REGISTE NEW YORK STATE R

January 30, 2019 DEPARTMENT OF STATEVol. XLI Division of Administrative RulesIssue 5Book 1 of 2

NEW YORK STATE

REGISTER

INSIDE THIS ISSUE:

D START-UP NY ProgramD Empire Zones ReformD Assessments and Student Official Transcripts and Permanent Records

Regulatory AgendaRule ReviewGuidance DocumentsFinancial Reports

State agencies must specify in each notice which proposes a rule the last date on which they will accept public

comment. Agencies must always accept public comment: for a minimum of 60 days following publication in the

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

for 45 days after publication of a Notice of Revised Rule Making, or a Notice of Emergency Adoption and Revised

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

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

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

the close of business on the next succeeding workday.

For notices published in this issue:

– the 60-day period expires on March 31, 2019– the 45-day period expires on March 16, 2019– the 30-day period expires on March 1, 2019

ANDREW M. CUOMOGOVERNOR

ROSSANA ROSADOSECRETARY OF STATE

NEW YORK STATE DEPARTMENT OF STATE

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NEW YORK STATE

REGISTER

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

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

Rule Making ActivitiesAgriculture and Markets, Department of

1 / Importation of Cervids Susceptible to Chronic Wasting Disease (‘‘CWD’’) (A)

Correction, State Commission of

1 / Inmate Confinement and Deprivation (P)

Corrections and Community Supervision, Department of3 / Standard Conditions of Release and Parole Revocation Guidelines (P)

Economic Development, Department of

4 / START-UP NY Program (E)

7 / Empire Zones Reform (E)

Education Department9 / Erratum9 / English Language Learner Grade Span Requirement (E)

11 / Administration of Certain Vaccines by Pharmacy Interns (EP)

15 / Assessments and Student Official Transcripts and Permanent Records (EP)

17 / Certificate Progression Pathway (A)

17 / P-20 Principal Preparation Pilot Program (A)

18 / School Breakfast Programs (A)

18 / Prohibition Against Meal Shaming (A)

20 / Transitional H Pathway for School District Business Leader Certifications (P)

22 / Protecting Personally Identifiable Information (P)

26 / Relates to Professional Development Plans and Other Related Requirements for School Districts andBOCES (RP)

Financial Services, Department of

27 / Business Conduct of Mortgage Loan Servicers (E)

Health, Department of

31 / Inpatient Psychiatric Services (A)

32 / Statewide Planning and Research Cooperative System (SPARCS) (A)

32 / Midwifery Birth Center Services (P)

34 / Medicaid Reimbursement of Nursing Facility Reserved Bed Days for Hospitalizations (RP)

People with Developmental Disabilities, Office for

35 / Telehealth (W)

Public Service Commission

35 / Transfer of Street Lighting Facilities (P)

36 / Waiver of Certain Rules, E.G.5-Year Buildout and 7-Day Installation Requirements Pertaining toCable Television Franchise (P)

36 / Notice of Intent to Submeter Electricity (P)

36 / Waiver of Certain Rules, E.G. 5-Year Buildout and 7-Day Installation Requirements Pertaining toCable Television Franchise (P)

37 / Issuance of Long-Term Debt Securities (P)

37 / Transfer of Natural Gas Pipeline and Request for Lightened and Incidental Regulation (P)

New York State Register January 30, 2019/Volume XLI, Issue 5

38 / Transfer of Street Lighting Facilities to the City of Cortland (P)

Temporary and Disability Assistance, Office of

38 / Standard Utility Allowances (SUAs) for the Supplemental Nutrition Assistance Program (SNAP) (A)

Hearings Scheduled for Proposed Rule Makings / 39Action Pending Index / 41

Regulatory Agenda

87 / Children and Family Services, Office of

87 / Financial Services, Department of

89 / Mental Health, Office of

Rule Review

91 / Children and Family Services, Office of

92 / Civil Service, Department of

93 / Financial Services, Department of

100 / Temporary and Disability Assistance, Office of

Guidance Documents

111 / Temporary and Disability Assistance, Office of

Securities Offerings

153 / State Notices

Advertisements for Bidders/Contractors

155 / Sealed Bids

Miscellaneous Notices/Hearings

157 / Notice of Abandoned Property Received by the State Comptroller

157 / Public Notice

Financial Reports / 161

RULE MAKINGACTIVITIES

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

AAM -the abbreviation to identify the adopting agency01 -the State Register issue number96 -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. Bracketsindicate material to be deleted.

Department of Agriculture andMarkets

NOTICE OF ADOPTION

Importation of Cervids Susceptible to Chronic Wasting Disease(‘‘CWD’’)

I.D. No. AAM-34-18-00001-A

Filing No. 20

Filing Date: 2019-01-14

Effective Date: 2019-01-30

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

Action taken: Amendment of section 68.3 of Title 1 NYCRR.

Statutory authority: Agriculture and Markets Law, sections 18, 72 and 74

Subject: Importation of cervids susceptible to Chronic Wasting Disease(‘‘CWD’’).

Purpose: To help control the spread of CWD into the State’s cervidpopulation.

Text or summary was published in the August 22, 2018 issue of the Reg-ister, I.D. No. AAM-34-18-00001-EP.

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

Text of rule and any required statements and analyses may be obtainedfrom: David Smith, D.V.M., Director, Division of Animal Industry, NYSDept. of Agriculture and Markets, 10B Airline Drive, Albany, NY 12235,(518) 457-3502, email: [email protected]

Initial Review of RuleAs a rule that requires a RFA, RAFA or JIS, this rule will be initiallyreviewed in the calendar year 2022, which is no later than the 3rd year af-ter the year in which this rule is being adopted.

Assessment of Public CommentA hearing was held on October 25, 2018 to consider whether 1 NYCRR

section 68.3(b) should be amended to extend the ban upon the importationinto New York of cervids that are susceptible to contracting Chronic Wast-ing Disease (“CWD susceptible cervids), until August 1, 2023 (“theproposed rule”). At the hearing, five people commented and, thereafter,three people submitted written comments, regarding the proposed rule.

One commentator stated that the ban upon the importation of captivecervids should not include reindeer; however, 1 NYCRR 68.3(b), asamended, will cover only cervids of the genus Alces, Odocoileus, andCervis and not cervids of the genus Rangifer (i.e., reindeer).

One commentator supported the proposed rule as written. Another com-mentator advocated that the proposed rule should be amended so that theban upon the importation of CWD susceptible cervids would last for tenyears, until August 1, 2028, and three commentators advocated that suchban should be made permanent. The Department of Agriculture andMarkets (“Department”) declines to amend the proposed rule to extend theban upon the importation of CWD susceptible cervids beyond August 1,2023; the Department believes that an extension of the ban until August 1,2023 strikes the proper balance between an unduly long ban that could bemade unnecessary if an effective ante-mortem test is developed todetermine if a CWD susceptible cervid has contracted that disease, and aban that is of insufficient duration to adequately promote the objective thatthe State’s cervid population remain, apparently, CWD-free.

Two commentators were opposed to the proposed rule. One commenta-tor stated that the proposed ban would not prevent wild cervids, locatedoutside the State, that had contracted CWD from coming into the Stateand infecting its wild and/or captive cervids with that disease. The Depart-ment acknowledges that the proposed rule will not ensure that the State’scervid population remains, apparently, CWD-free but believes that anextension of the ban upon the importation of CWD susceptible cervids,until August 1, 2023, will greatly contribute to that objective.

Another commentator also stated that the proposed rule will not be ef-fective, for the reason set forth by the other commentator who opposed theproposed rule, and also stated that cervid farmers should be able to importCWD susceptible cervids if those animals have been examined by a veter-inarian and found to be free of CWD. The Department, however, declinesto withdraw the proposed rule to “lift” the ban on importation, for the rea-son set forth above, and further declines to amend it to allow for importa-tion as suggested by this commentator because, as set forth above, there is,presently, no satisfactory test to determine, ante-mortem, if a cervid has orhas not contracted CWD.

State Commission ofCorrection

PROPOSED RULE MAKING

NO HEARING(S) SCHEDULED

Inmate Confinement and Deprivation

I.D. No. CMC-05-19-00004-P

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

Proposed Action: Addition of Part 7075, sections 7004.7, 7005.12,7006.9(d), 7025.5, 7028.6(c), 7040.4(f), (g), 7040.5(e), (f); amendment ofsections 7003.3(j)(6), 7006.7(c), 7006.9(a)(5), 7006.11(a), 7013.10(c),7022.2(a), 7024.11, 7026.3, 7028.2(d), 7070.7(h) and (j) of Title 9NYCRR.

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Statutory authority: Correction Law, section 45(6) and (15)Subject: Inmate confinement and deprivation.Purpose: Require local correctional facilities to record, review and reportinmate cell confinement and essential service deprivation.

Substance of proposed rule (Full text is posted at the following Statewebsite: www.scoc.ny.gov): A new Part 7075 of Title 9 NYCRR isestablished that generally requires:

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

(b) disciplinary or administratively segregated inmates who are undereighteen (18) years of age or known by security, health or mental healthpersonnel to be pregnant, within eight (8) weeks of delivery or pregnancyoutcome, having a mental or physical disability, or having a serious mentalillness must be allowed out of their cells for a minimum of four (4) hours aday, exclusive of entitled exercise periods;

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

(d) any CAO determination to deny such four (4) hour period must bereviewed at least every seven (7) days, with such review to includeconsultation with appropriate facility health staff;

(e) any disciplinary or administrative segregation of an inmate who isunder 18 years of age, known by security, health or mental health person-nel to be pregnant, within eight (8) weeks of delivery or pregnancyoutcome, having a mental or physical disability, or having a serious mentalillness, must be reviewed at intervals not to exceed seven (7) days, withsuch review to include consultation with appropriate facility health staff;

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

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

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

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

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

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

known by security, health or mental health personnel to be pregnant, withineight (8) weeks of delivery or pregnancy outcome, having a mental orphysical disability, or having a serious mental illness shall be entitled totwo (2) hours of daily exercise;

(c) daily CAO review of any educational services denial or restriction;and

(d) cell plumbing may be turned off only when necessary for facilitysafety and security, but inmate must be allowed to flush the toilet and beprovided access to a sink at two (2) hour intervals.

Text of proposed rule and any required statements and analyses may beobtained from: Deborah Slack-Bean, Associate Attorney, Commission ofCorrection, Alfred E. Smith State Office Building, 80 S. Swan Street, 12thFloor, Albany, New York 12210, (518) 485-2346, email: [email protected]

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

Public comment will be received until: 60 days after publication of thisnotice.

Regulatory Impact StatementThe New York State Commission of Correction (‘‘Commission’’) seeks

to add a new Part 7075, amend paragraph (6) of subdivision (j) of section7003.3, add a new section 7004.7, add a new section 7005.12, amendsubdivision (c) of section 7006.7, amend paragraph (5) of subdivision (a)of section 7006.9, add a new subdivision (d) of section 7006.9, amendsubdivision (a) of section 7006.11, amend subdivision (c) of section7013.10, amend subdivision (a) of section 7022.2, amend section 7024.11,add a new section 7025.5, amend section 7026.3, amend subdivision (d) ofsection 7028.2, add a new subdivision (c) of section 7028.6, add a newsubdivision (f) of section 7040.4, add a new subdivision (g) of section7040.4, add a new subdivision (e) of section 7040.5, add a new subdivi-sion (f) of section 7040.5, amend subdivision (h) of section 7070.7, andamend subdivision (j) of section 7070.7 of Title 9 NYCRR.

1. Statutory authority:Subdivision (6) of section 45 of the Correction Law authorizes the Com-

mission to promulgate rules and regulations establishing minimum stan-dards for the care, custody, correction, treatment, supervision, discipline,and other correctional programs for all person confined in the correctionalfacilities of New York State. Subdivision (15) of section 45 of the Correc-

tion Law allows the Commission to adopt, amend or rescind such rulesand regulations as may be necessary or convenient to the performance ofits functions, powers and duties.

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

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

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

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

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

As a resolution, SCOC has developed local correctional facility regula-tions which provide segregated inmates a presumptive minimum of four(4) hours a day out of their cell and continuous access to all essentialservices. Segregated inmates under the age of eighteen (18) years, andsegregated inmates known by security, health or mental health personnelto be pregnant, within eight (8) weeks of delivery or pregnancy outcome,having a mental or physical disability, or having a serious mental illness,are provided a presumptive minimum of four (4) hours a day out of theircell, exclusive of an entitled two (2) hours of recreation time. While thefour (4) hour period and access to essential services may be denied whennecessary to preserve facility safety and security, the regulations requirethe facility administration to record, review and report such determina-tions in a manner that allows for sufficient oversight by SCOC.

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

compliance with the rule: Minimal. Any determination by local cor-rectional facility administrators to deny segregated inmates four (4) hoursout-of-cell time, to segregate any inmate under the age of eighteen (18), orknown by security, health or mental health personnel to be pregnant, withineight (8) weeks of delivery or pregnancy outcome, having a mental orphysical disability, or having a serious mental illness, or to deny an es-sential inmate service to any inmate must be made in writing, reviewedevery seven (7) days, and in certain circumstances reported to SCOC.Consequently, compliance with the proposed rule would result only inminimal costs associated with such recordkeeping and reporting.

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

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

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

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

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

administrators to deny segregated inmates four (4) hours out-of-cell time,to segregate any inmate under the age of eighteen (18), or known by secu-rity, health or mental health personnel to be pregnant, within eight (8)weeks of delivery or pregnancy outcome, having a mental or physical dis-ability, or having a serious mental illness, or to deny an essential inmateservice to any inmate must be made in writing, reviewed every seven (7)days, and in certain circumstances reported to SCOC.

NYS Register/January 30, 2019Rule Making Activities

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

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

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

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

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

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

Department of Corrections andCommunity Supervision



Standard Conditions of Release and Parole RevocationGuidelines

I.D. No. CCS-05-19-00006-P


Proposed Action: Repeal of sections 8003.2, 8005.20; addition of newsections 8003.2, 8005.20; and amendment of section 8002.6 of Title 9NYCRR.

