaming employee shall follow andcomplete, and the form for delivery of information pertaining to a gamingemployee’s qualifications for registration.
Racing Law section 1325 requires the Commission to establish by
regulation appropriate fees to be paid upon the filing of the requiredapplications.
Racing Law section 1326 requires the Commission to establish by
regulation the time period during which a casino vendor may conductbusiness transactions with a gaming facility applicant or licensee prior tothe casino vendor receiving a license. Racing Law section 1326 alsorequires the Commission to regulate the method and form of vendorregistration.
Racing Law section 1327 requires the Commission to establish by
regulation appropriate fees to be imposed on vendor registrants.
2. LEGISLATIVE OBJECTIVES: The above referenced statutory pro-
visions carry out the legislature’s stated goal “to tightly and strictly”regulate casinos “to guarantee public confidence and trust in the cred-ibility and integrity of all casino gambling in the state and to preventNYS Register/August 10, 2016 Rule Making Activities
13organized crime from any involvement in the casino industry” as set forth
in Racing Law section 1300(10).
3. NEEDS AND BENEFITS: The proposed amendments implement
the above listed statutory directives regarding the establishment of licens-ing and registration requirements for gaming facility employees andvendors. The proposed amendments provide specificity with respect toupdating information contained in their applications, specifying the pro-cess of reapplication after a denial or revocation of a license or registra-tion, clarifying the categories of vendor licensing and designating groupsof vendors who are not required to be licensed.
4. COSTS:(a) Costs to the regulated parties for the implementation of and continu-
ing compliance with these rules: There are no new or additional costs as-
sociated with the proposed amendments. The amendments seek to clarifythe existing licensing and registration process and, in certain circum-stances, exempt specific vendors from the licensing or registration pro-cess, reducing overall costs to the gaming facilities and the vendors.
(b) Costs to the regulating agency, the State, and local governments for
the implementation of and continued administration of these rules: Thereare no new or additional costs associated with the proposed amendments.The amendments seek to clarify the existing process and, in certain cases,exempt specific vendors from the licensing or registration process, reduc-ing overall costs to the division of the state police and the Commission.The proposed amendments will not impose any additional costs on localgovernments.
(c) The information, including the source or sources of such informa-
tion, and methodology upon which the cost estimate is based: Theseproposed amendments are clarifying the process of licensing and registra-tion of gaming facility employees and vendors. They impose no additionalcosts; no methods were used to determine the costs to the regulated partiesor the Commission and the state.
5. LOCAL GOVERNMENT MANDATES: These proposed amend-
ments do not impose any mandatory program, service, duty, or responsibil-ity upon local government because the licensing and registration of gam-ing facility employees and vendors is strictly a matter of State law.
6. PAPERWORK: These proposed amendments are not expected to
impose any significant paperwork requirements for gaming facility em-ployees and vendor applicants other than the paperwork already requiredby the existing rules.
7. DUPLICATION: The proposed amendments do not duplicate,
overlap or conflict with any existing State or federal requirements.
8. ALTERNATIVES: The Commission consulted stakeholders and
reviewed other gambling jurisdiction best practices and regulations.Alternatives were discussed and considered with stakeholders andcompared to other jurisdiction regulations. These included the type of in-formation required to be updated from an employee or vendor application;the appropriate vendors to be exempt from the licensing or registrationprocess; and the types of vendors to be properly classified as ancillaryvendor enterprises.
9. FEDERAL STANDARDS: There are no federal standards applicable
to the licensing or registration of gaming employees and vendors in NewYork. It is purely a matter of New York State law.
10. COMPLIANCE SCHEDULE: The Commission anticipates that af-
fected parties will be able to achieve compliance with these proposedamendments upon adoption.
Regulatory Flexibility Analysis
1. EFFECT OF RULE: These proposed amendments impact the
licensure and registration of gaming facility employees and vendors. Smallbusiness vendors seeking to be licensed or registered will be impacted bythese amendments. Local government will not be affected by these rules.
2. COMPLIANCE REQUIREMENTS: These proposed amendments
require participating small business vendors to update their applicationwith the Commission under specific circumstances.
3. PROFESSIONAL SERVICES: No new or additional professional
services are required in order to comply with these proposed amendments.
4. COMPLIANCE COSTS: These amendments impose no new or ad-
ditional compliance costs upon the small business vendors.
5. ECONOMIC AND TECHNOLOGICAL FEASIBILITY: These
proposed amendments will not impose any technological costs on smallbusinesses or local government.
6. MINIMIZING ADVERSE IMPACT: These proposed amendments
do not impose adverse impacts on small businesses or local government.
7. SMALL BUSINESS AND LOCAL GOVERNMENT
PARTICIPATION: These proposed amendments are in response to com-ments received from industry stakeholders and affected parties. Smallbusinesses and local governments will have an additional opportunity tosubmit comments regarding these amendments during the comment pe-riod of the rule making process.
8. FOR RULES THAT EITHER ESTABLISH OR MODIFY A VIO-
LATION OR PENALTIES ASSOCIATED WITH A VIOLATION: TheCommission has an administrative hearing process in place, which
provides for notice and an opportunity to be heard, for those licensedvendors that violate the rules associated with horse racing, lottery, videolottery and charitable gaming. The Commission anticipates a similar pro-cess applying to those licensed vendors that violate Article 13 of the Rac-ing, Pari-Mutuel Wagering and Breeding Law and the related rules.
Rural Area Flexibility Analysis
Several of the development zone regions authorized to host a licensed
gaming facility, as contemplated by Racing, Pari-Mutuel Wagering andBreeding Law section 1310, are located within “rural areas” as that term isdefined in Executive Law section 481(7). The decision to locate a licensedgaming facility in a rural area will not have an adverse economic impact.In addition, these proposed amendments will not have an adverse ordisproportionate economic impact upon rural areas. Accordingly, a ruralflexibility analysis is not required and one has not been prepared.
Job Impact Statement
1. NATURE OF IMPACT: The Commission has determined that the
proposed amendments to these rules will not have a substantial adverseimpact on jobs and employment opportunities. To the contrary, these rulesare intended to create thousands of well-paying jobs. In addition, theamendments are intended to clarify the process for potential employeesand vendors to obtain a license or registration from the Commission.
