Source: https://www.nysenate.gov/legislation/bills/2015/S5353
Timestamp: 2020-01-23 20:29:04
Document Index: 752178457

Matched Legal Cases: ['§204', '§ 204', '§ 204', '§ 204', '§ 204', '§ 204', '§ 204', '§ 204']

NY State Senate Bill S5353A
senate Bill S5353A
Relates to petitions for alternate methods of implementing regulatory mandates
Get Status Alerts for S5353A
May 25, 2016 referred to governmental operations
May 17, 2016 1st report cal.884
Jun 16, 2015 referred to governmental operations
amended 5353a
May 27, 2015 1st report cal.927
May 13, 2015 referred to commerce, economic development and small business
S5353A
Commerce, Economic Development and Small Business Committee Vote: May 17, 2016
May 27, 2015 - Commerce, Economic Development and Small Business committee Vote
S5353
S5353 - Details
Amd §204-a, St Ad Proc Act
S5353 - Summary
Relates to petitions for alternate methods of implementing regulatory mandates.
S5353 - Sponsor Memo
BILL NUMBER:S5353
TITLE OF BILL:  An act to amend the state administrative procedure act,
in relation to petitions for alternate methods of implementing regulato-
ry mandates
PURPOSE: This bill promotes mandate relief and flexibility in tailoring
regulatory requirements to the specific needs and capabilities of local
governments, by restoring recently-expired provisions that streamlined
the process for submitting petitions for approval of an alternate method
of meeting a regulatory mandate.
Section one amends § 204-a of the State Administrative Procedure Act to
restore several provisions that streamlined the process for local
governments to submit petitions for alternate methods of meeting regula-
tory mandates. The bill would restore various provisions that amended
the law in 2011, which recently expired. One important provision
requires that an agency must conduct a hearing before it can rescind its
approval of a petition. Other restored provisions would: clarify the
process for two or more local governments to submit a joint petition;
remove requirements that the petition shall include a plan and timetable
for reporting and evaluation of the effectiveness of the alternate meth-
od, and a proposed percentage of savings to be returned to the state;
and renew a requirement for publication of a notice of the petition in a
newspaper in the impacted community.
The bill also makes additional changes to streamline the process,
including a requirement that each agency that has approved one or more
petitions in the preceding year shall publish a notice in the State
Register that informs local governments and the public of those mandates
for which alternate methods have been approved. Additional refinements
include: the agency must provide an e-mail address for comments on the
petition; existing statutory provisions relating to the use of a process
to involve stakeholders are clarified - such a process should be
conducted when appropriate for a specific petition, but should not be
deemed as required in every case; and to ensure that information is
available on every approval, the text of any agency determination on a
petition must be maintained on a website as long as the petition remains
approved. This will facilitate the replication of successful petitions
by other local governments .
EXISTING LAW: Currently, § 204-a reverted back to the original language
of the section as added to SAPA in 2001. As discussed above, this bill
restores many of the amendments made in 2011 and makes some additional
JUSTIFICATION:  Local governments in New York State come in all shapes
and sizes, from major metropolises to small towns and villages. Regula-
tory mandates that take a "one-size-fits-all" approach can create hard-
ships, and prevent local governments from pursuing more efficient and
cost-effective solutions. The SAPA § 204-a process allows local govern-
ments to seek authorization to implement a regulatory mandate in ways
that are tailored to their specific circumstances. While this process is
only one of many tools to reduce the burden of regulatory mandates on
local governments, it has proven to be a workable means of addressing
some mandates.
Components of the 2011 legislation to provide property tax relief made
several improvements to § 204-a; however, these provisions expired at
the end of 2014. This bill would restore and add to these useful
improvements in order to maximize the effectiveness of the petition
process in providing mandate relief.
EFFECTIVE DATE: 1st of January after enactment.
S5353 - Bill Text download pdf
petitions for alternate methods of implementing regulatory mandates
Section  1.   Section 204-a of the state administrative procedure act,
as added by chapter 479 of the laws of  2001,  is  amended  to  read  as
S 204-a. Alternate methods for implementing regulatory mandates. 1. As
(a)  "local  government" means any county, city, town, village, school
district, fire district or other special district;
(b) "regulatory mandate" means any rule which  requires  one  or  more
local governments to create a new program, increase the level of service
for an existing program or otherwise comply with mandatory requirements;
(c)  "petition"  means  a  document submitted by a local government OR
GOVERNMENTS seeking approval of an alternate method for  implementing  a
regulatory mandate.