Statutory authority: Executive Law, section 259-c(1), (2), (6), (11) and259-i(3)

Subject: Standard Conditions of Release and Parole RevocationGuidelines.

Purpose: Establish standard conditions of release and provide a workablestructure for applying appropriate parole revocation penalties.

Substance of proposed rule (Full text is posted at the following Statewebsite: http://www.doccs.ny.gov): The Board of Parole proposes torepeal and replace 9 N.Y.C.R.R. section 8003.2 (Release conditions), to

provide for new standard conditions of release to be imposed on every in-dividual released to the supervision of the Department of Corrections andCommunity Supervision. The new conditions include conditions substan-tially similar to current standard conditions, but revised and reorganizedfor clarity and comprehensibility, amendments to current standard condi-tions and a new condition relating to maintaining contact with the paroleofficer and residing at an approved address.

The Board also proposes to repeal and replace 9 N.Y.C.R.R. section8005.20 and to amend 9 N.Y.C.R.R. section 8002.6(b), which pertain tothe penalties for individuals found to have violated the conditions of theirrelease in an important respect.

The proposed 9 N.Y.C.R.R. section 8005.20 would create new guide-lines for assessing penalties that emphasize categories based on currentviolative behavior, and assign a new set of available penalties based on theseverity of such violative behavior. Additionally, the new guidelines willexpand the availability of Department of Corrections and CommunitySupervision alternative program dispositions (dispositions which allowthe violator to avoid service of a time assessment by completing theDOCCS program), and the creation of a violation category in which themaximum available penalty is the imposition of such an alternativeprogram disposition. Under the proposed 9 N.Y.C.R.R. section 8002.6(b),the calculation of time assessments would commence upon the completionof adjudicatory proceedings, and will be deemed a hold to the maximumexpiration of the sentence on occasions in which the imposed assessmentexceeds the time remaining on such violator’s sentence.

The full text of the proposed rules may be found at the Department ofCorrections and Community Supervision website at www.doccs.ny.gov.

Text of proposed rule and any required statements and analyses may beobtained from: Kathleen M. Kiley, Counsel to the Board of Parole,Department of Corrections and Community Supervision, 1220 WashingtonAvenue, Building 2, Albany, New York 12226, (518) 473-5671, email:[email protected]



Regulatory Impact Statement1. Statutory Authority: Section 259-c(11) of the New York Executive

Law authorizes the New York State Board of Parole to “make rules for theconduct of its work, a copy of such rules and of any amendments theretoto be filed by the chairman with the secretary of state”. Executive Law§ 259-c(1) and (2) empowers the Board to determine the conditions ofrelease of those individuals released to community supervision under thejurisdiction of the Department of Corrections and Community Supervision.Pursuant to sections 259-c(6) and 259-i(3) of the Executive Law, theLegislature has conferred upon the Board the exclusive authority to revokethe parole, conditional release or post-release supervision status of anysuch person, as well as their re-release to supervision, based upon viola-tions of the conditions of release.

2. Legislative Objectives: Executive Law § 259-c(1) and (2), in rele-vant part, direct the Board of Parole to determine the conditions of releaseof those individuals granted parole release or who are presumptivelyreleased, conditionally released, or subject to a period of post releasesupervision. Executive Law §§ 259-c(6) and 259-i(3) then confer upon theBoard the exclusive authority over determinations of whether to revokethe release status of these individuals while they remain subject to thejurisdiction of the Department of Corrections and Community Supervision.The proposed rules, consistent with the Board’s rulemaking authorityunder Executive Law § 259-c(11), assist and guide the Board in the per-formance of its obligations in setting conditions of release and in therelease revocation (“parole revocation”) process. The purpose of theproposed changes is to improve the standard conditions of release and thedisposition of parole revocation cases.

3. Needs and Benefits: Consistent with Executive Law § 259-(c)(1) and(2), which impose a duty on the Board to establish conditions of release, 9N.Y.C.R.R. § 8003.2 sets forth a list of the standard conditions of releaseto be imposed by the Board upon every individual supervised by theDepartment of Corrections and Community Supervision. While not theexclusive universe of the conditions that a releasee may be subject to,conditions within 9 N.Y.C.R.R. § 8003.2 serve as a baseline and minimumfor the conduct that is deemed acceptable and consistent with the goals ofpublic safety and successful reintegration into society. The rule furtherestablishes that the releasee may be subject to additional conditionsimposed by the Board or authorized representatives of the Department ofCorrections and Community Supervision. As the experience of the Boardand DOCCS has grown, this experience has better positioned the Board todiscern releasee behaviors that are contrary to the aforementioned goals.The proposed 9 N.Y.C.R.R. § 8003.2 is thus more finely calibrated toprevent criminogenic behavior without restricting behavior which may beconsistent with or even facilitate a positive re-integration into society.

NYS Register/January 30, 2019 Rule Making Activities

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mailto:[email protected]

The Board is further obligated to determine whether to revoke therelease of individuals subject to community supervision by DOCCS. Ex-ecutive Law §§ 259-(c)(6) and 259-i(3). Executive Law § 259-i(3)establishes the basic parameters and due process rights associated with theparole revocation process, including setting forth a time limit on that pro-cess, and broadly speaking, providing that revocation dispositions mayinclude return to incarceration or restoration to supervision. 9 N.Y.C.R.R.§ 8005.20 contains parole revocation guidelines that structure appropriatepenalties for parole violators whose release is revoked at the end of the re-vocation process. The current guidelines divide violators into categoriesby considering underlying crime of conviction, criminal history and cur-rent violative behavior. Within the current guidelines, there is a heavyemphasis on the violator’s crime of conviction, which in many cases,predetermines their category. The proposed replacement changes the cate-gory system to place a much heavier emphasis on current violativebehavior, and assign a new set of corresponding available penalties.Among these changes is an expansion of the availability of Department ofCorrections and Community Supervision alternative program dispositionsand the creation of a violation category in which the maximum availablepenalty is the imposition of such an alternative program disposition. More-over, time assessment penalty ranges are included that are congruous withthe level of severity of the violative behavior at issue. 9 N.Y.C.R.R.§ 8002.6(b) addresses the manner of calculation of any time assessmentthat may be imposed in connection with a parole revocation, and theproposed changes serve as a complement to the proposed 9 N.Y.C.R.R.§ 8005.20 that will assist the efficiency of the Board’s operations pursuantto 9 N.Y.C.R.R. § 8005.20 and its obligations under Executive Law § 259-i(3).

4. Costs: These proposed regulatory changes will not impose any costsbeyond those already experienced.

5. Local Government Mandates: These regulatory changes do notimpose any obligations on local governments.

6. Paperwork: These regulatory changes do not impose any new or ad-ditional paperwork requirements on regulated parties.

7. Duplication: These regulatory changes will not duplicate any existingstate or federal rule.

8. Alternatives: Because this rulemaking governs the procedures andguidelines applied by the Board and its hearing officers and employees ina quasi-adjudicatory function, there are no alternatives other than to amendthe regulations.

9. Federal Standards: There are no federal standards.

10. Compliance Schedule: The Board intends to implement these ruleswithin 6 months from the publication of its notice of adoption.

Regulatory Flexibility Analysis

A Regulatory Flexibility Analysis for Small Business and Local Govern-ment is not being submitted with this notice, for the proposed rule changeswill have no adverse impact upon small businesses and local governments,nor do the rule changes impose any reporting, record keeping or othercompliance requirements upon small businesses and local governments.The proposed rules only affect the practices of the Board of Parole and itsofficers and employees in setting conditions of release to communitysupervision and adjudicating violations thereof.

Rural Area Flexibility Analysis

A Rural Area Flexibility Analysis is not being submitted with this notice,for the proposed rules will have no adverse impact upon rural areas, nordo the proposed rules impose any reporting, record keeping or othercompliance requirements upon rural areas. The proposed rules only affectthe practices of the Board of Parole and its officers and employees in set-ting conditions of release to community supervision and adjudicatingviolations thereof.

Job Impact Statement

A Job Impact Statement is not being submitted with this notice, for theproposed rules will have no adverse impact upon jobs or employment op-portunities, nor do the proposed rules impose any reporting, record keep-ing or other compliance requirements upon employers. The proposed rulesonly affect the practices of the Board of Parole and its officers and em-ployees in setting conditions of release to community supervision andadjudicating violations thereof.

Department of EconomicDevelopment

EMERGENCY

RULE MAKING

START-UP NY Program

I.D. No. EDV-05-19-00001-E

Filing No. 13




Action taken: Addition of Part 220 to Title 5 NYCRR.

Statutory authority: Economic Development Law, art. 21, sections 435-36; L. 2013, ch. 68

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

Specific reasons underlying the finding of necessity: On June 24, 2013,Governor Andrew Cuomo signed into law the SUNY Tax-free Areas toRevitalize and Transform UPstate New York (START-UP NY) program,which offers an array of tax benefits to eligible businesses and their em-ployees that locate in facilities affiliated with New York universities andcolleges. The START-UP NY program will leverage these tax benefits toattract innovative start-ups and high tech industries to New York so as tocreate jobs and promote economic development.

Regulatory action is required to implement the START-UP NY program.The legislation creating the START-UP NY program delegated to theDepartment of Economic Development the establishment of proceduresfor the implementation and execution of the START-UP NY program.Without regulatory action by the Department of Economic Development,procedures will not be in place to accept applications from institutions ofhigher learning desiring to create Tax-Free Areas, or businesses wishing toparticipate in the START-UP NY program.

Adoption of this rule will enable the State to begin accepting applica-tions from businesses to participate in the START-UP NY program, andrepresent a step towards the realization of the strategic objectives of theSTART-UP NY program: attracting and retaining cutting-edge start-upcompanies, and positioning New York as a global leader in high techindustries.

Subject: START-UP NY Program.

Purpose: Establish procedures for the implementation and execution ofSTART-UP NY.

Substance of emergency rule (Full text is posted at the following Statewebsite: https://startup.ny.gov/university-and-college-resources):START-UP NY is a new program designed to stimulate economic develop-ment and promote employment of New Yorkers through the creation oftax-free areas that bring together educational institutions, innovativecompanies, and entrepreneurial investment.

1) The regulation defines key terms, including: “business in the forma-tive stage,” “campus,” “competitor,” “high tech business,” “net new job,”“new business,” and “underutilized property.”

2) The regulation establishes that the Commissioner shall review andapprove plans from State University of New York (SUNY) colleges, CityUniversity of New York (CUNY) colleges, and community colleges seek-ing designation of Tax-Free NY Areas, and report on important aspects ofthe START-UP NY program, including eligible space for use as Tax-FreeAreas and the number of employees eligible for personal income taxbenefits.

3) The regulation creates the START-UP NYApproval Board, composedof three members appointed by the Governor, Speaker of the Assemblyand Temporary President of the Senate, respectively. The START-UP NYApproval Board reviews and approves plans for the creation of Tax-FreeNY Areas submitted by private universities and colleges, as well as certainplans from SUNY colleges, CUNY colleges, and community colleges, anddesignates Strategic State Assets affiliated with eligible New York col-leges or universities. START-UP NY Approval Board members may des-ignate representatives to act on their behalf during their absence.START-UP NY Approval Board members must remain disinterested, andrecuse themselves where appropriate.

4) The regulation establishes eligibility criteria for Tax-Free Areas.


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Eligibility of vacant land and space varies based on whether it is affiliatedwith a SUNY college, CUNY college, community college, or private col-lege, and whether the land or space in question is located upstate,downstate, or in New York City. The regulation prohibits any allocation ofland or space that would result in the closure or relocation of any programor service associated with a university or college that serves students, fac-ulty, or staff.

5) The regulation establishes eligibility requirements for businesses toparticipate in the START-UP program, and enumerates excluded industries.To be eligible, a business must: be a new business to the State at the timeof its application, subject to exceptions for NYS incubators, businessesrestoring previously relocated jobs, and businesses the Commissioner hasdetermined will create net new jobs; comply with applicable workerprotection, environmental, and tax laws; align with the academic missionof the sponsoring institution (the Sponsor); demonstrate that it will createnet new jobs in its first year of operation; and not be engaged in the sameline of business that it conducted at any time within the last five years inNew York without the approval of the Commissioner. Businesses locatingdownstate must be in the formative stages of development, or engaged in ahigh tech business. To remain eligible, the business must, at a minimum,maintain net new jobs and the average number of jobs that existed with thebusiness immediately before entering the program.

6) The regulation describes the process for approval of Tax-Free Areas.An eligible institution may submit a plan to the Commissioner identifyingland or space to be designated as a Tax-Free Area. This plan must: identifyprecisely the location of the applicable land or space; describe businessactivities to be conducted on the land or space; establish that the businessactivities in question align with the mission of the institution; indicate howthe business would generate positive community and economic benefits;summarize the Sponsor’s procedures for attracting businesses; include acopy of the institution’s conflict of interest guidelines; attest that theproposed Tax-Free Area will not jeopardize or conflict with any existingtax-exempt bonds used to finance the Sponsor; and certify that the Spon-sor has not relocated or eliminated programs serving students, faculty, orstaff to create the vacant land. Applications by private institutions requireapproval by both the Commissioner and START-UP NY Approval Board.The START-UP NY Approval Board is to approve applications so as toensure balance among rural, urban and suburban areas throughout thestate.

7) A sponsor applying to create a Tax-Free Area must provide a copy ofits plan to the chief executive officer of any municipality in which theproposed Tax-Free Area is located, local economic development entities,the applicable university or college faculty senate, union representativesand the campus student government. Where the plan includes land or spaceoutside of the campus boundaries of the university or college, the institu-tion must consult with the chief executive officer of any municipality inwhich the proposed Tax-Free Area is to be located, and give preference tounderutilized properties identified through this consultation. The Commis-sioner may enter onto any land or space identified in a plan, or audit anyinformation supporting a plan application, as part of his or her duties inadministering the START-UP program.