2. CATEGORIES AND NUMBERS AFFECTED: It is anticipated that
up to 4 gaming facilities, as contemplated by Racing, Pari-Mutual Wager-ing and Breeding Law Article 13, would employ more than 4,000 people.In addition, the construction of the gaming facilities will generate manynew jobs.
3. REGIONS OF ADVERSE IMPACT: The Commission does not an-
ticipate regions of the state to suffer a disproportionate adverse impact inregards to jobs or employment opportunities.
4. MINIMIZING ADVERSE IMPACT: These amendments do not cre-
ate any unnecessary adverse impact on existing jobs. A positive impact onjobs and employment is anticipated.
Department of Health
NOTICE OF ADOPTION
Requirements for Manufacturers and Distributors Regarding
Controlled Substances
I.D. No. HLT-30-15-00009-A
Filing No. 708
Filing Date: 2016-07-20
Effective Date: 2016-08-10
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: Amendment of section 80.11 of Title 10 NYCRR.
Statutory authority: Public Health Law, section 3008(2)
Subject: Requirements for Manufacturers and Distributors Regarding
Controlled Substances.
Purpose: To clarify and use language consistent with current terminology
used by the State Board of Pharmacy.
Text of final rule: 80.11 Additional requirements for manufacturers and
distributors. In addition to the requirements set forth in article 33 of thePublic Health Law, holders of licenses shall comply with the followingrequirements:
(a) [Except as hereinafter provided, no person shall obtain a class 1 or 2
license for controlled substances unless he or she employs a full-timepharmacist and, except as hereinafter provided, no licensed activity shallbe conducted by a holder of a class 1 or 2 license unless such activity isunder the personal supervision of a chemist or pharmacist.] A class 1
manufacturer who produces a final product that by its composition orcombination with other ingredients is intended for human or animalconsumption and presents a potential for abuse, must employ a full-timepharmacist and the licensed controlled substance activity must be underthe personal supervision of a pharmacist or a chemist. The supervisorshall not be at the same time a supervisor of any other class 1 or class 2establishment licensed by the New York State Department of Health. Achemist is a person who meets the following requirements:
(1) possess a bachelor of science or a bachelor of arts degree in
chemistry, pharmacology or equivalent specialization and have had notless than four years of experience in the manufacture of drug products;NYS Register/August 10, 2016 Rule Making Activities
14(2) be a citizen of the United States or an alien lawfully admitted for
permanent residence in the United States;
(3) be of the age of 21 years or older;
(4) be of good moral character and, if the person has been
convicted of one or more criminal offenses, he or she must be foundeligible after a balancing of the factors set out in Article 23-A of Correc-tion Law. In accordance with that Article, no person shall be deemed notto be a chemist on account of having been previously convicted of one ormore criminal offense unless (i) there is a direct relationship between one
or more of the previous criminal offenses and the duties required of theposition or (ii) deeming the person a chemist would involve an unreason-able risk to property or the safety or welfare of a specific individual or thegeneral public. In addressing these questions, the Department shall evalu-ate all factors listed under New York State Correction Law Section 753;and
(5) not be, and not have been, a habitual user of narcotics or any
other habit-forming drugs.
(b) [A manufacturer who produces a final product that by its composi-
tion or combination with other ingredients is not intended for human oranimal consumption and does not present a potential for abuse, mayemploy either a full-time pharmacist or a person who meets the followingrequirements:
(1) possess a bachelor of science or a bachelor of arts degree in
chemistry, pharmacology or equivalent specialization and have had notless than four years of experience in the manufacture of drug products;
(2) be a citizen of the United States or an alien lawfully admitted for
permanent residence in the United States;
(3) be of the age of 21 years or over;(4) be of good moral character as attested to by affidavits signed by
either the sheriff of the county of residence, local police officials, or othersuch persons acceptable to the department;
(5) not have been convicted of a misdemeanor or felony by any court
of the State of New York, or by any court of the United States or of anyother state; and
(6) not be, and not have been, a habitual user of narcotics or any
other habit-forming drugs.]
A class 1 manufacturer who produces a final product that by its compo-
sition or combination with other ingredients is not intended for human oranimal consumption and does not present a potential for abuse, mustemploy either a full-time pharmacist or a full-time chemist and the licensedactivity in which he or she is engaged must be under the supervision of ei-ther a pharmacist, or a chemist, as defined in subdivision (a) of thissection. The supervisor shall not be at the same time a supervisor of anyother class 1 or class 2 establishment licensed by the New York StateDepartment of Health.
(c) [A distributor who does not bottle or rebottle, pack or repack, label
or relabel, controlled substances may obtain a class 2 license, providedthat the licensed activity in which he is engaged is conducted under thesupervision of a pharmacist or person approved by the department. Aperson not a pharmacist shall meet the following requirements:] An ap-
plicant for licensure who is a registered outsourcing facility pursuant toTitle 8 of the Education Law and who compounds controlled substancesnot pursuant to a patient specific prescription shall be deemed as conduct-ing manufacturing activities of controlled substances. Manufacturingactivities shall be conducted under the personal supervision of a licensedpharmacist. An applicant for licensure who is a registered wholesalerpursuant to Title 8 of the Education Law who bottles or rebottles, packs orrepacks, labels or relabels, controlled substances shall be deemed asconducting class 1 manufacturing activities of controlled substances andsubject to the requirements of subdivision (a) of this section. An applicantfor licensure who is a registered wholesaler pursuant to Title 8 of theEducation Law who does not bottle or rebottle, pack or repack, label orrelabel, controlled substances may obtain a class 2 distributor license,provided that the licensed activity in which he or she is engaged isconducted under the personal supervision of a pharmacist or a person ap-proved by the department. The supervisor shall not be at the same time asupervisor of any other establishment registered by the New York StateBoard of Pharmacy. A person not a pharmacist shall meet the followingrequirements:
(1) possess a high school diploma, or the equivalent thereof;(2) be a citizen of the United States or an alien lawfully admitted for
permanent residence in the United States;
(3) be of the age of 21 years or over;(4) [be of good moral character as attested to by affidavits signed by
either the sheriff of the county of residence, local police officials, or othersuch persons acceptable to the department;
(5) not have been convicted of a misdemeanor or felony by any
court of the State of New York, or by any court of the United States or ofany other state] be of good moral character and if the person has been
convicted of one or more criminal offenses, he or she must be foundeligible after a balancing of the factors set out in Article 23-A of Correc-
tion Law. In accordance with that Article, no distributor license shall bedenied by reason of the applicable employee having been previouslyconvicted of one or more criminal offenses unless (i) there is a direct rela-tionship between one or more of the previous criminal offenses and theduties required of the license or (ii) licensing the applicant would involvean unreasonable risk to property or the safety or welfare of a specific indi-vidual or the general public. In determining these questions, the agencywill look at all factors listed under New York State Correction Law Sec-
tion 753;
[(6)] (5)not be, and not have been, an habitual user of narcotics or
other habit-forming drugs; and
[(7)] (6)have had not less than eight years of experience in the
wholesaling of controlled substances, or such other experience determinedby the department to be the equivalent thereof.