2.  A LOCAL GOVERNMENT, OR TWO OR MORE LOCAL GOVERNMENTS ACTING JOINT-
LY, MAY SEEK APPROVAL FOR AN ALTERNATE METHOD OF IMPLEMENTING A  REGULA-
TORY  MANDATE  BY  SUBMITTING TO THE APPROPRIATE STATE AGENCY A petition
(a) FOR EACH INVOLVED LOCAL GOVERNMENT, an indication that  submission
has been approved by the governing body of the local government or by an
officer duly authorized by the governing body to do so;
(b)  an  identification of the regulatory mandate which is the subject
of the  petition  and  information  sufficient  to  establish  that  the
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S. 5353                             2
proposed  alternate method of implementation is consistent with and will
effectively carry out the objectives of the regulatory mandate;
(c)  information  on [the] ANY process used by the local government OR
GOVERNMENTS to ensure, WHERE APPROPRIATE,  that  all  stakeholders  have
been [appropriately] involved in the process of developing the alternate
method, including where relevant the date of any hearing, forum or other
meeting to seek input on the alternate method;
(d)  documentation that the petition has been submitted to the author-
ized agents  of  any  certified  or  recognized  employee  organizations
representing  employees  who would be [effected] AFFECTED by implementa-
tion of the alternate method;
(e) [a proposed plan and timetable for compiling and reporting  infor-
mation  to  facilitate  evaluation of the effectiveness of the alternate
(f) if] WHETHER the state [provides] HAS PROVIDED financial assistance
for complying with the  regulatory  mandate[,  any  proposed  amount  or
percentage  of  such assistance which would be returned to the state due
to savings from implementing the alternate method]; [and
(g)] (F) the name, public office address and telephone number  of  the
representative of [the] EACH PETITIONING local government who will coor-
dinate requests for additional information on the petition[.]; AND
[3.  Two]  (G) WHERE TWO or more local governments [may submit a peti-
tion] HAVE PETITIONED jointly,  [provided  that  each  local  government
meets  the  requirements of paragraphs (a), (c), (d) and (g) of subdivi-
sion two of this section, and provided that  the  petition]  INFORMATION
WHICH  addresses  the  manner in which responsibility for implementation
will be allocated between or among the participating local governments.
[4.] 3. The agency  shall  cause  a  notice  of  the  petition  to  be
published  in  the state register AND A NEWSPAPER OF GENERAL CIRCULATION
IN THE IMPACTED COMMUNITY and shall receive comments on the petition for
a period of thirty days. Such notice shall either include the full  text
of  the  information  set  forth  in the petition or shall set forth the
address of a website on which the full text has been posted. The  notice
shall  include the name, public office address [and], telephone number[,
and may include a fax number] and electronic mail address[,] of an agen-
cy representative from whom additional information on the  petition  can
be obtained and to whom comments on the petition may be submitted.
[5.]  4.  (a)  Not  later  than  thirty days after the last day of the
comment period, the agency shall approve or disapprove the petition. The
agency may approve the petition without change or with  such  conditions
or  modifications  as the agency deems appropriate. Notice of the agency
determination INCLUDING ANY SUCH CONDITIONS OR  MODIFICATIONS  shall  be
provided  in  writing  to the local government and shall be published in
the state register. SUCH NOTICE SHALL EITHER INCLUDE THE  FULL  TEXT  OF
THE  DETERMINATION  OR SHALL SET FORTH THE ADDRESS OF A WEBSITE ON WHICH
THE FULL TEXT HAS BEEN POSTED. The agency shall  not  grant  a  petition
unless  it  determines  that  the  petition  has met the requirements of
subdivision two of this section and that the local government has estab-
lished that the alternate method is consistent with and will effectively
carry out the objectives of the regulatory mandate;  provided,  however,
that  no petition shall be approved which would result in the contraven-
tion of any environmental, health or safety standard or would reduce any
benefits or rights accorded by law or rule to third parties. In  approv-
ing  a petition, an agency may waive a statutory provision only if it is
specifically authorized by law to  waive  such  provision.  An  approval
S. 5353                             3
shall  include a timetable for agency evaluation of the effectiveness of
the alternate method.
(b)  Notwithstanding  the provisions of paragraph (a) of this subdivi-
sion, upon receipt of an objection to a  petition  from  the  authorized
agent  of any certified or recognized employee organization representing
employees who would be affected by implementation of the alternate meth-
od, the agency shall provide any such organizations with an  opportunity
for  a hearing. If an adjudicatory proceeding is requested, the petition
shall not be approved unless the agency determines by a preponderance of
the evidence that implementing the alternate  method  would  not  affect
such employees by contravening any environmental, health or safety stan-
dard,  reducing  any  rights  or  benefits or violating the terms of any
negotiated agreement, and that all other requirements  of  this  section
have been met. The provisions of this subdivision are in addition to and
shall  not be construed to impair or modify any rights of such employees
under any other law, regulation or contract.