8) The regulation provides that amendments to approved plans may bemade at any time through the same procedures as such plans wereoriginally approved. Amendments that would violate the terms of a leasebetween a sponsor and a business in a Tax-Free Area will not be approved.Sponsors may amend their plans to reallocate vacant land or space in thecase that a business, located in a Tax-Free Area, is disqualified from theprogram but elects to remain on the property.

9) The regulation describes application and eligibility requirements forbusinesses to participate in the START-UP program. Businesses are tosubmit applications to sponsoring universities and colleges by 12/31/20.An applicant must: (1) authorize the Department of Labor (DOL) andDepartment of Taxation and Finance (DTF) to share the applicant’s tax in-formation with the Department of Economic Development (DED); (2) al-low DED to monitor the applicant’s compliance with the START-UPprogram and agree to submit an annual report in such form as the Com-missioner shall require; (3) provide to DED, upon request, information re-lated to its business organization, tax returns, investment plans, develop-ment strategy, and non-competition with any businesses in the communitybut outside of the Tax-Free Area; (4) certify efforts to ascertain that thebusiness would not compete with another business in the same communitybut outside the Tax-Free Area, including an affidavit that notice regardingthe application was published in a daily publication no fewer than fiveconsecutive days; (5) include a statement of performance benchmarks asto new jobs to be created through the applicant’s participation in START-UP; (6) provide a statement of consequences for non-conformance withthe performance benchmarks, including proportional recovery of taxbenefits when the business fails to meet job creation benchmarks in up tothree years of a ten-year plan, and removal from the program for failure tomeet job creation benchmarks in at least four years of a ten-year plan; (7)

identify information submitted to DED that the business deems confiden-tial, proprietary, or a trade secret. Sponsors forward applications deemedto meet eligibility requirements to the Commissioner for further review.The Commissioner shall reject any application that does not satisfy theSTART-UP program eligibility requirements or purpose, and provide writ-ten notice of the rejection to the Sponsor. The Commissioner may approvean application any time after receipt; if the Commissioner approves theapplication, the business applicant is deemed accepted into the START-UPNY Program and can locate to the Sponsor’s Tax-Free NY Area. Applica-tions not rejected will be deemed accepted after sixty days. The Commis-sioner is to provide documentation of acceptance to successful applicants.

10) The regulation allows a business to amend a successful applicationat any time in accordance with the procedure of its original application.No amendment will be approved that would contain terms in conflict witha lease between a business and a SUNY college when the lease wasincluded in the original application.

11) The regulation permits a business that has been rejected from theSTART-UP program to locate within a Tax-Free Area without beingeligible for START-UP program benefits, or to reapply within sixty daysvia a written request identifying the reasons for rejection and offeringverified factual information addressing the reasoning of the rejection. Fail-ure to reapply within sixty days waives the applicant’s right to resubmit.Upon receipt of a timely resubmission, the Commissioner may use any re-sources to assess the claim, and must notify the applicant of his or her de-termination within sixty days. Disapproval of a reapplication is final andnon-appealable.

12) With respect to audits, the regulation requires businesses to provideaccess to DED, DTF, and DOL to all records relating to facilities locatedin Tax-Free Areas at a business location within the State during normalbusiness hours. DED, DTF, and DOL are to take reasonable steps toprevent public disclosure of information pursuant to Section 87 of thePublic Officers Law where the business has timely informed the appropri-ate officials, the records in question have been properly identified, and therequest is reasonable.

13) The regulation provides for the removal of a business from theprogram under a variety of circumstances, including violation of NewYork law, material misrepresentation of facts in its application to theSTART-UP program, or relocation from a Tax-Free Area. Upon removinga business from the START-UP program, the Commissioner is to notifythe business and its Sponsor of the decision in writing. This removal no-tice provides the basis for the removal decision, the effective removaldate, and the means by which the affected business may appeal the re-moval decision. A business shall be deemed served three days after noticeis sent. Following a final decision, or waiver of the right to appeal by thebusiness, DED is to forward a copy of the removal notice to DTF, and thebusiness is not to receive further tax benefits under the START-UPprogram.

14) To appeal removal from the START-UP program, a business mustsend written notice of appeal to the Commissioner within thirty days fromthe mailing of the removal notice. The notice of appeal must containspecific factual information and all legal arguments that form the basis ofthe appeal. The appeal is to be adjudicated in the first instance by an ap-peal officer who, in reaching his or her decision, may seek informationfrom outside sources, or require the parties to provide more information.The appeal officer is to prepare a report and make recommendations to theCommissioner. The Commissioner shall render a final decision based uponthe appeal officer’s report, and provide reasons for any findings of fact orlaw that conflict with those of the appeal officer.

15) With regard to disclosure authorization, businesses applying to par-ticipate in the START-UP program authorize the Commissioner to discloseany information contained in their application, including the projectednew jobs to be created.

16) In order to assess business performance under the START-UPprogram, the Commissioner may require participating businesses to submitannual reports on or before March 15 of each year describing the busi-nesses’ continued satisfaction of eligibility requirements, jobs data, an ac-counting of wages paid to employees in net new jobs, and any other infor-mation the Commissioner may require. Information contained inbusinesses’ annual reports may be made public by the Commissioner.

17) The Freedom of Information Law is applicable to the START-UPprogram, subject to disclosure waivers to protect certain proprietary infor-mation submitted in support of an application to the START-UP program.

18) All businesses must keep relevant records throughout their partici-pation in the START-UP program, plus three years. DED has the right toinspect all such documents upon reasonable notice.

19) If the Commissioner determines that a business has acted fraudu-lently in connection with its participation in the START-UP program, thebusiness shall be immediately terminated from the program, subject tocriminal penalties, and liable for taxes that would have been levied againstthe business during the current year.


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20) The regulation requires participating universities and colleges tomaintain a conflict of interest policy relevant to issues that may arise dur-ing the START-UP program, and to report violations of said policies to theCommissioner for publication.

This notice is intended to serve only as an emergency adoption, to bevalid for 90 days or less. This rule expires April 8, 2019.

Text of rule and any required statements and analyses may be obtainedfrom: Thomas Regan, Department of Economic Development, 625Broadway, Albany, NY 12207, (518) 292-5123, email:[email protected]

Regulatory Impact StatementSTATUTORY AUTHORITY:Chapter 68 of the Laws of 2013 requires the Commissioner of Eco-

nomic Development to promulgate rules and regulations to establishprocedures for the implementation and execution of the SUNY Tax-freeAreas to Revitalize and Transform UPstate New York program (START-UPNY). These procedures include, but are not limited to, the applicationprocesses for both academic institutions wishing to create Tax-Free NYAreas and businesses wishing to participate in the START-UP NYprogram, standards for evaluating applications, and any other provisionsthe Commissioner deems necessary and appropriate.

LEGISLATIVE OBJECTIVES:The proposed rule is in accord with the public policy objectives the

New York State Legislature sought to advance by enacting the START-UPNY program, which provides an incentive to businesses to locate criticalhigh-tech industries in New York State as opposed to other competitivemarkets in the U.S. and abroad. It is the public policy of the State to estab-lish Tax-Free Areas affiliated with New York universities and colleges,and to afford significant tax benefits to businesses, and the employees ofthose businesses, that locate within these Tax-Free Areas. The tax benefitsare designed to attract and retain innovative start-ups and high-techindustries, and secure for New York the economic activity they generate.The proposed rule helps to further such objectives by establishing the ap-plication process for the program, clarifying the nature of eligible busi-nesses and facilities, and describing key provisions of the START-UP NYprogram.

NEEDS AND BENEFITS:The emergency rule is necessary in order to implement the statute

contained in Article 21 of the Economic Development Law, creating theSTART-UP NY program. The statute directs the Commissioner of Eco-nomic Development to establish procedures for the implementation andexecution of the START-UP NY program.

Upstate New York has faced longstanding economic challenges due inpart to the departure of major business actors from the region. This divest-ment from upstate New York has left the economic potential of the regionunrealized, and left many upstate New Yorkers unemployed.

START-UP NY will promote economic development and job creationin New York, particularly the upstate region, through tax benefitsconditioned on locating business facilities in Tax-Free NY Areas. Attract-ing start-ups and high-tech industries is critical to restoring the economyof upstate New York, and to positioning the state as a whole to be compet-itive in a globalized economy. These goals cannot be achieved withoutfirst establishing procedures by which to admit businesses into theSTART-UP NY program.

The proposed regulation establishes procedures and standards for theimplementation of the START-UP program, especially rules for the cre-ation of Tax-Free NY Areas, application procedures for the admission ofbusinesses into the program, and eligibility requirements for continuedreceipt of START-UP NY benefits for admitted businesses. These rules al-low for the prompt and efficient commencement of the START-UP NYprogram, ensure accountability of business participants, and promote thegeneral welfare of New Yorkers.

COSTS:I. Costs to private regulated parties (the business applicants): None. The

proposed regulation will not impose any additional costs to eligible busi-ness applicants.

II. Costs to the regulating agency for the implementation and continuedadministration of the rule: None.

III. Costs to the State government: None.IV. Costs to local governments: None.LOCAL GOVERNMENT MANDATES:The rule establishes certain property tax benefits for businesses locating

in Tax-Free NY Areas that may impact local governments. However, asdescribed in the accompanying statement in lieu of a regulatory flexibilityanalysis for small businesses and local governments, the program isexpected to have a net-positive impact on local government.

PAPERWORK:The rule establishes application and eligibility requirements for Tax-

Free NY Areas proposed by universities and colleges, and participating

businesses. These regulations establish paperwork burdens that includematerials to be submitted as part of applications, documents that must besubmitted to maintain eligibility, and information that must be retained forauditing purposes.

DUPLICATION:The proposed rule will create a new section of the existing regulations

of the Commissioner of Economic Development, Part 220 of 5 NYCRR.Accordingly, there is no risk of duplication in the adoption of the proposedrule.

ALTERNATIVES:No alternatives were considered in regard to creating a new regulation

in response to the statutory requirement. The regulation implements thestatutory requirements of the START-UP NY program regarding the ap-plication process for creation of Tax-Free NY Areas and certification as aneligible business. This action is necessary in order to clarify programparticipation requirements and is required by the legislation establishingthe START-UP NY program.

FEDERAL STANDARDS:There are no federal standards applicable to the START-UP NY

program; it is purely a State program that offers tax benefits to eligiblebusinesses and their employees. Therefore, the proposed rule does notexceed any federal standard.

COMPLIANCE SCHEDULE:The affected State agency (Department of Economic Development) and

the business applicants will be able to achieve compliance with the regula-tion as soon as it is implemented.

Regulatory Flexibility AnalysisParticipation in the START-UP NY program is entirely at the discretion

of qualifying business that may choose to locate in Tax-Free NY Areas.Neither statute nor the proposed regulations impose any obligation on anybusiness entity to participate in the program. Rather than impose burdenson small business, the program is designed to provide substantial taxbenefits to start-up businesses locating in New York, while providingprotections to existing businesses against the threat of tax-privilegedstart-up companies locating in the same community. Local governmentsmay not be able to collect tax revenues from businesses locating in certainTax-Free NY Areas. However, the regulation is expected to have a net-positive impact on local governments in light of the substantial economicactivity associated with businesses locating their facilities in thesecommunities.

Because it is evident from the nature of the proposed rule that it willhave a net-positive impact on small businesses and local government, nofurther affirmative steps were needed to ascertain that fact and none weretaken. Accordingly, a regulatory flexibility analysis for small businessesand local government is not required and one has not been prepared.

Rural Area Flexibility Analysis

The START-UP NY program is open to participation from any businessthat meets the eligibility requirements, and is organized as a corporation,partnership, limited liability company, or sole proprietorship. A business’sdecision to locate its facilities in a Tax-Free NY Area associated with a ru-ral university or college would be no impediment to participation; in fact,START-UP NY allocates space for Tax-Free NY Areas specifically to theupstate region which contains many of New York’s rural areas. Further-more, START-UP NY specifically calls for the balanced allocation of spacefor Tax-Free NY Areas between eligible rural, urban, and suburban areasin the state. Thus, the regulation will not have a substantial adverse eco-nomic impact on rural areas, and instead has the potential to generate sig-nificant economic activity in upstate rural areas designated as Tax-FreeNY Areas. Accordingly, a rural flexibility analysis is not required and onehas not been prepared.


The regulation establishes procedures and standards for the administrationof the START-UP NY program. START-UP NY creates tax-free areasdesigned to attract innovative start-ups and high-tech industries to NewYork so as to stimulate economic activity and create jobs. The regulationwill not have a substantial adverse impact on jobs and employment op-portunities; rather, the program is focused on creating jobs. Because it isevident from the nature of the rulemaking that it will have either no impactor a positive impact on job and employment opportunities, no further affir-mative steps were needed to ascertain that fact and none were taken. Ac-cordingly, a job impact statement is not required and one has not beenprepared.


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EMERGENCY

RULE MAKING

Empire Zones Reform

I.D. No. EDV-05-19-00002-E

Filing No. 14




Action taken: Amendment of Parts 10 and 11; renumbering and amend-ment of Parts 12 through 14 to Parts 13, 15 and 16; and addition of newParts 12 and 14 to Title 5 NYCRR.

Statutory authority: General Municipal Law, art. 18-B, section 959; L.2000, ch. 63; L. 2005, ch. 63; L. 2009, ch. 57


Specific reasons underlying the finding of necessity: Regulatory action isneeded immediately to implement the statutory changes contained inChapter 57 of the Laws of 2009. The emergency rule also clarifies theadministrative procedures of the program, improves efficiency and helpsmake it more cost-effective and accountable to the State’s taxpayers,particularly in light of New York’s current fiscal climate. It bears notingthat General Municipal Law section 959(a), as amended by Chapter 57 ofthe Laws of 2009, expressly authorizes the Commissioner of EconomicDevelopment to adopt emergency regulations to govern the program.

Subject: Empire Zones reform.