(d) Persons conducting manufacturing activities of controlled sub-
stances within the State of New York shall obtain a class 1 license fromthe department.
(e) Persons conducting manufacturing activities of controlled sub-
stances outside of the State of New York and doing business within theState of New York shall obtain a class 1a license from the department. A
class 1a license applicant shall meet the following requirements:
(1) the out-of-state manufacturer possesses a valid New York State
Board of Pharmacy registration or exemption; and
(2) the out-of-state manufacturer possesses a valid U.S. Drug
Enforcement Administration registration; and
(3) based on the application, the commissioner is satisfied that the
out-of-state manufacturer will be able to maintain effective control againstdiversion of controlled substances.
(f) Persons conducting distributing activities of controlled substances
within the State of New York shall obtain a class 2 license from the depart-ment, except that;
(1) Except in an adult care facility subject to provisions of Title 18
NYCRR Parts 487, 488 and 490, a pharmacy may distribute a controlledsubstance to a practitioner in a Class 3a institutional dispenser limitedsolely for stocking in sealed emergency medication kits. Such distributionshall be pursuant only to a written request by the Class 3a facility indicat-ing the name and address of the facility, the name and address of thepharmacy, the date of the request, the type and quantity of the drugrequested and the signature of the authorized person making the request.With each distribution, the pharmacy shall provide the Class 3a facilitywith an itemized list indicating the name and address of the pharmacy, thename and address of the Class 3a facility, the date of the distribution, thetype and quantity of the drug distributed, and the signature of thepharmacist.
(g) Out-of-State persons conducting distributing activities of controlled
substance to persons within the State of New York shall obtain a class 2alicense from the department. A class 2a license applicant shall meet the
following requirements:
(1) the out-of-state distributor possesses a valid New York State
Board of Pharmacy registration or exemption; and
(2) the out-of-state distributor possesses a valid U.S. Drug Enforce-
ment Administration registration; and
(3) based on the application, the commissioner is satisfied that the
out-of-state distributor will be able to maintain effective control againstdiversion of controlled substances.
(h) All persons authorized to manufacture or distribute controlled sub-
stances shall accept returns of such controlled substances manufactured ordistributed by them, and either destroy them or provide for the return, dis-position, and disposal of such controlled substances in a manner approvedby the Department pursuant to section 80.51(c)(2).
(i) An individual who is designated as the supervisor of controlled
substance activity pursuant to subdivisions (a), (b) or (c) of this sectionshall be responsible for the following non-delegable tasks:
(1) maintaining all required records relating to the purchase and
distribution of all controlled substances manufactured or repacked at thatfacility;
(2) providing for the proper storage of controlled substances in or-
der to prevent loss or theft;
(3) assuring security and limiting access to all areas holding con-
trolled substances;
(4) insuring against all unauthorized sales or distribution of con-
trolled substances to establishments or professionals not authorized toreceive such items;
(5) issuing verbal and written notice to each of his or her subordinates
concerning the applicable state and federal laws, regulations and rules toensure full compliance;
(6) for manufacturers, assuring that all Good Manufacturing
Procedures as outlined by the FDA are followed; and
(7) for manufacturers engaged in compounding of controlled sub-NYS Register/August 10, 2016 Rule Making Activities
15stances, assuring that all controlled substances are compounded under
the personal supervision of a licensed pharmacist.
Final rule as compared with last published rule: Nonsubstantive changes
were made in section 80.11(a)(4), (b) and (c).
Text of rule and any required statements and analyses may be obtained
from: Katherine Ceroalo, DOH, Bureau of House Counsel, Reg. Affairs
Unit, Room 2438, ESP Tower Building, Albany, NY 12237, (518) 473-7488, email: regsqna@health.ny.gov
Revised Regulatory Impact Statement
Statutory Authority:PHL 3308 authorizes the Commissioner to promulgate regulations
which are necessary and proper to supplement the provisions of Article 33to effectuate its purposes and intent.
Additionally, PHL 3390 authorizes the Commissioner to revoke a
license or certificate issued under Article 33 in whole or in part upon afinding that the licensee or certificate holder has been convicted in anyjurisdiction relating to a substance listed as a controlled substance inArticle 33.
PHL 3312 contains the licensure requirements for manufacturers and
distributors of controlled substances. It requires applicants to demonstratethat they are of good moral character and to report whether they have anyconvictions relating to or arising out of the manufacture or distribution ofdrugs.
Legislative Objectives:The purpose of PHL Article 33 is to prevent the illegal use of and trade
in controlled substances and to provide for the legitimate use of controlledsubstances in health care.
Needs and Benefits:The current section 80.11is amended to ensure consistency with Cor-
rection Law Article 23-A’s balancing test that is used when reviewing ap-plication forms for applicants and existing providers who have criminalconvictions.
The proposed regulations also clarify when a chemist and/or pharmacist
is required to be employed, on-site, or in a supervisory position. Languageis also updated to provide consistency with the State Education Depart-ment State Board of Pharmacy registration requirements.