5. NOT LATER THAN THE FIRST DAY OF FEBRUARY, ANY AGENCY THAT HAS  MADE
ONE  OR MORE DETERMINATIONS PURSUANT TO SUBDIVISION FOUR OF THIS SECTION
IN THE PRECEDING CALENDAR YEAR SHALL SUBMIT FOR PUBLICATION IN THE STATE
REGISTER A NOTICE IDENTIFYING, FOR EACH SUCH  DETERMINATION,  THE  LOCAL
GOVERNMENT  OR  GOVERNMENTS  THAT SUBMITTED THE PETITION, THE REGULATORY
MANDATE, THE ISSUE OF THE STATE REGISTER IN WHICH THE NOTICE OF DETERMI-
NATION WAS PUBLISHED, AND THE ADDRESS OF A WEBSITE  ON  WHICH  THE  FULL
TEXT  OF THE DETERMINATION HAS BEEN POSTED. THE FULL TEXT SHALL BE MAIN-
TAINED FOR THE ENTIRE PERIOD THAT A PETITION REMAINS APPROVED.
6. Nothing in  this  section  shall  require  a  local  government  to
commence  or continue an alternate method of implementation if it deter-
mines in its sole discretion not to do so, except to the extent  that  a
local  government has committed to commencing or continuing an alternate
method in a joint petition submitted pursuant to subdivision [three] TWO
7. A state agency may rescind its approval of a petition [at any  time
if  it  determines,  based on the information reported pursuant to para-
graph (e) of subdivision two of this section or other information avail-
able to it, that the alternate method is not  effectively  carrying  out
the  objectives  of  the regulatory mandate or is being implemented in a
manner detrimental  to  the  public  interest]  ONLY  AFTER  A  HEARING,
PROVIDED,  HOWEVER,  THAT THE AGENCY MAY SUSPEND ITS APPROVAL OF A PETI-
TION PRIOR TO A HEARING IF IT FINDS THAT IMMEDIATE SUSPENSION IS  NECES-
SARY  TO  ADDRESS  AN  IMMINENT  THREAT TO HEALTH OR SAFETY. NOTICE OF A
HEARING MUST BE PROVIDED TO THE PETITIONER AT LEAST THIRTY DAYS PRIOR TO
THE HEARING AND MUST BE POSTED ON THE AGENCY'S WEBSITE. SUCH NOTICE MUST
STATE THE BASIS FOR THE AGENCY'S DECISION TO SEEK RESCISSION AND  INFORM
THE  LOCAL GOVERNMENT THAT IT MAY REQUEST INFORMATION RELIED UPON BY THE
AGENCY IN MAKING ITS DETERMINATION, WHICH INFORMATION MUST  BE  PROVIDED
TO  THE  LOCAL GOVERNMENT AT LEAST SEVEN DAYS IN ADVANCE OF THE HEARING.
AFTER SUCH HEARING, THE AGENCY MAY RESCIND ITS APPROVAL UPON  A  FINDING
THAT  THE ALTERNATIVE METHOD OF IMPLEMENTATION IS NOT CONSISTENT WITH OR
DOES NOT EFFECTIVELY CARRY OUT THE OBJECTIVES OF THE REGULATORY MANDATE.
[7.] 8. Notwithstanding any other provision of law, implementation  of
an alternate method approved by an agency pursuant to this section shall
be  deemed  to lawfully meet all requirements of the regulatory mandate.
An agency shall retain the authority  to  enforce  compliance  with  the
alternate  method  in  the same manner as it may enforce compliance with
the underlying rule. Any action on a petition by a state agency shall be
S. 5353                             4
subject to review pursuant to article seventy-eight of the  civil  prac-
[8.]  9.  In  accordance  with  the  timetable established pursuant to
subdivision [four] THREE of this section, the agency shall evaluate  the
effectiveness  of the alternate method in carrying out the objectives of
the regulatory mandate. The evaluation shall  identify  any  savings  or
other  benefits,  and  any costs or other disadvantages, of implementing
the alternate method, and shall address the desirability of  incorporat-
ing  the alternate method into the rules of the agency. Notice of avail-
ability of the evaluation shall be published in the state register.