Purpose: Allow Department to continue implementing Zones reforms andadopt changes that would enhance program’s strategic focus.

Substance of emergency rule: The emergency rule is the result of changesto Article 18-B of the General Municipal Law pursuant to Chapter 63 ofthe Laws of 2000, Chapter 63 of the Laws of 2005, and Chapter 57 of theLaws of 2009. These laws, which authorize the empire zones program,were changed to make the program more effective and less costly throughhigher standards for entry into the program and for continued eligibility toremain in the program. Existing regulations fail to address these require-ments and the existing regulations contain several outdated references.The emergency rule will correct these items.

The rule contained in 5 NYCRR Parts 10 through 14 (now Parts 10-16as amended), which governs the empire zones program, is amended asfollows:

1. The emergency rule, tracking the requirements of Chapter 63 of theLaws of 2005, requires placement of zone acreage into “distinct and sepa-rate contiguous areas.”

2. The emergency rule updates several outdated references, including:the name change of the program from Economic Development Zones toEmpire Zones, the replacement of Standard Industrial Codes with theNorth American Industrial Codes, the renaming of census-tract zones asinvestment zones, the renaming of county-created zones as developmentzones, and the replacement of the Job Training Partnership Act (and privateindustry councils) with the Workforce Investment Act (and local workforceinvestment boards).

3. The emergency rule adds the statutory definition of “cost-benefitanalysis” and provides for its use and applicability.

4. The emergency rule also adds several other definitions (such as ap-plicant municipality, chief executive, concurring municipality, empirezone capital tax credits or zone capital tax credits, clean energy researchand development enterprise, change of ownership, benefit-cost ratio,capital investments, single business enterprise and regionally significantproject) and conforms several existing regulatory definitions to statutorydefinitions, including zone equivalent areas, women-owned businessenterprise, minority-owned business enterprise, qualified investment proj-ect, zone development plans, and significant capital investment projects.The emergency rule also clarifies regionally significant project eligibility.Additionally, the emergency rule makes reference to the following taxcredits and exemptions: the Qualified Empire Zone Enterprise (“QEZE”)Real Property Tax Credit, QEZE Tax Reduction Credit, and the QEZESales and Use Tax Exemption. The emergency rule also reflects theeligibility of agricultural cooperatives for Empire Zone tax credits and theQEZE Real Property Tax Credit.

5. The emergency rule requires additional statements to be included inan application for empire zone designation, including (i) a statement fromthe applicant and local economic development entities pertaining to theintegration and cooperation of resources and services for the purpose ofproviding support for the zone administrator, and (ii) a statement from the

applicant that there is no viable alternative area available that has existingpublic sewer or water infrastructure other than the proposed zone.

6. The emergency rule amends the existing rule in a manner that allowsfor the designation of nearby lands in investment zones to exceed 320acres, upon the determination by the Department of Economic Develop-ment that certain conditions have been satisfied.

7. The emergency rule provides a description of the elements to beincluded in a zone development plan and requires that the plan beresubmitted by the local zone administrative board as economic condi-tions change within the zone. Changes to the zone development plan mustbe approved by the Commissioner of Economic Development (“theCommissioner”). Also, the rule adds additional situations under which abusiness enterprise may be granted a shift resolution.

8. The emergency rule grants discretion to the Commissioner todetermine the contents of an empire zone application form.

9. The emergency rule tracks the amended statute’s deletion of the cate-gory of contributions to a qualified Empire Zone Capital Corporation fromthose businesses eligible for the Zone Capital Credit.

10. The emergency rule reflects statutory changes to the process torevise a zone’s boundaries. The primary effect of this is to limit the numberof boundary revisions to one per year.

11. The emergency rule describes the amended certification anddecertification processes. The authority to certify and decertify now restssolely with the Commissioner with reduced roles for the Department ofLabor and the local zone. Local zone boards must recommend projects tothe State for approval. The labor commissioner must determine whetheran applicant firm has been engaged in substantial violations, or pattern ofviolations of laws regulating unemployment insurance, workers’ compen-sation, public work, child labor, employment of minorities and women,safety and health, or other laws for the protection of workers as determinedby final judgment of a judicial or administrative proceeding. If such ap-plicant firm has been found in a criminal proceeding to have committedany such violations, the Commissioner may not certify that firm.

12. The emergency rule describes new eligibility standards forcertification. The new factors which may be considered by the Commis-sioner when deciding whether to certify a firm is (i) whether a non-manufacturing applicant firm projects a benefit-cost ratio of at least 20:1for the first three years of certification, (ii) whether a manufacturing ap-plicant firm projects a benefit-cost ratio of at least 10:1 for the first threeyears of certification, and (iii) whether the business enterprise conformswith the zone development plan.

13. The emergency rule adds the following new justifications fordecertification of firms: (a) the business enterprise, that has submitted atleast three years of business annual reports, has failed to provide eco-nomic returns to the State in the form of total remuneration to its employ-ees (i.e. wages and benefits) and investments in its facility greater in valueto the tax benefits the business enterprise used and had refunded to it; (b)the business enterprise, if first certified prior to August 1, 2002, causedindividuals to transfer from existing employment with another businessenterprise with similar ownership and located in New York state to similaremployment with the certified business enterprise or if the enterpriseacquired, purchased, leased, or had transferred to it real property previ-ously owned by an entity with similar ownership, regardless of form ofincorporation or organization; (c) change of ownership or moving out ofthe Zone, (d) failure to pay wages and benefits or make capital invest-ments as represented on the firm’s application, (e) the business enterprisemakes a material misrepresentation of fact in any of its business annualreports, and (f) the business enterprise fails to invest in its facilitysubstantially in accordance with the representations contained in itsapplication. In addition, the regulations track the statute in permitting thedecertification of a business enterprise if it failed to create new employ-ment or prevent a loss of employment in the zone or zone equivalent area,and deletes the condition that such failure was not due to economic cir-cumstances or conditions which such business could not anticipate orwhich were beyond its control. The emergency rule provides that the Com-missioner shall revoke the certification of a firm if the firm fails the stan-dard set forth in (a) above, or if the Commissioner makes the finding in (b)above, unless the Commissioner determines in his or her discretion, afterconsultation with the Director of the Budget, that other economic, socialand environmental factors warrant continued certification of the firm. Theemergency rule further provides for a process to appeal revocations ofcertifications based on (a) or (b) above to the Empire Zones DesignationBoard. The emergency rule also provides that the Commissioner mayrevoke the certification of a firm upon a finding of any one of the othercriteria for revocation of certification set forth in the rule.

14. The emergency rule adds a new Part 12 implementing record-keeping requirements. Any firm choosing to participate in the empire zonesprogram must maintain and have available, for a period of six years, all in-formation related to the application and business annual reports.

15. The emergency rule clarifies the statutory requirement from Chapter


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63 of the Laws of 2005 that development zones (formerly county zones)create up to three areas within their reconfigured zones as investment(formerly census tract) zones. The rule would require that 75% of the acre-age used to define these investment zones be included within an eligible orcontiguous census tract. Furthermore, the rule would not require adevelopment zone to place investment zone acreage within a municipalityin that county if that particular municipality already contained an invest-ment zone, and the only eligible census tracts were contained within thatmunicipality.

16. The emergency rule tracks the statutory requirements that zonesreconfigure their existing acreage in up to three (for investment zones) orsix (for development zones) distinct and separate contiguous areas, andthat zones can allocate up to their total allotted acreage at the time ofdesignation. These reconfigured zones must be presented to the EmpireZones Designation Board for unanimous approval. The emergency rulemakes clear that zones may not necessarily designate all of their acreageinto three or six areas or use all of their allotted acreage; the rule removesthe requirement that any subsequent additions after their official redesigna-tion by the Designation Board will still require unanimous approval bythat Board.

17. The emergency rule clarifies the statutory requirement that certaindefined “regionally significant” projects can be located outside of thedistinct and separate contiguous areas. There are four categories ofprojects: (i) a manufacturer projecting the creation of fifty or more net newjobs in the State of New York; (ii) an agri-business or high tech or biotechbusiness making a capital investment of ten million dollars and creatingtwenty or more net new jobs in the State of New York, (iii) a financial orinsurance services or distribution center creating three hundred or morenet new jobs in the State of New York, and (iv) a clean energy researchand development enterprise. Other projects may be considered by theempire zone designation board. Only one category of projects, manufactur-ers projecting the creation of 50 or more net new jobs, are allowed toprogress before the identification of the distinct and separate contiguousareas and/or the approval of certain regulations by the Empire ZonesDesignation Board. Regionally significant projects that fall within the fourcategories listed above must be projects that are exporting 60% of theirgoods or services outside the region and export a substantial amount ofgoods or services beyond the State.

18. The emergency rule clarifies the status of community developmentprojects as a result of the statutory reconfiguration of the zones.

19. The emergency rule clarifies the provisions under Chapter 63 of theLaws of 2005 that allow for zone-certified businesses which will be lo-cated outside of the distinct and separate contiguous areas to receive zonebenefits until decertified. The area which will be “grandfathered” shall belimited to the expansion of the certified business within the parcel or por-tion thereof that was originally located in the zone before redesignation.Each zone must identify any such business by December 30, 2005.

20. The emergency rule elaborates on the “demonstration of need”requirement mentioned in Chapter 63 of the Laws of 2005 for the addition(for both investment and development zones) of an additional distinct andseparate contiguous area. A zone can demonstrate the need for a fourth or,as the case may be, a seventh distinct and separate contiguous area if (1)there is insufficient existing or planned infrastructure within the three (orsix) distinct and separate contiguous areas to (a) accommodate businessdevelopment and there are other areas of the applicant municipality thatcan be characterized as economically distressed and/or (b) accommodatedevelopment of strategic businesses as defined in the local developmentplan, or (2) placing all acreage in the other three or six distinct and sepa-rate contiguous areas would be inconsistent with open space and wetlandprotection, or (3) there are insufficient lands available for further businessdevelopment within the other distinct and separate contiguous areas.

The full text of the emergency rule is available atwww.empire.state.ny.us

This notice is intended to serve only as an emergency adoption, to bevalid for 90 days or less. This rule expires April 8, 2019.

Text of rule and any required statements and analyses may be obtainedfrom: Thomas P Regan, NYS Department of Economic Development, 625Broadway, Albany NY 12245, (518) 292-5123, email:[email protected]

Regulatory Impact StatementSTATUTORY AUTHORITY:Section 959(a) of the General Municipal Law authorizes the Commis-

sioner of Economic Development to adopt on an emergency basis rulesand regulations governing the criteria of eligibility for empire zonedesignation, the application process, the certification of a businessenterprises as to eligibility of benefits under the program and the decertifi-cation of a business enterprise so as to revoke the certification of businessenterprises for benefits under the program.

LEGISLATIVE OBJECTIVES:

The rulemaking accords with the public policy objectives the Legisla-ture sought to advance because the majority of such revisions are in directresponse to statutory amendments and the remaining revisions eitherconform the regulations to existing statute or clarify administrativeprocedures of the program. These amendments further the Legislativegoals and objectives of the Empire Zones program, particularly as theyrelate to regionally significant projects, the cost-benefit analysis, and theprocess for certification and decertification of business enterprises. Theproposed amendments to the rule will facilitate the administration of thisprogram in a more efficient, effective, and accountable manner.

NEEDS AND BENEFITS:The emergency rule is required in order to implement the statutory

changes contained in Chapter 57 of the Laws of 2009. The emergency rulealso clarifies the administrative procedures of the program, improves effi-ciency and helps make it more cost-effective and accountable to the State’staxpayers, particularly in light of New York’s current fiscal climate.

COSTS:A. Costs to private regulated parties: None. There are no regulated par-

ties in the Empire Zones program, only voluntary participants.B. Costs to the agency, the state, and local governments: There will be

additional costs to the Department of Economic Development associatedwith the emergency rule making. These costs pertain to the addition ofpersonnel that may need to be hired to implement the Empire Zonesprogram reforms. There may be savings for the Department of Labor as-sociated with the streamlining of the State’s administration and concentra-tion of authority within the Department of Economic Development. Thereis no additional cost to local governments.

C. Costs to the State government: None. There will be no additionalcosts to New York State as a result of the emergency rule making.

LOCAL GOVERNMENT MANDATES:None. Local governments are not mandated to participate in the Empire

Zones program. If a local government chooses to participate, there is acost associated with local administration that local government officialsagreed to bear at the time of application for designation as an EmpireZone. One of the requirements for designation was a commitment to localadministration and an identification of local resources that would bededicated to local administration.

This emergency rule does not impose any additional costs to the localgovernments for administration of the Empire Zones program.

PAPERWORK:The emergency rule imposes new record-keeping requirements on busi-

nesses choosing to participate in the Empire Zones program. The emer-gency rule requires all businesses that participate in the program to estab-lish and maintain complete and accurate books relating to theirparticipation in the Empire Zones program for a period of six years.

DUPLICATION:The emergency rule conforms to provisions of Article 18-B of the Gen-

eral Municipal Law and does not otherwise duplicate any state or federalstatutes or regulations.

ALTERNATIVES:No alternatives were considered with regard to amending the regula-

tions in response to statutory revisions.FEDERAL STANDARDS:There are no federal standards in regard to the Empire Zones program.

Therefore, the emergency rule does not exceed any Federal standard.COMPLIANCE SCHEDULE:The period of time the state needs to assure compliance is negligible,

and the Department of Economic Development expects to be compliantimmediately.

Regulatory Flexibility Analysis1. Effect of ruleThe emergency rule imposes new record-keeping requirements on small

businesses and large businesses choosing to participate in the EmpireZones program. The emergency rule requires all businesses that partici-pate in the program to establish and maintain complete and accurate booksrelating to their participation in the Empire Zones program for a period ofsix years. Local governments are unaffected by this rule.

2. Compliance requirementsEach small business and large business choosing to participate in the

Empire Zones program must establish and maintain complete and accuratebooks, records, documents, accounts, and other evidence relating to suchbusiness’s application for entry into the Empire Zone program and relatingto existing annual reporting requirements. Local governments are unaf-fected by this rule.