Costs for the Implementation of and Continuing Compliance with these
Regulations to the Regulated Entity:
The proposed rule does not impose any new costs on the regulated
parties.
Cost to State and Local Government:There will be no costs to the general public, state and local government.Cost to the Department of Health:The Department of Health will not incur any additional costs.Local Government Mandates:These provisions do not add any additional mandates to local
governments.
Paperwork:The regulation proposes no new reporting or filing requirements.Duplication:This measure does not duplicate, overlap or conflict with a State or
federal statute or rule.
Alternative Approaches:There are no other viable alternative approaches.Federal Requirements:This regulatory amendment does not exceed any minimum standards of
the federal government for the same or similar subject areas.
Compliance Schedule:This proposal will go into effect upon publication of a Notice of Adop-
tion in the New York State Register.
Revised Regulatory Flexibility Analysis, Rural Area Flexibility Analysis
and Job Impact Statement
Changes made to the last published rule do not necessitate revision to the
previously published Regulatory Flexibility Analysis, Rural Area Flex-ibility Analysis and Job Impact Statement.
Assessment of Public Comment
The agency received no public comment.Department of Motor Vehicles
NOTICE OF ADOPTION
Special and Reserved Series Plates
I.D. No. MTV-22-16-00007-A
Filing No. 733
Filing Date: 2016-07-26
Effective Date: 2016-08-10
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: Amendment of sections 16.1, 16.3 and 16.5 of Title 15
NYCRR.
Statutory authority: Vehicle and Traffic Law, sections 215(a), 404 and
411-a
Subject: Special and reserved series plates.
Purpose: Establish guidelines for the issuance of special and reserved
series plates.
Text or summary was published in the June 1, 2016 issue of the Register,
I.D. No. MTV-22-16-00007-P.
Final rule as compared with last published rule: No changes.
Text of rule and any required statements and analyses may be obtained
from: Heidi Bazicki, DMV, 6 Empire State Plaza, Rm. 522A, Albany, NY
12228, (518) 474-0871, email: heidi.bazicki@dmv.ny.gov
Initial Review of Rule
As a rule that does not require a RFA, RAFA or JIS, this rule will be
initially reviewed in the calendar year 2021, which is no later than the 5thyear after the year in which this rule is being adopted.
Assessment of Public Comment
Comment: The Reverend Jason J. McGuire, Executive Director of New
Yorkers for Constitutional Freedoms, wrote:
1. The proposed regulations fail to set forth a process to be used by the
Commissioner in making decisions regarding the acceptability of applica-tions for reserved series license plates;
2. The proposed regulations fail to require the Commissioner to state a
reason for rejecting an application for reserved series license plates;
3. The proposed regulations fail to set forth any internal procedure for
reconsidering or appealing denials of applications for reserved serieslicense plates; and
4. The proposed regulations would give the Commissioner of the
Department of Motor Vehicles unbridled discretion in accepting or reject-ing applications for reserved series license plates. The recitation of avague, non-exclusive list of “objectionable” characteristics does notprovide an adequate safeguard against unchecked executive authority, oragainst potential viewpoint discrimination.
Response: The DMV appreciates the comments submitted by New
Yorkers for Constitutional Freedoms. We respond to its concerns asfollows:
1. The Department disagrees that the proposed regulations fail to set
forth a process regarding the acceptability of applications for reservedseries license plates. As the Regulatory Impact Statement explains, “Theproposed regulation accords with the legislative objective of giving ap-plicants for special plates notice about the DMV’s standards and proce-dures relative to the issuance of such plates.” In fact, the proposed regula-tion explains in far greater detail than the current regulation the criteria forplate issuance and denial and the process for revoking an objectionablepersonalized reserved series plate.
An agency is not required to set forth detailed procedures in a regulation.
The Court of Appeals wrote, “[W]e have said that a ‘‘rule or regulation’’is ‘‘a fixed, general principle to be applied by an administrative agencywithout regard to other facts and circumstances relevant to the regulatoryscheme of the statute it administers’’ Cubas v. Martinez, 8 NY3d 611(2007). In Cubas, the Court determined that the DMV was not required toincorporate procedures and references to forms into regulations related toqualifications for a driver’s license.
2. If the Department denies an application for a reserved series license
plate, the Department will inform the applicant of its decision. However,the Department is not required, by statute or regulation, to offer a reasonfor a denial of an application for a reserved series plate.
3. The Department is not required by statute or regulation to offer a pro-
cess to appeal the denial of an application for a reserved series plate. SuchNYS Register/August 10, 2016 Rule Making Activities
16a denial would be deemed a final determination of the agency and the ap-
plicant could pursue all remedies provided by law.
4. The Department disagrees with the statement that the “proposed
regulations would give the Commissioner of the Department of MotorVehicles unbridled discretion in accepting or rejecting applications forreserved series license plates.” The proposed rules give specific reasonsfor denying an application, in far greater detail than the current regulation.In Children First Found., Inc. v. Fiala, 790 F.3d 328, 790 F. 3d 328(2015),the Second Circuit Court of Appeals held that New York's regulationregarding custom license plates “did not impermissibly vest the DMVCommissioner with unbridled discretion in approving custom platedesigns.” The proposed regulation, which more concretely guides anagency decision regarding the issuance of reserved series plates, wouldcertainly pass Constitutional muster in light of the Children First andWalker v. Tex. Div., Sons of Confederate Veterans, Inc., 135 S. Ct. 2239(2015) decisions.
Public Service Commission
NOTICE OF ADOPTION
Submetering of Electricity
I.D. No. PSC-06-15-00003-A
Filing Date: 2016-07-21
Effective Date: 2016-07-21
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving City Point
Residential LLC's (City Point) petition to submeter electricity at 336Flatbush Avenue Extension, Brooklyn, New York.
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: Submetering of electricity.
Purpose: To approve City Point's petition to submeter electricity at 336
Flatbush Avenue Extension, Brooklyn, New York.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving City Point Residential LLC’s petition to submeterelectricity at 336 Flatbush Avenue Extension, Brooklyn, New York,subject to the terms and conditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York, 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(15-E-0005SA1)
NOTICE OF ADOPTION
Submetering of Electricity
I.D. No. PSC-42-15-00007-A
Filing Date: 2016-07-20
Effective Date: 2016-07-20
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving Sandy
Clarkson LLC's (Sandy Clarkson) petition to submeter electricity at 310Clarkson Avenue, Brooklyn, New York.