S5353A (ACTIVE) - Details
S5353A (ACTIVE) - Summary
S5353A (ACTIVE) - Sponsor Memo
BILL NUMBER:S5353A
TITLE OF BILL:  An act to amend the state administrative procedure
act, in relation to petitions for alternate methods of implementing
PURPOSE: This bill promotes mandate relief and flexibility in
tailoring regulatory requirements to the specific needs and
capabilities of local governments, by restoring recently-expired
provisions that streamlined the process for submitting petitions for
approval of an alternate method of meeting a regulatory mandate.
Section one amends § 204-a of the State Administrative Procedure Act
to restore several provisions that streamlined the process for local
governments to submit petitions for alternate methods of meeting
regulatory mandates. The bill would restore various provisions that
amended the law in 2011, which recently expired. One important
provision requires that an agency must conduct a hearing before it can
rescind its approval of a petition. Other restored provisions would:
clarify the process for two or more local governments to submit a
joint petition; remove requirements that the petition shall include a
plan and timetable for reporting and evaluation of the effectiveness
of the alternate method, and a proposed percentage of savings to be
returned to the state; and renew a requirement for publication of a
notice of the petition in a newspaper in the impacted community.
Register that informs local governments and the public of those
mandates for which alternate methods have been approved. Additional
refinements include: the agency must provide an e-mail address for
comments on the petition; existing statutory provisions relating to
the use of a process to involve stakeholders are clarified - such a
process should be conducted when appropriate for a specific petition,
but should not be deemed as required in every case; and to ensure that
information is available on every approval, the text of any agency
determination on a petition must be maintained on a website as long as
the petition remains approved. This will facilitate the replication of
successful petitions by other local governments.
EXISTING LAW: Currently, § 204-a reverted back to the original
language of the section as added to SAPA in 2001. As discussed above,
this bill restores many of the amendments made in 2011 and makes some
additional refinements.
and sizes, from major metropolises to small towns and villages.
Regulatory mandates that take a "one-size-fits-all" approach can
create hardships, and prevent local governments from pursuing more
efficient and cost-effective solutions. The SAPA § 204-a process
allows local governments to seek authorization to implement a
regulatory mandate in ways that are tailored to their specific
circumstances. While this process is only one of many tools to reduce
the burden of regulatory mandates on local governments, it has proven
to be a workable means of addressing some mandates.
EFFECTIVE DATE:  1st of January.
S5353A (ACTIVE) - Bill Text download pdf
5353--A
Cal. No. 927
Section 1. Section 204-a of the state administrative procedure act, as
added by chapter 479 of the laws of 2001, is amended to read as follows:
(a) "local government" means any county, city, town,  village,  school
(b)  "regulatory  mandate"  means  any rule which requires one or more
(c) "petition" means a document submitted by  a  local  government  OR
GOVERNMENTS  seeking  approval of an alternate method for implementing a
2. A LOCAL GOVERNMENT, OR TWO OR MORE LOCAL GOVERNMENTS ACTING  JOINT-
LY,  MAY SEEK APPROVAL FOR AN ALTERNATE METHOD OF IMPLEMENTING A REGULA-
TORY MANDATE BY SUBMITTING TO THE APPROPRIATE STATE  AGENCY  A  petition
WHICH shall include BUT NOT BE LIMITED TO:
(a)  FOR EACH INVOLVED LOCAL GOVERNMENT, an indication that submission
LBD11023-03-5
S. 5353--A                          2
(b) an identification of the regulatory mandate which is  the  subject
of  the  petition  and  information  sufficient  to  establish  that the
proposed alternate method of implementation is consistent with and  will
S. 5353--A                          3
THE HEARING AND MUST BE POSTED ON THE AGENCY'S  WEBSITE.    SUCH  NOTICE
MUST  STATE  THE  BASIS FOR THE AGENCY'S DECISION TO SEEK RESCISSION AND
INFORM THE LOCAL GOVERNMENT THAT IT MAY REQUEST INFORMATION RELIED  UPON
BY  THE  AGENCY  IN  MAKING ITS DETERMINATION, WHICH INFORMATION MUST BE
PROVIDED TO THE LOCAL GOVERNMENT AT LEAST SEVEN DAYS IN ADVANCE  OF  THE
HEARING.  AFTER SUCH HEARING, THE AGENCY MAY RESCIND ITS APPROVAL UPON A
FINDING THAT THE ALTERNATE METHOD OF IMPLEMENTATION  IS  NOT  CONSISTENT
WITH  OR DOES NOT EFFECTIVELY CARRY OUT THE OBJECTIVES OF THE REGULATORY
[7] 8.  Notwithstanding any other provision of law, implementation  of
S. 5353--A                          4
[8]  9.    In  accordance  with  the timetable established pursuant to
S 2. This act shall take effect on the first of January after it shall
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