3. Professional servicesNo professional services are likely to be needed by small and large

businesses in order to establish and maintain the required records. Localgovernments are unaffected by this rule.

4. Compliance costsNo initial capital costs are likely to be incurred by small and large busi-


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nesses choosing to participate in the Empire Zones program. Annualcompliance costs are estimated to be negligible for both small and largesbusinesses. Local governments are unaffected by this rule.

5. Economic and technological feasibilityThe Department of Economic Development (“DED”) estimates that

complying with this record-keeping is both economically and technologi-cally feasible. Local governments are unaffected by this rule.

6. Minimizing adverse impactDED finds no adverse economic impact on small or large businesses

with respect to this rule. Local governments are unaffected by this rule.7. Small business and local government participationDED is in full compliance with SAPA Section 202-b(6), which ensures

that small businesses and local governments have an opportunity to partic-ipate in the rule-making process. DED has conducted outreach within thesmall and large business communities and maintains continuous contactwith small businesses and large businesses with regard to their participa-tion in this program. Local governments are unaffected by this rule.

Rural Area Flexibility AnalysisThe Empire Zones program is a statewide program. Although there aremunicipalities and businesses in rural areas of New York State that areeligible to participate in the program, participation by the municipalitiesand businesses is entirely at their discretion. The emergency rule imposesno additional reporting, recordkeeping or other compliance requirementson public or private entities in rural areas. Therefore, the emergency rulewill not have a substantial adverse economic impact on rural areas orreporting, recordkeeping or other compliance requirements on public orprivate entities in such rural areas. Accordingly, a rural area flexibilityanalysis is not required and one has not been prepared.

Job Impact StatementThe emergency rule relates to the Empire Zones program. The EmpireZones program itself is a job creation incentive, and will not have asubstantial adverse impact on jobs and employment opportunities. In fact,the emergency rule, which is being promulgated as a result of statutoryreforms, will enable the program to continue to fulfill its mission of jobcreation and investment for economically distressed areas. Because it isevident from its nature that this emergency rule will have either no impactor a positive impact on job and employment opportunities, no further affir-mative steps were needed to ascertain that fact and none were taken. Ac-cordingly, a job impact statement is not required and one has not beenprepared.

Education Department

ERRATUM

I.D. No. EDU-19-18-00006-RP, pertaining to To Implement New YorkState’s Every Student Succeeds Act (ESSA) Plan, published in theDecember 26, 2018 issue of the State Register, indicated that publiccomment would be received until 30 days after publication of the Notice.

The public comment period for this Notice has been extended untilFebruary 9, 2019.

EMERGENCY

RULE MAKING

English Language Learner Grade Span Requirement

I.D. No. EDU-47-18-00010-E

Filing No. 22




Action taken: Amendment of section 154-2.3(i) of Title 8 NYCRR.

Statutory authority: Education Law, sections 207, 208, 305, 315, 2117,2854(1)(b) and 3204


Specific reasons underlying the finding of necessity: The proposedamendment is necessary, beginning with the 2018-2019 school year, toimplement Regents policy to permit certain eligible school districts toseek a waiver from the requirement in Commissioner’s Regulations sec-

tion 154-2.3(i) which provides that the maximum allowable grade span forgrouping instruction in grades 1-12 English as a new language or bilingualeducation classes is two contiguous grades, except for English languagelearners in a special class.

Since the Board of Regents meets at fixed intervals, the earliest theproposed rule can be presented for regular (non-emergency) adoption, af-ter expiration of the required 60-day public comment period provided forin the State Administrative Procedure Act (SAPA) sections 201(1) and (5),would be the March 2019 Regents meeting. Furthermore, pursuant toSAPA section 203(1), the earliest effective date of the proposed rule, ifadopted at the March meeting, would be March 27, 2019, the date a No-tice of Adoption would be published in the State Register.

Therefore, emergency action is necessary at the January 2019 Regentsmeeting for the preservation of the general welfare in order to ensure thateligible school districts have enough notice that they may seek such waiverfor the 2018-2019 school year and to ensure that the emergency ruleadopted at the November 2018 meeting remains continuously in effectuntil it can be adopted as a permanent rule. It is anticipated that theproposed rule will be presented for adoption as a permanent rule at theMarch 2019 Regents meeting, which is the first scheduled meeting afterexpiration of the 60-day public comment period prescribed in the SAPAfor State agency rule makings.Subject: English Language Learner Grade Span Requirement.Purpose: To provide a one-year renewable waiver to expand the allowablegrade span for ENL and BE classes to three contiguous grades.Text of emergency rule: Subdivision (i) of section 154-2.3 of the Regula-tions of the Commissioner of Education is amended, to read as follows:

(i) Grade Span.(1) The maximum allowable grade span for grouping instruction in

grades 1-12 English as a new language or bilingual education classes istwo contiguous grades, except for English language learners in a specialclass, as defined by section 200.1(uu) of this Title. Provided, however, thatbeginning with the 2018-2019 school year the Commissioner may waivesuch requirement for school districts with enrollment of fewer than thirtyEnglish language learner students and permit such districts to utilize amaximum allowable grade span for instruction in grades 1-12 English asa new language or bilingual education classes of three contiguous grades,except for English language learners in a special class, as defined by sec-tion 200.1(uu) of this Title. A district seeking permission for such a waivershall annually submit to the commissioner for approval an application ona form prescribed by the commissioner which must include:

(i) data regarding the number and percentages of English languagelearners enrolled in the district, along with data regarding the number ofcertified bilingual education and English to speakers of other languagesteachers in the district;

(ii) evidence that the district will ensure that all English languagelearners receive grade and age appropriate instructional support if thewaiver is granted; and

(iii) evidence regarding the district’s efforts to meet the two gradespan requirement of this subparagraph prior to seeking a waiver.

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. EDU-47-18-00010-EP, Issue ofNovember 21, 2018. The emergency rule will expire March 15, 2019.

Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, NYS Education Department, Office of Counsel, 89Washington Avenue, Room 112, Albany, NY 12234, (518) 474-6400,email: [email protected]

Regulatory Impact Statement1. STATUTORY AUTHORITY:Education Law 207 (not subdivided) grants general rule-making author-

ity to the Regents to carry into effect State educational laws and policies.Education Law 208(not subdivided) grants the authority to confer by

diploma under their seal such degrees as they deem proper, and to awardcertificates, diplomas and degrees on persons who satisfactorily meet thoserequirements.

Education Law 305(1) and (3) authorizes the Commissioner to enforcethe educational policies of this State and execute all educational policiesdetermined by the Regents and shall prescribe the licensing of teachersemployed in this State.

Education Law 2117 requires the school authorities of each schooldistrict to make a report to the Commissioner upon any particular matterrelating to their schools whenever such report shall e required byCommissioner.

Education Law 2854(1)(b) provides that charter schools shall be exemptfrom all other state and local laws, rules, regulations or policies governingpublic or private schools, boards of education, school districts and politi-cal subdivisions, including those relating to school personnel and students,except as specifically provided in the school’s charter or in this article.


9

Education Law 3204(2) and (2-a) requires that instruction only be givenby a component instruction and that in the teaching of subjects of instruc-tion, English shall be the language of instruction. It also requires that eachdistrict that is receiving foundation aid develop a comprehensive plan tomeet the educational needs of pupils of limited English proficiency.

2. LEGISLATIVE OBJECTIVES:The purpose of the proposed amendment is to provide a one-year re-

newable waiver to allow districts with fewer than 30 ELLs to seek ap-proval from the Commissioner to expand the allowable grade span forENL and BE classes to three contiguous grades.

3. NEEDS AND BENEFITS:In January 2017, the New York State Council of School Superintendents

(NYSCOSS) contacted the Department to request regulatory flexibility inmeeting the requirement in section 154-2.3(i) of the Commissioner’sregulations which provides that the maximum allowable grade span forgrouping instruction in grades 1-12 English as a new language (“ENL”) orbilingual education (“BE”) classes is two contiguous grades, except forEnglish language learners (“ELLs”) in a special class. NYSCOSSexpressed concerns about the challenge of hiring additional staff in orderto limit ENL and BE classes to two contiguous grades, given the statewideshortage of certified ENL and BE teachers.

The Department understands these concerns, and in particular the chal-lenges that smaller districts and districts with few ELLs may face in meet-ing the two contiguous grade span requirement in section 154-2.3(i) of theCommissioner’s regulations. However, the Department must counterbal-ance these concerns with the need to ensure that ELLs in ENL and BEclasses have access to age and grade appropriate instruction. In accor-dance with the Department’s Blueprint for ELL Success, ELLs – like otherstudents – are entitled to “materials and instructional resources that arelinguistically age/grade appropriate.” The proposed amendment seeks tobalance these concerns by creating a one-year renewable waiver allowingdistricts with fewer than 30 ELLs to seek approval from the Commis-sioner to expand the allowable grade span for ENL and BE classes to threecontiguous grades.

Districts seeking the waiver will be required to provide key demographicinformation such as the total number and percentage of ELLs in the districtas well as in particular schools, and the number of available certified BEand English for speakers of other languages (“ESOL”) teachers to servethem. Districts will also be required to submit a justification explaininghow they will ensure that all ELLs receive appropriate support if a waiveris granted, as well as the efforts the district has made to comply with thetwo grade span requirement of section 154-2.3(i) given its current staffing.

In order to better enable districts to meet the two grade span require-ment of section 154-2.3(i), as well as to set forth best practices to supportdistricts that apply for this waiver, the Department will issue an ac-companying guidance document entitled “School District Justification toExpand the Maximum Allowable Grade Span to Three Contiguous Gradesin 1-12 English as a New Language (ENL) or Bilingual Education (BE)Classes.” Contained in this guidance are questions and answers regardingwhich districts qualify for the waiver, best practices and guidance regard-ing instructional grouping practices, and recommended solutions for com-mon challenges.

4. COSTS:a. Costs to State government: The amendments do not impose any costs

on State government, including the State Education Department.b. Costs to local government: The amendments do not impose any costs

on local government.c. Costs to private regulated parties: The amendment do not impose any

costs on private regulated parties.d. Costs to regulating agency for implementation and continued

administration: See above.5. LOCAL GOVERNMENT MANDATES:The proposed amendment does not impose any additional program, ser-

vice, duty or responsibility upon any local government.6. PAPERWORK:The proposed amendment does not impose any additional paperwork

requirements.7. DUPLICATION:The proposed amendment does not duplicate existing State or Federal

requirements.8. ALTERNATIVES:The purpose of the proposed amendment is to provide a one-year re-

newable waiver allowing districts with fewer than 30 ELLs to seek ap-proval from the Commissioner to expand the allowable grade span forENL and BE classes to three contiguous grades.

9. FEDERAL STANDARDS:There are no applicable Federal standards.10. COMPLIANCE SCHEDULE:It is anticipated that the proposed amendment will be permanently

adopted by the Board of Regents at its March 2019 meeting. If adopted at

the March 2019 meeting, the proposed amendment will become effectiveon March 27, 2019.Regulatory Flexibility Analysis

(a) Small businesses:The proposed amendment seeks to balance these concerns by creating a

one-year renewable waiver allowing districts with fewer than 30 ELLs toseek approval from the Commissioner to expand the allowable grade spanfor ENL and BE classes to three contiguous grades. Because it is evidentfrom the nature of the proposed amendment that it does not affect smallbusinesses, no further measures were needed to ascertain that fact andnone were taken. Accordingly, a regulatory flexibility analysis for smallbusinesses is not required and one has not been prepared.

(b) Local governments:1. EFFECT OF RULE:The proposed amendment applies to school districts across the State.2. COMPLIANCE REQUIREMENTS:In January 2017, the New York State Council of School Superintendents

(NYSCOSS) contacted the Department to request regulatory flexibility inmeeting the requirement in section 154-2.3(i) of the Commissioner’sregulations which provides that the maximum allowable grade span forgrouping instruction in grades 1-12 English as a new language (“ENL”) orbilingual education (“BE”) classes is two contiguous grades, except forEnglish language learners (“ELLs”) in a special class. NYSCOSSexpressed concerns about the challenge of hiring additional staff in orderto limit ENL and BE classes to two contiguous grades, given the statewideshortage of certified ENL and BE teachers.




3. PROFESSIONAL SERVICES:The proposed rule does not impose any additional professional services

requirements on local governments.4. COMPLIANCE COSTS:The proposed amendments will not impose any additional program, ser-

vice, duty, responsibility or costs beyond those imposed by the statute.5. ECONOMIC AND TECHNOLOGICAL FEASIBILITY:The proposed amendments do not impose any new technological

requirements on school districts or charter schools. Economic feasibility isaddressed in the Costs section above.

6. MINIMIZING ADVERSE IMPACT:The proposed amendment seeks to balance these concerns by creating a

one-year renewable waiver allowing districts with fewer than 30 ELLs toseek approval from the Commissioner to expand the allowable grade spanfor ENL and BE classes to three contiguous grades.

7. SMALL BUSINESS AND LOCAL GOVERNMENTPARTICIPATION:

Comments on the proposed rule were solicited from school districtsthrough the offices of the district superintendents of each supervisorydistrict in the State and from the chief school officers of the five big cityschool districts.

Rural Area Flexibility Analysis1. TYPES AND ESTIMATED NUMBERS OF RURAL AREAS:This proposed amendment applies to all school districts in New York


10

State, including those located in the 44 rural counties with fewer than200,000 inhabitants and the 71 towns and urban counties with a popula-tion density of 150 square miles or less.

2. REPORTING, RECORDKEEPING AND OTHER COMPLIANCEREQUIREMENTS; AND PROFESSIONAL SERVICES:

In January 2017, the New York State Council of School Superintendents(NYSCOSS) contacted the Department to request regulatory flexibility inmeeting the requirement in section 154-2.3(i) of the Commissioner’sregulations which provides that the maximum allowable grade span forgrouping instruction in grades 1-12 English as a new language (“ENL”) orbilingual education (“BE”) classes is two contiguous grades, except forEnglish language learners (“ELLs”) in a special class. NYSCOSSexpressed concerns about the challenge of hiring additional staff in orderto limit ENL and BE classes to two contiguous grades, given the statewideshortage of certified ENL and BE teachers.