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: Submetering of electricity.
Purpose: To approve Sandy Clarkson's petition to submeter electricity at
310 Clarkson Avenue, Brooklyn, New York.Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving Sandy Clarkson LLC's petition to submeter electricity at310 Clarkson Avenue, Brooklyn, New York, subject to the terms andconditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(15-E-0553SA1)
NOTICE OF ADOPTION
Submetering of Electricity
I.D. No. PSC-45-15-00010-A
Filing Date: 2016-07-20
Effective Date: 2016-07-20
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving One
Vandam Condominium's (One Vandam) petition to submeter electricity at180 Avenue of the Americas, New York, New York.
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: Submetering of electricity.
Purpose: To approve One Vandam's petition to submeter electricity at
180 Avenue of the Americas, New York, New York.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving G-Z/10 UNP Realty, LLC's petition to submeter electric-ity at 823 First Avenue, New York, New York, subject to the terms andconditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(15-E-0594SA1)
NOTICE OF ADOPTION
AMETEK JEMStar II Power Meter
I.D. No. PSC-47-15-00010-A
Filing Date: 2016-07-21
Effective Date: 2016-07-21
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving AMETEK,
Inc.'s (AMETEK) petition to use the AMETEK JEMStar II Power Meterfor use in industrial electric meter applications in New York State.
Statutory authority: Public Service Law, section 67(1)
Subject: AMETEK JEMStar II Power Meter.
Purpose: To approve AMETEK's petition to use the AMETEK JEMStar
II in New York State.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving AMETEK, Inc.'s petition to use the AMETEK JEMStarII Power Meter for use in industrial electric meter applications in NewYork State, subject to the terms and conditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-NYS Register/August 10, 2016 Rule Making Activities
17sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-
2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(15-E-0636SA1)
NOTICE OF ADOPTION
Submetering of Electricity
I.D. No. PSC-52-15-00016-A
Filing Date: 2016-07-20
Effective Date: 2016-07-20
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving G-Z/10
UNP Realty, LLC's (G-Z/10 UNP) petition to submeter electricity at 823First Avenue, New York, New York.
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: Submetering of electricity.
Purpose: To approve G-Z/10 UNP's petition to submeter electricity at
823 First Avenue, New York, New York.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving G-Z/10 UNP Realty, LLC's petition to submeter electric-ity at 823 First Avenue, New York, New York, subject to the terms andconditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(15-E-0705SA1)
NOTICE OF ADOPTION
Submetering of Electricity
I.D. No. PSC-01-16-00004-A
Filing Date: 2016-07-21
Effective Date: 2016-07-21
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving 10 Madi-
son Square West's (10 Madison Square) petition to submeter electricity at10 Madison Square West, New York, New York.
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: Submetering of electricity.
Purpose: To approve 10 Madison Square's petition to submeter electricity
at 10 Madison Square West, New York, New York.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving 10 Madison Square West’s petition to submeter electric-ity at 10 Madison Square West, New York, New York, subject to the termsand conditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.(15-E-0707SA1)
NOTICE OF ADOPTION
CPCN and Request for Continued Lightened Regulation
I.D. No. PSC-06-16-00011-A
Filing Date: 2016-07-20
Effective Date: 2016-07-20
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving AG-
Energy, L.P.'s (AG-Energy) petition for a Certificate of Public Conve-nience and Necessity (CPCN) and request for continued lightenedregulation.
Statutory authority: Public Service Law, sections 2(13), 5(1)(b), 68(1)
and 70
Subject: CPCN and request for continued lightened regulation.
Purpose: To approve AG-Energy's petition for a CPCN and request for
continued lightened regulation.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving AG-Energy, L.P.'s petition for a Certificate of PublicConvenience and Necessity and request for continued lightened regula-tion, subject to the terms and conditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(16-E-0033SA1)
NOTICE OF ADOPTION
Submetering of Electricity
I.D. No. PSC-07-16-00015-A
Filing Date: 2016-07-21
Effective Date: 2016-07-21
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving 20
Lafayette LLC's (20 Lafayette) petition to submeter electricity at 286Ashland Place, Brooklyn, New York.
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: Submetering of electricity.
Purpose: To approve 20 Lafayette's petition to submeter electricity at 286
Ashland Place, Brooklyn, New York.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving 20 Lafayette LLC’s petition to submeter electricity at 286Ashland Place, Brooklyn, New York, subject to the terms and conditionsset forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-
2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(16-E-0016SA1)NYS Register/August 10, 2016 Rule Making Activities
18NOTICE OF ADOPTION
Use of Voltage Transformers in New York State
I.D. No. PSC-12-16-00006-A
Filing Date: 2016-07-20
Effective Date: 2016-07-20
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving Arteche
USA Corporation's (Arteche) petition to use the UCE-17, URL-17 andVCE-17 voltage transformers for commercial and industrial applicationsin New York State.
Statutory authority: Public Service Law, section 67(1)
Subject: Use of voltage transformers in New York State.
Purpose: To approve Arteche's petition to use the UCE-17, URL-17 and
VCE-17 voltage transformers in New York State.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving Arteche USA Corporation's petition to use the UCE-17,URL-17 and VCE-17 voltage transformers for commercial and industrialapplications in New York State, subject to the terms and conditions setforth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(16-E-0119SA1)
NOTICE OF ADOPTION
Accounting Changes
I.D. No. PSC-20-16-00012-A
Filing Date: 2016-07-20
Effective Date: 2016-07-20
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving Central
Hudson Gas and Electric Corporation's (Central Hudson) petition, withmodifications, to change its accounting for electric operations.
Statutory authority: Public Service Law, section 66
Subject: Accounting changes.
Purpose: To approve Central Hudson's accounting changes for electric
operations.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving Central Hudson Gas and Electric Corporation's petition,with modifications, to change its accounting for unbilled revenues forfinancial accounting and regulatory purposes, for electric operations,subject to the terms and conditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(14-E-0318SA5)NOTICE OF ADOPTION
Accounting Changes
I.D. No. PSC-20-16-00013-A
Filing Date: 2016-07-20
Effective Date: 2016-07-20
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Action taken: On 7/14/16, the PSC adopted an order approving Central
Hudson Gas and Electric Corporation's (Central Hudson) petition, withmodifications, to change its accounting for gas operations.
Statutory authority: Public Service Law, section 66
Subject: Accounting changes.
Purpose: To approve Central Hudson's accounting changes for gas
operations.
Substance of final rule: The Commission, on July 14, 2016, adopted an
order approving Central Hudson Gas and Electric Corporation's petition,with modifications, to change its accounting for unbilled revenues forfinancial accounting and regulatory purposes, for gas operations, subjectto the terms and conditions set forth in the order.
Final rule as compared with last published rule: No changes.
Text of rule may be obtained from: John Pitucci, Public Service Commis-
sion, Three Empire State Plaza, Albany, New York 12223, (518) 486-2655, email: john.pitucci@dps.ny.gov An IRS employer ID no. or socialsecurity no. is required from firms or persons to be billed 25 cents perpage. Please use tracking number found on last line of notice in requests.
Assessment of Public Comment
An assessment of public comment is not submitted with this notice because
the rule is within the definition contained in section 102(2)(a)(ii) of theState Administrative Procedure Act.
(14-G-0319SA2)
PROPOSED RULE MAKING
HEARING(S) SCHEDULED
Major Gas Rate Filing
I.D. No. PSC-32-16-00005-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Commission is considering a proposal filed by
National Fuel Gas Distribution Corporation (National Fuel) to make vari-ous changes in the rates, charges, rules and regulations contained in itsSchedule P.S.C. No . 9 — Gas.
Statutory authority: Public Service Law, sections 5, 65 and 66
Subject: Major gas rate filing.
Purpose: To consider an increase in National Fuel's gas delivery revenues
of approximately $41.7 million or 15.27%.
Public hearing(s) will be held at: 10:00 a.m., Oct. 5, 2016 and daily on
succeeding business days as needed*, at Department of Public Service,Agency Bldg. 3, 3rd Fl. Hearing Rm., Albany, NY.
*On occasion, there are requests to reschedule or postpone evidentiary
hearing dates. If such a request is granted, notification of any subsequentscheduling changes will be available at the DPS website(www.dps.ny.gov) under Case 16-G-0257.
Interpreter Service: Interpreter services will be made available to hearing
impaired persons, at no charge, upon written request submitted within rea-sonable time prior to the scheduled public hearing. The written requestmust be addressed to the agency representative designated in the paragraphbelow.
Accessibility: All public hearings have been scheduled at places reason-
ably accessible to persons with a mobility impairment.
Substance of proposed rule: The Commission is considering a proposal
filed by National Fuel Gas Distribution Corporation (National Fuel) toincrease its gas delivery revenues for the rate year ending March 31, 2018,by approximately $41.7 million (or 15.27%). National Fuel’s requestedincrease in gas delivery revenues results in a total annual bill increase ofabout $69 (7.16% on the total bill) for an average residential heatingcustomer. National Fuel also proposes to establish a new tariff schedule,P.S.C. No . 9 – Gas, which would supersede its current tariff schedule,
P.S.C. No . 8 – Gas. The initial suspension period for the proposed filingNYS Register/August 10, 2016 Rule Making Activities
19runs through and including September 27, 2016. The Commission may
adopt, reject or modify, in whole or in part, the relief proposed and mayresolve related matters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: Five days after the last scheduled
public hearing.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(16-G-0257SP1)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Performance Assurance Plan Waiver for Certain Wholesale
Service Quality Metrics
I.D. No. PSC-32-16-00003-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Public Service Commission is considering Verizon
New York Inc.'s (Verizon) petition to waive certain April and May 2016service quality metrics measured under the Performance Assurance Plan.
Statutory authority: Public Service Law, section 91(1)
Subject: Performance Assurance Plan waiver for certain wholesale ser-
vice quality metrics.
Purpose: To consider Verizon's waiver petition concerning certain
wholesale service quality results.
Substance of proposed rule: The Commission is considering Verizon
New York Inc.’s petition to waive certain April and May 2016 wholesaleservice quality results measured under the Performance Assurance Plan.The Commission may adopt, reject or modify, in whole or in part, therelief proposed and may resolve related matters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(99-C-0949SP15)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Notice of Intent to Submeter Electricity
I.D. No. PSC-32-16-00004-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Public Service Commission is considering the No-
tice of Intent, filed by 58 Corner LLC, to submeter electricity at 600 W.58th Street, New York, New York, and the request for a waiver of 16NYCRR § 96.5(k)(3), requiring an energy audit.
Statutory authority: Public Service Law, sections 2, 4(1), 30, 32-48, 52,
53, 65(1), 66(1), (2), (3), (4), (12) and (14)Subject: Notice of Intent to submeter electricity.
Purpose: To consider the Notice of Intent of 58 Corner LLC to submeter
electricity at 600 W. 58th Street, New York, New York.
Substance of proposed rule: The Commission is considering the Notice
of Intent, filed by 58 Corner LLC on June 16, 2016, to submeter electricityat 600 W. 58th Street, New York, New York, located in the service terri-tory of Consolidated Edison Company of New York, Inc. The Commis-sion is also considering Petitioner’s request for a waiver of 16 NYCRR§ 96.5(k)(3), which requires proof that an energy audit has been conductedwhen 20 percent or more of the residents receive income-based housingassistance. The Commission may adopt, reject or modify, in whole or inpart, the relief proposed and may resolve related matters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(16-E-0367SP1)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Proposed Revisions for a New Daily Delivery Service and the
Winter Bundled Sales Service
I.D. No. PSC-32-16-00006-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Commission is considering a proposal filed by
Consolidated Edison Company of New York, Inc. to revise its gas tariffschedule, P.S.C. No. 9, in regard to Daily Delivery Service and WinterBundled Sales Service.