3. COSTS:The proposed amendment does not impose any costs on regulated

parties.4. MINIMIZING ADVERSE IMPACT:The purpose of the proposed amendment is to provide a one-year re-


5. RURAL AREA PARTICIPATION:Copies of the proposed amendments have been provided to Rural Advi-

sory Committee for review and comment.

Job Impact StatementThe purpose of the proposed amendment is to provide a one-year re-


Because there is a demonstrated shortage of ELL and BE teachers, it isevident from the nature of the proposed amendment that it will have littleor no impact on the number of jobs or employment opportunities in NewYork State, no further steps were needed to ascertain that fact and nonewere taken.

Assessment of Public CommentFollowing the public comment period required under the State Adminis-

trative Procedure Act, the Department received the following comments:1. COMMENT:One commenter expressed the position that the regulation puts students

at a disadvantage by grouping them in more than two continuous grades,on account of both developmental and instructional appropriateness. Thecommenter felt that the skills covered across three grade spans would betoo broad to cover in a single classroom.

DEPARTMENT RESPONSE:The Department agrees that it is critical to provide instruction that is

both developmentally and instructionally appropriate. The Department has

limited the waiver’s availability to districts with low English LanguageLearner enrollment of thirty or less students district-wide. Districts seek-ing the waiver will be required to provide key demographic informationsuch as the total number and percentage of ELLs in the district as well asin particular schools, and the number of available certified BE and Englishfor speakers of other languages (“ESOL”) teachers to serve them. Districtswill also be required to submit a justification explaining how they willensure that all ELLs receive appropriate support if a waiver is granted, aswell as the efforts the district has made to comply with the two grade spanrequirement of section 154-2.3(i) given its current staffing.

The Department also issued an accompanying guidance documententitled “School District Justification to Expand the Maximum AllowableGrade Span to Three Contiguous Grades in 1-12 English as a NewLanguage (ENL) or Bilingual Education (BE) Classes.” Contained in thisguidance are questions and answers regarding which districts qualify forthe waiver, best practices and guidance regarding instructional groupingpractices, and recommended solutions for common challenges. TheDepartment is also available for technical assistance and support asdistricts implement this temporary waiver.

2. COMMENT:Two commenters expressed support for the regulation, on account of

benefits to smaller districts and schools. One commenter expressed thatthe regulation will help smaller schools which may not have sufficient re-sources to meet the two grade span requirement. The commenter furtherexpressed that developmental differences may not be as great in highergrades and that differences in instructional needs can be accommodatedby differentiation of lesson plans. Another commenter observed that insmall districts, English as a New Language teachers often have to work inmore than one school or even more than one district and across manygrades, in which case it can be instructionally beneficial to group studentsbased on proficiency across multiple grades.

DEPARTMENT RESPONSE:It is not necessary for the Department to respond as these comments are

in support of the proposed regulation.

EMERGENCY/PROPOSED

RULE MAKING


Administration of Certain Vaccines by Pharmacy Interns

I.D. No. EDU-05-19-00016-EP

Filing No. 24




Proposed Action: Amendment of sections 63.4 and 63.9 of Title 8NYCRR.

Statutory authority: Education Law, sections 207(not subdivided),6504(not subdivided), 6507(2), 6527(7), 6801(2), (4), 6802(22), 6806,6902(1), 6909(7); L. 2018, ch. 359

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

Specific reasons underlying the finding of necessity: The proposedamendment to the Regulations of the Commissioner of Education is nec-essary to implement chapter 359 of the Laws of 2018 (chapter 359), whichamended Education Law section 6806, effective December 7, 2018, to al-low the administration of immunizations by a pharmacy intern, certified toadminister immunizations, under the immediate and personal supervisionof a licensed pharmacist certified to immunize. Chapter 359 was enacted,in part, to make immunizations more readily available and to provide cer-tified pharmacy interns with valuable hands on clinical experience, whileunder the oversight and supervision of a licensed pharmacist, who is certi-fied to administer immunizations.

Chapter 359 permits a pharmacy intern to receive a certificate ofadministration which permits administration of immunizations under theimmediate and personal supervision of a licensed pharmacist certified toadminister immunizations; establishes procedures and requirements for apharmacy intern to receive a certificate of administration; and requires apatient to be informed that a pharmacy intern, certified to administer im-munizations, will be administering the immunization and that the patientmust be given the option of having the immunization administered by thecertified pharmacist.

Chapter 359 directs the Commissioner to promulgate regulations thatestablish standards for training of a pharmacy intern in the following areas:


11

techniques for screening individuals and obtaining informed consent;techniques of administration; indications, precautions and contraindica-tions in the use of an agent or agents; recordkeeping of immunization andinformation; and handling emergencies, including anaphylaxis andneedlestick injuries. Chapter 359 also requires the Commissioner topromulgate rules and regulations relating to the documentation requiredfrom the dean or other appropriate official of the registered program thatthe pharmacy intern has completed the required training.

The proposed addition of subdivision (d) to section 63.4 of the Regula-tions of the Commissioner of Education establishes the requirements for apharmacy intern to obtain a certificate to administer immunizations andestablishes the required training coursework for such certification.

The proposed amendment to subdivision (b) of section 63.9 of theRegulations of the Commissioner of Education authorizes a certifiedpharmacist to delegate the administration of immunizations to a pharmacyintern that is properly trained and certified to administer immunizationsunder the immediate personal supervision of the certified pharmacist.

In addition, the proposed amendment to subdivision (b) of section 63.9of the Regulations of the Commissioner of Education requires the recipi-ent, or the person legally responsible for the recipient when the patient isincapable of consenting to the immunization, to be informed when a certi-fied pharmacy intern will be administering the immunization and consentto it. The proposed amendment further provides that, if the recipient, orthe person legally responsible for the recipient when the patient isincapable of consenting to the immunization, does not consent, then thecertified pharmacist will administer the immunization.

Since the Board of Regents meets at fixed intervals, the earliest theproposed rule can be presented for permanent adoption, after expiration ofthe required 60-day comment period provided for in the State Administra-tive Procedure Act (SAPA) sections 201(1) and (5), would be the May 6-9,2019 Regents meeting. Furthermore, pursuant to SAPA 203(1), the earliesteffective date of the proposed rule, if adopted at the May meeting wouldbe May 22,2019, the date the Notice of Adoption would be published inthe State Register.

Therefore, emergency action is necessary at the January 2019 meetingfor the preservation of the public health and general welfare in order toimmediately conform the Regulations of the Commissioner of Educationto the requirements of Chapter 359, which is already in effect, to, interalia, authorize the administration of immunizations by a pharmacy intern,certified to administer immunizations, after completing required training,under the immediate and personal supervision of a licensed pharmacistcertified to administer immunizations, in order to improve the public’s ac-cess to immunizations and provide certified pharmacy interns with valu-able hands on clinical experience.

It is anticipated that the proposed rule will be presented for adoption asa permanent rule at the May 2019 Regents meeting, which is the firstscheduled meeting after the 60-day public comment period prescribed inSAPA for State agency rule makings.

Subject: Administration of certain vaccines by pharmacy interns.

Purpose: To implement the provisions of chapter 359 of the Laws of 2018.

Text of emergency/proposed rule: 1. Subdivision (d) of section 63.4 ofthe Regulations of the Commissioner of Education is added, as follows:

(d) Requirements for a certificate to administer immunizations. Nopharmacy intern shall administer immunizing agents without a certificateof administration issued by the department. For purposes of this section, acertified pharmacy intern shall mean a limited permit holder who is issueda certificate of administration pursuant to this subdivision. To meet therequirements for a certificate of administration, the pharmacy intern shallsubmit an application, on a form prescribed by the department. Each ap-plication shall contain an attestation by the dean, or other appropriate of-ficial of the registered program that the applicant has completed therequired training, as specified in section 6808 of the Education Law, andpresent satisfactory evidence of completion of the requirements set forth inone of the following subparagraphs:

(1) Training course. Completion of a training course in the adminis-tration of immunizations acceptable to the Commissioner and the Com-missioner of Health, within the three years immediately preceding ap-plication for a certificate of administration. Such course shall include, butnot be limited to, instruction in:

(i) techniques for screening patients and for obtaining informedconsent;

(ii) techniques in the administration of immunizing agents, includ-ing the injection of a harmless, non-medicinal saline solution into volun-tary recipients;

(iii) indications, precautions and contraindications in the use ofimmunizing agents;

(iv) handling of emergencies including needlestick injuries andanaphylaxis, including the use of medications required for emergencytreatment of anaphylaxis;

(v) cardio-pulmonary resuscitation techniques; and(vi) recordkeeping and reporting of immunizations and informa-

tion; or(2) A pharmacy intern that has completed a training course associ-

ated with Doctor of Pharmacy degree pursuant to the requirements in sec-tion 63.9(b)(3)(ii).

2. Subdivision (b) of section 63.9 of the Regulations of the Commis-sioner of Education is amended, as follows:

(b) Immunizations(1)…(2)…(3)…(4) With the exception of a certified pharmacy intern, a certified

pharmacist shall not delegate the administration of immunizations to an-other person. For purposes of this section, a certified pharmacy internshall mean a pharmacy intern who is certified to administer immunizationas specified in section 6808 of the Education Law and has completed therequirements set forth in subdivision (d) of section 63.4 of this Part. Sucha certified pharmacy intern may only administer immunizations under theimmediate personal supervision of the certified pharmacist.

[(4)] (5) Standards, procedures and reporting requirements for theadministration of immunization agents. Each certified pharmacist shallcomply with the following requirements when administering an im-munization agent pursuant to either a patient specific order or a non-patientspecific order and protocol:

(i) . . .(ii) . . .(iii) . . .(iv) . . .(v) a certified pharmacist shall not allow a certified pharmacy

intern to administer immunizations unless the recipient, or the personlegally responsible for the recipient when the patient is incapable ofconsenting to the immunization, is informed that the pharmacy intern willbe administering the immunization and the recipient, or the person legallyresponsible for the recipient when the patient is incapable of consenting tothe immunization, consents to administration of the immunization by thecertified pharmacy intern. If the recipient, or the person legally responsiblefor the recipient when the patient is incapable of consenting to the im-munization, does not consent to administration by the certified pharmacyintern, then the option to receive the immunization from a certifiedpharmacist shall be provided.

[(v)] (vi) a certified pharmacist shall provide written instructionsto the recipient regarding the appropriate course of action in the event ofcontraindications or adverse reactions, which statements are required to bedeveloped by a competent entity knowledgeable about the adverse reac-tions of the immunization agent which shall be administered, such as theCenters for Disease Control of the U.S. Department of Health and HumanServices, which issues vaccine information statements;

[(vi)] (vii) a certified pharmacist, when administering an im-munization in a pharmacy, shall provide for an area that provides for thepatient’s privacy, such area shall include:

(a) a clearly visible posting of the most current “RecommendedAdult Immunization Schedule” published by the advisory committee forimmunization practices (ACIP); and [the certified pharmacist shall providea copy of the appropriate vaccine information statement to the recipient,or the person legally responsible for the recipient when the patient isincapable of consenting to the immunization, before administering the im-munization;

(b) education materials on influenza vaccines for children asdetermined by the commissioner and the commissioner of the departmentof health.

[(vii)] (viii) a certified pharmacist shall provide a copy of the ap-propriate vaccine information statement to the recipient, or the personlegally responsible for the recipient when the patient is incapable ofconsenting to the immunization, before administering the immunization;

[viii] (ix) a certified pharmacist shall provide to each recipient orother person legally responsible when the recipient is incapable of consent-ing to immunization, a signed certificate of immunization with the recipi-ent’s name, date of immunization, address of administration, administer-ing pharmacist, immunization agent, manufacturer and lot number. Withthe consent of the recipient or a person legally responsible when the recip-ient is incapable of consenting, the certified pharmacist shall communicatethis information to the recipient’s primary health care practitioner, if oneexists, within one month of the administration of such immunization, andsuch communication may be transmitted in electronic format;

[(ix)] (x) a certified pharmacist shall report any adverse outcomesas may be required by Federal law on the vaccine adverse event reportingsystem form of the Centers for Disease Control of the U.S. Department ofHealth and Human Services, or on the successor form;

[(x)] (xi) a certified pharmacist shall ensure that a record of all


12

persons immunized including the recipient’s name, date, address ofadministration, administering pharmacist, immunization agent, manufac-turer and lot number is recorded and maintained in accordance with sec-tion 29.2(a)(3) of this Title;

[(xi)] (xii) to the extent required by the Public Health Law, theEducation Law and/or the New York City Health Code, a certifiedpharmacist shall report the administration of any immunizations to theNew York State Department of Health and/or the New York City Depart-ment of Health and Mental Hygiene, in a manner required by the Commis-sioner of Health of the State of New York or of the City of New York, asapplicable. Such report shall not include any individually identifiablehealth information unless:

(a) such information is otherwise required by law; or(b) the recipient has consented to the disclosure of such infor-

mation, in which case the information may be included to the extentpermitted by law; and

[(xii)] (xiii) each certified pharmacist shall provide information torecipients on the importance of having a primary health care practitioner,in a form or format developed by the Commissioner of Health;

[(xiii)] (xiv) each certified pharmacist shall, prior to administeringthe immunization or immunizations, inform the recipient, or the personlegally responsible for the recipient when the patient is incapable ofconsenting to the immunization, of the total cost of the immunization orimmunizations, subtracting any health insurance subsidization, ifapplicable. In the case where the immunization is not covered, thepharmacist shall inform the recipient, or other person legally responsiblefor the recipient when the patient is incapable of consenting to the im-munization, that the immunization may be covered when administered bya primary care physician or health care practitioner; and

[(xiv)] (xv) Reporting of administration of immunizing agent;(a) when a licensed pharmacist administers an immunizing

agent, he or she shall report such administration by electronic transmis-sion or facsimile to the patient’s attending primary health care practitioneror practitioners, if any, unless the patient is unable to communicate theidentity of his or her primary health care practitioner, and, to the extentpracticable, make himself or herself available to discuss the outcome ofsuch immunization, including any adverse reactions, with the attendingprimary health care practitioner, or to the statewide immunization registryor the citywide immunization registry, as established pursuant to sections2168 of the Public Health Law and 11.07 of the New York City HealthCode, respectively.