Statutory authority: Public Service Law, section 66(12)
Subject: Proposed revisions for a new Daily Delivery Service and the
Winter Bundled Sales Service.
Purpose: To consider a new Daily Delivery Service and a modified Winter
Bundled Sales Service.
Substance of proposed rule: The Public Service Commission (Commis-
sion) is considering a proposal filed by Consolidated Edison Company ofNew York, Inc. (Con Edison or the Company) to revise its gas tariff sched-ule, P.S.C. No. 9, in regard to Daily Delivery Service (DDS) and WinterBundled Sales Service (WBSS). Con Edison proposes to establish a newDDS Program, under Service Classification No. 20 – Gas Marketers, toreplace the Company’s existing Firm Balancing Programs (Load Follow-ing Service and Managed Supply Service). The Company’s proposal willprovide Gas Marketers or their agents with daily delivery quantity require-ments to meet the forecasted gas consumption of their respective ag-gregated customers. Con Edison also proposes to continue a modifiedWBSS for the period from December 1, 2016 through March 1, 2017, andto terminate WBSS on March 1, 2017. WBSS will provide Gas Marketerswith a tool to address a potential operating condition on one of theCompany’s upstream pipelines this upcoming winter season. Under theproposed modified WBSS program, Gas Marketers will be responsible forthe reservation costs to provide WBSS, regardless of whether they electthe baseload amount prior to each month. The proposed amendments havean effective date of November 1, 2016. The Commission may adopt, reject,or modify, in whole or in part, the relief proposed and may resolve relatedmatters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.govNYS Register/August 10, 2016 Rule Making Activities
20Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(16-G-0406SP1)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Utility DSIPs to Achieve the Commission's Reforming the Energy
Vision (REV) Initiative
I.D. No. PSC-32-16-00007-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Commission is considering the Initial Distributed
System Implementation Plans (DSIPs) filed by the utilities in response tothe Commission's Order Adopting DSIP Guidance, issued on April 20,2016 in Case 14-M-0101.
Statutory authority: Public Service Law, sections 5(1), (2), 65(1), 66(1),
(2) and (3)
Subject: Utility DSIPs to achieve the Commission's Reforming the Energy
Vision (REV) initiative.
Purpose: Development of utility DSIPs for improving utility planning and
operations functions under REV.
Substance of proposed rule: The Public Service Commission (Commis-
sion) is considering the Initial Distributed System Implementation Plans(DSIPs) filed by the utilities in response to the Commission's OrderAdopting DSIP Guidance, issued on April 20, 2016 in Case 14-M-0101.Initial DSIP filings required utilities to identify immediate changes thatcould be made to their own systems to effectuate state energy goals andobjectives. DSIPs are intended to promote utility/stakeholder relations, al-low third-parties to provide cost-effective market solutions to identifiedenergy needs, expand the use of distributed energy resources (DER), andincrease energy efficient measures. The DSIP filings are the first steps to-ward establishing a grid that can support increasing levels of DERs intothe future and ultimately, achieving Reforming the Energy Vision (REV)goals and objectives. The Commission may adopt, reject, or modify, inwhole or in part, the proposed DSIPs, and may resolve other relatedmatters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(16-M-0411SP1)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Proposed Revisions to Add and Clarify Provisions Related to
Electric Generators Under SC No. 14
I.D. No. PSC-32-16-00008-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Commission is considering a proposal by Niagara
Mohawk Power Corporation d/b/a National Grid to revise provisions toelectric generators under SC No. 14—Gas Transportation Services forDual Fuel Electric Generators in P.S.C. No. 219—Gas.Statutory authority: Public Service Law, section 66
Subject: Proposed revisions to add and clarify provisions related to electric
generators under SC No. 14.
Purpose: To consider revisions to SC No. 14 - Daily Balancing Service.
Substance of proposed rule: The Public Service Commission is consider-
ing modifications proposed by Niagara Mohawk Power Corporation d/b/aNational Grid (NMPC) to Service Classification (SC) No. 14 - GasTransportation Services for Dual Fuel Electric Generators contained in itsgas tariff schedule, P.S.C. No. 219 - Gas. On December 29, 2015, NMPCproposed revisions SC No. 14 related to electric generators that taketransportation service under this service classification. On July 21, 2016,NMPC filed further revisions proposing to clarify the definitions of Daily
Gas Purchase Price and Daily Gas Sales Price. NMPC also proposes add-ing language stating customers that choose Daily Balancing Service mustbe a Direct Customer and that any customer taking balancing service froma gas balancing agent must either be a Direct Customer or in a marketingpool of a balancing agent. The proposed amendments have an effectivedate of November 1, 2016. The Commission may adopt, modify, or reject,in whole or in part, the relief proposed and may resolve other relatedmatters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(15-G-0759SP2)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Proposed Acquisition of 100% of the Assets of New Vernon and
Whitlock Farms by NYAW
I.D. No. PSC-32-16-00009-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Public Service Commission is considering a Joint
Petition filed by New York American Water Company (NYAW) Inc. andthe Estate of Edwin Silvers for the acquisition of all assets of both NewVernon Water Company and Whitlock Farms Water Company.
Statutory authority: Public Service Law, sections 4(1), 5(1), 89-c(1) and
89-h(1)
Subject: Proposed acquisition of 100% of the assets of New Vernon and
Whitlock Farms by NYAW.
Purpose: To consider the proposed acquisition of assets of New Vernon
and Whitlock Farms by NYAW.