This notice is intended: to serve as both a notice of emergency adoptionand a notice of proposed rule making. The emergency rule will expireApril 14, 2019.

Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, New York State Education Department, 89 Washing-ton Avenue, Room 148, Albany, NY 12234, (518) 474-8966, email:[email protected]

Data, views or arguments may be submitted to: Office of the Professions,Office of the Deputy Commissioner, NYS Education Department, 89Washington Avenue, 2M, Albany, NY 12234, (518) 486-1765, email:[email protected]


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

Regulatory Impact Statement1. STATUTORY AUTHORITY:Section 207 of the Education Law grants general rule-making authority

to the Board of Regents to carry into effect the laws and policies of theState relating to education.

Section 6504 of the Education Law authorizes the Board of Regents tosupervise the admission to and regulation of the practice of the professions.

Paragraph (a) of subdivision (2) of section 6507 of the Education Lawauthorizes the Commissioner of Education to promulgate regulations inadministering the admission to and the practice of the professions.

Subdivision (7) of section 6527 of the Education Law authorizes physi-cians to prescribe and order a patient specific order or non-patient specificregimen to a licensed pharmacist for administering immunizations toprevent, inter alia, influenza and pneumococcal disease and medicationsrequired for emergency treatment of anaphylaxis.

Section 6801 of the Education Law defines the practice of the profes-sion of pharmacy and establishes various requirements relating to theadministration of immunizations by licensed pharmacists, including, interalia, the training requirements licensed pharmacists must satisfy to becomecertified to administer immunizations, reporting requirements for all vac-cines administered by certified pharmacists and requirements regardingthe provision of information by the certified pharmacist, regarding the im-munization, to either the patient or the person legally responsible for the

patient, as well as the requirement that a certified pharmacist, whenadministering an immunization in a pharmacy, provide for an area thatprovides for the patient’s privacy.

Paragraphs (a) and (b) of subdivision (22) of section 6802 of the Educa-tion Law defines the terms administer and immunizing agent and autho-rizes licensed pharmacists to execute patient specific and non-patientspecific orders prescribed by a licensed physician or certified nurse practi-tioner to administer immunizations to prevent influenza, pneumococcal,acute herpes zoster, meningococcal, tetanus, diphtheria or pertussis dis-ease and medications required for emergency treatment of anaphylaxis toadults and influenza immunizations to children between two and eighteenyears of age and medications required for emergency treatment ofanaphylaxis resulting from such immunizations.

Subdivision (2) of section 6806 of the Education Law, as amended byChapter 359 of the Laws of 2018, provides that a pharmacy intern mayreceive a certificate of administration if he or she provides satisfactory ev-idence to the Commissioner the he or she meets the requirements insubdivision (3) of section 6806 of the Education Law, as amended byChapter 359 of the Laws of 2018.

Subdivision (3) of section 6806 of the Education Law, as amended byChapter 359 of the Laws of 2018, directs the Commissioner, in consulta-tion with the Commissioner of the State Department of Health, topromulgate regulations that establish standards for training of a pharmacyintern, seeking a certificate of administration, in the following areas:techniques for screening individuals and obtaining informed consent;techniques of administration; indications, precautions and contraindica-tions in the use of an agent or agents; recordkeeping of immunization andinformation; and handling emergencies, including anaphylaxis andneedlestick injuries. Chapter 359 also requires that to receive a certificateof administration, a pharmacy intern must submit an application, on aform prescribed by the State Education Department, from the dean orother appropriate official of the registered program that the intern hascompleted the required training pursuant to the Commissioner’sRegulations.

Subdivision (6) of section 6806 of the Education Law, as amended byChapter 359 of the Laws of 2018, provides that a pharmacy intern, certi-fied to administer immunizations, can only administer immunizationsunder the immediate personal supervision of a licensed pharmacist certi-fied to administer vaccines; and requires that the person receiving the vac-cine must be informed that a pharmacy intern, certified to administer im-munizations, will be administering the vaccine and advise him or her thathe or she has the option to receive the immunization from a certifiedpharmacist instead. Paragraph (1) of section 6902 of the Education Lawdefines the practice of the profession of nursing for registered professionalnurses.

Subdivision (7) of section 6909 of the Education Law authorizes nursepractitioners to prescribe and order a patient specific order or non-patientspecific regimen to a licensed pharmacist for administering immunizationsto prevent, inter alia, influenza.

2. LEGISLATIVE OBJECTIVES:The proposed rule is necessary to conform the Regulations of the Com-

missioner of Education to Chapter 359 of the Laws of 2018.3. NEEDS AND BENEFITS:Pharmacists licensed in New York State were first authorized to

administer immunizations to prevent influenza and pneumococcal diseasein December 2008. In order to administer such immunizations, a pharma-cist must be certified by the Department following completion of a satis-factory training program. Since that time, more than 14,800 registeredpharmacists in New York State have received the required certification. In2012 and 2013, vaccinations against acute herpes zoster (shingles) andmeningococcal disease, respectively, were added to the types of immuniza-tions that appropriately certified pharmacists are authorized to administer.Additionally, in 2018, pharmacists were authorized to administer seasonalinfluenza immunizations to children between two and eighteen years ofage.

The proposed rule implements Chapter 359 of the Laws of 2018(Chapter 359), which, effective December 7, 2018, inter alia, amendedEducation Law section 6806 to allow the administration of immunizationsby certain pharmacy interns who are certified to administer immunizationsunder the immediate and personal supervision of a licensed pharmacistcertified to immunize. Chapter 359 was enacted, in part, to make im-munizations more readily available and to provide certified pharmacyinterns with valuable hands-on clinical experience, while under theoversight and supervision of a licensed pharmacist, who is certified toadminister immunizations.

Chapter 359 permits a pharmacy intern to receive a certificate ofadministration which permits administration of immunizations under theimmediate and personal supervision of a licensed pharmacist certified toadminister immunizations; establishes procedures and requirements for apharmacy intern to receive a certificate of administration; and requires a


13


patient to be informed that a pharmacy intern, certified to administer im-munizations, will be administering the immunization and that the patientbe given the option to have the immunization administered by the certifiedpharmacist.

Chapter 359 directs the Commissioner to promulgate regulations thatestablish standards for training of a pharmacy intern in the following areas:techniques for screening individuals and obtaining informed consent;techniques of administration; indications, precautions and contraindica-tions in the use of an agent or agents; recordkeeping of immunization andinformation; and handling emergencies, including anaphylaxis andneedlestick injuries. Chapter 359 also requires that to receive a certificateof administration, a pharmacy intern must submit an application, on aform prescribed by the State Education Department, from the dean orother appropriate official of the registered program that the intern hascompleted the required training pursuant to the Commissioner’sRegulations.

The proposed addition of subdivision (d) to section 63.4 of the Regula-tions of the Commissioner of Education establishes the requirements for apharmacy intern to obtain a certificate to administer immunizations andestablishes the required training for such certification. Additionally, asrequired by Chapter 359, Department staff have consulted with the NewYork State Department of Health regarding these proposed trainingrequirement provisions.

The proposed amendment to subdivision (b) of section 63.9 of theRegulations of the Commissioner of Education authorizes a certifiedpharmacist to delegate the administration of immunizations to a pharmacyintern who is properly trained and certified to administer immunizationsunder the immediate personal supervision of the certified pharmacist.


4. COSTS:(a) Costs to State government: There are no additional costs to state

government.(b) Costs to local government: There are no additional costs to local

government.(c) Cost to private regulated parties. There are no mandatory costs to

private regulated parties.(d) Cost to the regulatory agency: There are no additional costs to the

Department.5. LOCAL GOVERNMENT MANDATES:The proposed rule does not impose any program service, duty, responsi-

bility, or other mandate on local governments.6. PAPERWORK:The proposed rule does not impose any paperwork mandates because it

does not require pharmacy interns to become certified to administerimmunizations. For pharmacy interns, who choose to become certified toadminister immunizations, they can only administer immunizations underthe immediate personal supervision of a licensed pharmacist, who is certi-fied to administer immunizations, this pharmacist would be responsiblefor complying with any of the reporting, recordkeeping or other require-ments that certified licensed pharmacists must comply with when adminis-tering immunizations. For instance, such a pharmacist, pursuant to theprovisions of section 63.9(b)(4), would be required to, inter alia, ensurethat that the immunizations administered by pharmacy interns under his orher immediate personal supervision are reported to the patient’s attendingprimary health care practitioner, and to the New York State ImmunizationInformation System or if administered in New York City, to the CitywideImmunization Registry, as required by the Public Health Law or the NewYork City Health Code.

7. DUPLICATION:There is no other state or federal requirements on the subject matter of

the proposed rule. Therefore, the amendment does not duplicate otherexisting state or federal requirements.

8. ALTERNATIVES:The proposed rule is necessary to conform the Regulations of the Com-

missioner of Education to Chapter 359 of the Laws of 2018. There are nosignificant alternatives to the proposed rule and none were considered.

9. FEDERAL STANDARDS:There are no applicable federal standards for authorizing pharmacy

interns, who are certified to administer immunization under the immediatepersonal supervision of a licensed pharmacist, who is certified to adminis-ter immunizations, to administer immunizations to patients, pursuant topatient specific or non-patient specific orders prescribed by a licensedphysician or certified nurse practitioner.

10. COMPLIANCE SCHEDULE:It is anticipated that the regulated parties will be able to comply with

the proposed rule by the effective date.

Regulatory Flexibility AnalysisThe purpose of the proposed rule is to implement Chapter 359 of the

Laws of 2018 (Chapter 359), which, effective December 7, 2018, interalia, amended Education Law section 6806 to allow the administration ofimmunizations by certain pharmacy interns who are certified to administerimmunizations under the immediate and personal supervision of a licensedpharmacist certified to immunize. Chapter 359 was enacted, in part, tomake immunizations more readily available and to provide certifiedpharmacy interns with valuable hands-on clinical experience, while underthe oversight and supervision of a licensed pharmacist, who is certified toadminister immunizations.

Chapter 359 permits a pharmacy intern to receive a certificate ofadministration which permits administration of immunizations under theimmediate and personal supervision of a licensed pharmacist certified toadminister immunizations; establishes procedures and requirements for apharmacy intern to receive a certificate of administration; and requires apatient to be informed that a pharmacy intern, certified to administer im-munizations, will be administering the immunization and that the patientbe given the option to have the immunization administered by the certifiedpharmacist.


The proposed addition of subdivision (d) to section 63.4 of the Regula-tions of the Commissioner of Education establishes the requirements for apharmacy intern to obtain a certificate to administer immunizations andestablishes the required training for such certification. Additionally, asrequired by Chapter 359, Department staff have consulted with the NewYork State Department of Health regarding these proposed trainingrequirement provisions.

The proposed amendment to subdivision (b) of section 63.9 of theRegulations of the Commissioner of Education authorizes a certifiedpharmacist to delegate the administration of immunizations to a pharmacyintern who is properly trained and certified to administer immunizationsunder the immediate personal supervision of the certified pharmacist.


The proposed rule does not impose any new reporting, recordkeeping,or other compliance requirements on local governments or have anyadverse economic impact on small businesses or local governments.Because it is evident from the nature of the proposed amendment that itwill not adversely affect small businesses or local governments, no affir-mative steps were needed to ascertain that fact and none were taken. Ac-cordingly, a regulatory flexibility analysis for small businesses and localgovernments is not required, and one has not been prepared.

Rural Area Flexibility AnalysisThe purpose of the proposed amendment is to implement Chapter 359

of the Laws of 2018 (Chapter 359), which, effective December 7, 2018,inter alia, amended Education Law section 6806 to allow the administra-tion of immunizations by certain pharmacy interns who are certified toadminister immunizations under the immediate and personal supervisionof a licensed pharmacist certified to immunize. Chapter 359 was enacted,in part, to make immunizations more readily available and to provide cer-tified pharmacy interns with valuable hands-on clinical experience, whileunder the oversight and supervision of a licensed pharmacist, who is certi-fied to administer immunizations. Chapter 359 permits a pharmacy internto receive a certificate of administration which permits administration ofimmunizations under the immediate and personal supervision of a licensedpharmacist certified to administer immunizations; establishes proceduresand requirements for a pharmacy intern to receive a certificate of


14

administration; and requires a patient to be informed that a pharmacyintern, certified to administer immunizations, will be administering theimmunization and that the patient be given the option to have the im-munization administered by the certified pharmacist.


The proposed amendment implements Chapter 359 by establishing therequirements for a pharmacy intern to obtain a certificate to administer im-munizations, including, but not limited to, the required training for suchcertification, authorizing a certified pharmacist to delegate the administra-tion of immunizations to a pharmacy intern who is properly trained andcertified to administer immunizations under the immediate personalsupervision of the certified pharmacist, requiring the recipient, or theperson legally responsible for the recipient when the patient is incapableof consenting to the immunization, to be informed when a certifiedpharmacy intern will be administering the immunization and consent to it,and providing that, if the recipient, or the person legally responsible forthe recipient when the patient is incapable of consenting to the immuniza-tion, does not consent, then the certified pharmacist will administer theimmunization.

Chapter 359 does not provide any exceptions from these requirementsfor pharmacy interns, pharmacists, and pharmacies located in rural areas.Thus, the proposed amendment does not impact entities in rural areas ofNew York State because all New York State pharmacy interns, pharmacists,and pharmacies must comply with the same requirements. Accordingly, nofurther steps were needed to ascertain the impact of the proposed amend-ment on entities in rural areas and none were taken. Thus, a rural flex-ibility analysis is not required, and one has not been prepared.