Substance of proposed rule: The Public Service Commission is consider-
ing a joint petition filed on July 18, 2016 by the Estate of Edwin D. Silvers(Phyllis Silvers, Executrix) (the Seller) and New York American WaterCompany Inc. (NYAW) for approval of an Agreement of Sale under whichseller will sell and NYAW will purchase 100 percent of the water supplyassets of New Vernon Water Company (New Vernon) along with all stockand 100 percent of water supply assets of Whitlock Farms Water Company(Whitlock Farms) (collectively known as the Companies). New Vernonprovides flat rate water service to approximately 72 customers in the Townof Mount Hope in Orange County and the Town of Mamakating in Sul-livan County. Whitlock Farms provides flat rate water service to ap-proximately 32 customers in Mount Hope, Orange County. NYAWproposes, upon the close of the transaction, the installation of commissionapproved meters at all customer connections, the implementation of aSupervisory Control and Data Acquisition (SCADA) system at each facil-ity, the construction of a treatment plant to address Department of Healthconcerns at the Whitlock facility, replacement of the building whichhouses the chemical injection systems of New Vernon while upgradingthe equipment within including the Hydro-pneumatic tank and pumps.NYS Register/August 10, 2016 Rule Making Activities
21NYAW would also update the electrical systems of New Vernon and
install a back-up generator to continue service during outages. All theseprojects would be funded by the capital budget of NYAW. NYAWproposes that the current customers of New Vernon and Whitlock Farmswould eventually be transitioned to the Lynbrook District Tariff. Addition-ally, NYAW requests the authority to maintain the books and records ofNew Vernon and Whitlock Farms outside the state, seeks recovery ofcertain environmental expenses related to the acquisition, and requestswaiver of certain requirements of 16 NYCRR § 31.1 related to informa-tion to be provided in the petition. The Commission may adopt, reject, ormodify, in whole or in part, the joint petition and may resolve relatedmatters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(16-W-0402SP1)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Notice of Intent to Submeter Electricity
I.D. No. PSC-32-16-00010-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Public Service Commission is considering the No-
tice of Intent, filed by The Residential Board of Managers of 30 Park PlaceCondominium, to submeter electricity at 30 Park Place, New York, NewYork.
Statutory authority: Public Service Law, sections 2, 4(1), 30, 32-48, 52,
53, 65(1), 66(1), (2), (3), (4), (12) and (14)
Subject: Notice of Intent to submeter electricity.
Purpose: To consider the Notice of Intent to submeter electricity at 30
Park Place, New York, New York.
Substance of proposed rule: The Commission is considering the Notice
of Intent, filed by The Residential Board of Managers of 30 Park PlaceCondominium on June 29, 2016, to submeter electricity at 30 Park Place,New York, New York, located in the service territory of ConsolidatedEdison Company of New York, Inc. The Commission may adopt, reject ormodify, in whole or in part, the relief proposed and may resolve relatedmatters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(16-E-0391SP1)PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Notice of Intent to Submeter Electricity
I.D. No. PSC-32-16-00011-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Public Service Commission is considering the No-
tice of Intent, filed by Flushing Commons Property Owner, LLC, tosubmeter electricity at 138-35 39th Avenue, Flushing, New York.
Statutory authority: Public Service Law, sections 2, 4(1), 30, 32-48, 52,
53, 65(1), 66(1), (2), (3), (4), (12) and (14)
Subject: Notice of Intent to submeter electricity.
Purpose: To consider the Notice of Intent to submeter electricity at 138-35
39th Avenue, Flushing, New York.
Substance of proposed rule: The Commission is considering the Notice
of Intent, filed by Flushing Commons Property Owner, LLC on June 28,2016, to submeter electricity at 138-35 39th Avenue, Flushing, New York,located in the service territory of Consolidated Edison Company of NewYork, Inc. The Commission may adopt, reject or modify, in whole or inpart, the relief proposed and may resolve related matters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(16-E-0387SP1)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Benefit-Cost Analysis Handbooks
I.D. No. PSC-32-16-00012-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Commission is considering Benefit-Cost Analysis
Handbooks filed on June 30, 2016 by investor-owned electric utilities.
Statutory authority: Public Service Law, sections 5(1), (2), 65 and 66
Subject: Benefit-Cost Analysis Handbooks.
Purpose: To evaluate proposed methodologies of benefit-cost evaluation.
Substance of proposed rule: The Public Service Commission (Commis-
sion) is considering Benefit-Cost Analysis Handbooks filed the State’sinvestor-owned electric utilities owning transmission and distribution fa-cilities (Utilities) on June 30, 2016. The Utilities filed the Handbooks incompliance with the Commission’s January 21, 2016 Order Establishingthe Benefit-Cost Analysis Framework in Case 14-M-0101. The Commis-sion may adopt, reject, or modify, in whole or in part, the relief proposedand may resolve related matters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: john.pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) of
the State Administrative Procedure Act.NYS Register/August 10, 2016 Rule Making Activities
22(16-M-0412SP1)
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Continued Deferral of $300,000 in Property Taxes
I.D. No. PSC-32-16-00021-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: The Commission is considering a petition of New York
American Water Company, Inc. to reduce its property tax reconciliationsurcharge by further continuing to defer $300,000 of the company'soutstanding balance.
Statutory authority: Public Service Law, sections 89-b and 89-c
Subject: Continued deferral of $300,000 in property taxes.
Purpose: To consider the continued deferral of $300,000 in property taxes.
Substance of proposed rule: The Commission is considering a petition
filed by New York American Water Company, Inc. (the Company) onJune 1, 2016 regarding its annual Revenue and Property Tax Reconcilia-tion Mechanism (RPCRC) for the rate year ending March 1, 2016. Due tothe significant size of the property tax component ($375.88 per customer),the Company proposed using an earning sharing refund for its Sea CliffDistrict to reduce the size of the surcharge by $7.84 per customer. On July25, 2016, the Company proposed to further reduce the surcharge bycontinuing to defer $300,000 of its property tax reconciliation balance,reducing the surcharge amount by $70.08 to $279.96 per customer. TheCommission may adopt, reject, or modify, in whole or in part, the reliefproposed and may resolve related matters.
Text of proposed rule and any required statements and analyses may be
obtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: John
Pitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: John.Pitucci@dps.ny.gov
Data, views or arguments may be submitted to: Kathleen H. Burgess,
Secretary, Public Service Commission, 3 Empire State Plaza, Albany,New York 12223-1350, (518) 474-6530, email: secretary@dps.ny.gov
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement, Regulatory Flexibility Analysis, Rural
Area Flexibility Analysis and Job Impact Statement
Statements and analyses are not submitted with this notice because the
proposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.
(16-W-0410SP1)NYS Register/August 10, 2016 Rule Making Activities
23