It is not anticipated that the propose rule will not impact jobs or employ-ment opportunities. This is because the proposed amendment implementsChapter 359 of the Laws of 2018 (Chapter 359) by authorizing theadministration of immunizations by certain pharmacy interns who are cer-tified to administer immunizations under the immediate and personalsupervision of a licensed pharmacist certified to immunize. Chapter 359permits a pharmacy intern to receive a certificate of administration whichpermits administration of immunizations under the immediate andpersonal supervision of a licensed pharmacist certified to administer im-munizations; establishes procedures and requirements for a pharmacyintern to receive a certificate of administration; and requires a patient to beinformed that a pharmacy intern, certified to administer immunizations,will be administering the immunization and that the patient be given theoption to have the immunization administered by the certified pharmacist.Chapter 359 directs the Commissioner to promulgate regulations that es-tablish standards for training of a pharmacy intern in the following areas:techniques for screening individuals and obtaining informed consent;techniques of administration; indications, precautions and contraindica-tions in the use of an agent or agents; recordkeeping of immunization andinformation; and handling emergencies, including anaphylaxis andneedlestick injuries. Chapter 359 also requires that to receive a certificateof administration, a pharmacy intern must submit an application, on aform prescribed by the State Education Department, from the dean orother appropriate official of the registered program that the intern hascompleted the required training pursuant to the Commissioner’sRegulations. Therefore, any impact on jobs or employment opportunitiescreated by the proposed amendment is attributable to the statutory require-ments, not the proposed amendment, which simply establishes standardsthat conform the requirements to the statute.

The proposed amendment will not have a substantial adverse impact onjobs and employment opportunities. Because it is evident from the natureof the proposed amendment that it will not affect job and employment op-portunities, no affirmative steps were needed to ascertain that fact andnone were taken. Accordingly, a job impact statement is not required andone has not been prepared.

EMERGENCY/PROPOSED

RULE MAKING


Assessments and Student Official Transcripts and PermanentRecords

I.D. No. EDU-05-19-00017-EP

Filing No. 25




Proposed Action: Amendment of section 104.3 of Title 8 NYCRR.

Statutory authority: Education Law, sections 101(not subdivided),207(not subdivided), 208(not subdivided), 209(not subdivided), 210(notsubdivided), 215(not subdivided), 305(1), (2), (20), (45), (46), (47),308(not subdivided), 309(not subdivided), 3204(3); L. 2014, ch. 56,subpart B, part AA as amended by L. 2018, ch. 59, part CCC, section 35

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

Specific reasons underlying the finding of necessity: The proposedamendment is necessary to continue the effectiveness of the Commis-sioner’s regulations for the purpose of implementing the provisions ofEducation Law § 305(45) and (46) as added by Part AA, Subpart B ofChapter 56 of the Laws of 2014 and as amended by Section 35 of PartCCC of Chapter 59 of the Laws of 2018.

Since the Board of Regents meets at fixed intervals, the earliest theproposed rule can be presented for regular (non-emergency) adoption, af-ter expiration of the required 60-day public comment period provided forin the State Administrative Procedure Act (SAPA) sections 201(1) and (5),would be the May 2019 Regents meeting. Furthermore, pursuant to SAPAsection 203(1), the earliest effective date of the proposed rule, if adoptedat the May 2019 meeting, would be May 22, 2019, the date a Notice ofAdoption would be published in the State Register.

Therefore, emergency action is necessary at the January 2019 Regentsmeeting for the preservation of the general welfare to timely implementthe provisions of section 35 of Part CCC of Chapter 59 of the Laws of2018.

It is anticipated that the proposed rule will be presented for adoption asa permanent rule at the May Regents meeting, which is the first scheduledmeeting after expiration of the 60-day public comment period prescribedin the SAPA for State agency rule makings.

Subject: Assessments and Student Official Transcripts and PermanentRecords.

Purpose: To continue the effectiveness of part AA, subpart B of ch.56, L.2014 as amended by section 35 of part CCC of ch. 56, L.2018.

Text of emergency/proposed rule: Section 104.3 of the Regulations of theCommissioner of Education is amended as follows:

During the period commencing on April 1, 2014 and expiring on[December 31, 2018] December 31, 2019:

(a) no school district or board of cooperative educational services mayplace or include on a student’s official transcript or maintain in a student’spermanent record any individual student score on a State administeredstandardized English language arts or mathematics assessment for gradesthree through eight, provided that nothing herein shall be construed tointerfere with required State or federal reporting or to excuse a schooldistrict from maintaining or transferring records of such test scoresseparately from a student’s permanent record, including for purposed ofrequired State or federal reporting; and

(b) any test results on a State administered standardized Englishlanguage arts or mathematics assessment for grades three through eightsent to parents or persons in parental relation to a student shall include aclear and conspicuous notice that such results will not be included on thestudent’s official transcript or in the student’s permanent record and arebeing provided to the student and parents for diagnostic purposes.

This notice is intended: to serve as both a notice of emergency adoptionand a notice of proposed rule making. The emergency rule will expireApril 14, 2019.

Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, New York State Education Department, 89 Washing-ton Avenue, Room 148, Albany, NY 12234, (518) 474-8966, email:[email protected]

Data, views or arguments may be submitted to: Jhone M. Ebert, Senior


15

Deputy Commissioner, Education Policy, New York State EducationDepartment, 89 Washington Avenue, Room 2M West, Albany, NY 12234,(518) 474-3862, email: [email protected] comment will be received until: 60 days after publication of thisnotice.


Regulatory Impact Statement1. STATUTORY AUTHORITY:Education Law section 101 continues existence of Education Depart-

ment, with Board of Regents as its head, and authorizes Regents to ap-point Commissioner of Education as Department’s Chief AdministrativeOfficer, which is charged with general management and supervision of allpublic schools and educational work of State.

Education Law section 207 empowers Regents and Commissioner toadopt rules and regulations to carry out State education laws and functionsand duties conferred on the Department.

Education Law section 208 authorizes the Regents to establish examina-tions as to attainments in learning and to award and confer suitable certifi-cates, diplomas and degrees on persons who satisfactorily meet therequirements prescribed.

Education Law section 209 authorizes the Regents to establish second-ary school examinations in studies furnishing a suitable standard of gradu-ation and of admission to colleges; to confer certificates or diplomas onstudents who satisfactorily pass such examinations; and requires theadmission to these examinations of any person who shall conform to therules and pay the fees prescribed by the Regents.

Education Law section 210 authorizes Regents to register domestic andforeign institutions in terms of State standards, and fix the value of degrees,diplomas and certificates issued by institutions of other states or countriesand presented for entrance to schools, colleges and professions in the State.

Education Law section 215 authorizes Commissioner to require schoolsand school districts to submit reports containing such information as Com-missioner shall prescribe.

Education Law section 305(1) and (2) provide Commissioner, as chiefexecutive officer of the State’s education system, with general supervisionover all schools and institutions subject to the Education Law, or any stat-ute relating to education, and responsibility for executing all educationalpolicies of the Regents. Section 305(20) provides Commissioner shallhave such further powers and duties as charged by the Regents.

Education Law section 308 authorizes the Commissioner to enforce andgive effect to any provision in the Education Law or in any other generalor special law pertaining to the school system of the State or any rule ordirection of the Regents.

Education Law section 309 charges Commissioner with generalsupervision of boards of education and their management and conduct ofall departments of instruction.

Education Law section 3204(3) provides for required courses of studyin the public schools and authorizes SED to alter the subjects of requiredinstruction.

Part 35 of P{art CCC of Chapter 59 of the Laws of 2018 extended theprovisions of Part AA, Subpart B of Chapter 56 of the Laws of 2014 addednew subdivisions (45) and (46) to Education Law section 305, whichdirected the Commissioner to provide that no school district or board ofcooperative educational services may place or include on a student’s of-ficial transcript or maintain in a student’s permanent record any individualstudent score on a State administered standardized English language artsor mathematics assessment for grades three through eight, and that anytest results on such assessments sent to parents/persons in parental relationinclude a clear and conspicuous notice that such results will not beincluded on the student’s official transcript or in the student’s permanentrecord and are being provided for diagnostic purposes. The statuteprovides that these provisions shall expire and be deemed repealed onDecember 31, 2019.

2. LEGISLATIVE OBJECTIVES:The proposed amendment is consistent with the above statutory author-

ity and is necessary to conform the Commissioner’s Regulations toChapter 56 of the Laws of 2014, as amended by Chapter 59 of the Laws of2018.

3. NEEDS AND BENEFITS:Education Law § 305(45) and (46) were added as part of the 2014

Enacted Budget. These sections provide that no school district or board ofcooperative educational services (BOCES) may place or include on astudent’s official transcript or maintain in a student’s permanent recordany individual student score on a State administered standardized Englishlanguage arts or mathematics assessment for grades three through eight,and further require that any test results on such assessments sent to parents/persons in parental relation include a clear and conspicuous notice thatsuch results will not be included on the student’s official transcript or in

the student’s permanent record and are being provided for diagnosticpurposes. These provisions were set to expire and be deemed repealed onDecember 31, 2018. In April of 2014, the Board of Regents adoptedamendments to the Commissioner’s regulations to implement these sec-tions and the regulatory provisions expired on December 31, 2018.

However, these provisions in the law were extended by Section 35 ofPart CCC of Chapter 59 of the Laws of 2018 until December 31, 2019.Therefore, regulatory amendments are necessary to extend these provi-sions an additional year to timely implement the legislation.

4. COSTS:Cost to the State: none.Costs to local government: none.Cost to private regulated parties: none.Cost to regulating agency for implementation and continued administra-

tion of this rule: none.The proposed amendment is necessary to conform the Commissioner’s

Regulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018, and does not impose any additional costs on theState, regulated parties, or the State Education Department, beyond thoseinherent in the statute.

5. LOCAL GOVERNMENT MANDATES:The proposed amendment is necessary to conform the Commissioner’s

Regulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018, and does not impose any additional program, service,duty or responsibility upon local governments beyond those inherent inthe statute.

Consistent with the statute, the proposed amendment provides that noschool district or board of cooperative educational services (BOCES) mayplace or include on a student’s official transcript or maintain in a student’spermanent record any individual student score on a State administeredstandardized English language arts or mathematics assessment for gradesthree through eight, and further require that any test results on such assess-ments sent to parents/persons in parental relation include a clear and con-spicuous notice that such results will not be included on the student’s of-ficial transcript or in the student’s permanent record and are being providedfor diagnostic purposes.

6. PAPERWORK:The proposed amendment is necessary to conform the Commissioner’s

Regulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018, and does not impose any specific recordkeeping,reporting or other paperwork requirements beyond those inherent in thestatute.

Consistent with the statute, the proposed amendment provides, for theperiod commencing on April 1, 2014 and expiring on December 31, 2019,that no school district or board of cooperative educational services mayplace or include on a student’s official transcript or maintain in a student’spermanent record any individual student score on a State administeredstandardized English language arts or mathematics assessment for gradesthree through eight, and that any test results on such assessments sent toparents/persons in parental relation include a clear and conspicuous noticethat such results will not be included on the student’s official transcript orin the student’s permanent record and are being provided to the studentand parents/persons in parental relation for diagnostic purposes.

7. DUPLICATION:The proposed amendment does not duplicate existing State or federal

requirements. The proposed amendment is necessary to conform the Com-missioner’s Regulations to Chapter 56 of the Laws of 2014, as amendedby Chapter 59 of the Laws of 2018.

8. ALTERNATIVES:The proposed amendment is necessary to conform the Commissioner’s

Regulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018. There were no significant alternatives and none wereconsidered.

9. FEDERAL STANDARDS:There are no applicable Federal standards.10. COMPLIANCE SCHEDULE:It is anticipated parties will be able to achieve compliance with the rule

by its effective date. The proposed amendment merely conforms the Com-missioner’s Regulations to Chapter 56 of the Laws of 2014, as amendedby Chapter 59 of the Laws of 2018.

Regulatory Flexibility Analysis(a) Small businesses:The proposed amendment will not impose any additional compliance

requirements and is necessary to is necessary to implement and otherwiseconform Commissioner’s Regulations to Chapter 56 of the Laws of 2014,as amended by Chapter 59 of the Laws of 2018, and does not impose anyadverse economic impact, reporting, record keeping or any other compli-ance requirements on small businesses. Because it is evident from thenature of the proposed amendment that it does not affect small businesses,no further measures were needed to ascertain that fact and none were


16


taken. Accordingly, a regulatory flexibility analysis for small businesses isnot required and one has not been prepared.

1. EFFECT OF RULE:The proposed amendment applies to each of the 695 public school

districts in the State.2. COMPLIANCE REQUIREMENTS:The proposed amendment is consistent with the authority conferred by

the above statutes and is necessary to conform the Commissioner’sRegulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018, and does not impose any additional compliancerequirements upon school districts beyond those inherent in the statute.

3. NEEDS AND BENEFITS:Education Law § 305(45) and (46) were added as part of the 2014

Enacted Budget. These sections provide that no school district or board ofcooperative educational services (BOCES) may place or include on astudent’s official transcript or maintain in a student’s permanent recordany individual student score on a State administered standardized Englishlanguage arts or mathematics assessment for grades three through eight,and further require that any test results on such assessments sent to parents/persons in parental relation include a clear and conspicuous notice thatsuch results will not be included on the student’s official transcript or inthe student’s permanent record and are being provided for diagnosticpurposes. These provisions were set to expire and be deemed repealed onDecember 31, 2018. In April of 2014, the Board of Regents adoptedamendments to the Commissioner’s regulations to implement these sec-tions and the regulatory provisions expired on December 31, 2018.

However, these provisions in the law were extended by Section 35 ofPart CCC of Chapter 59 of the Laws of 2018 until December 31, 2019.Therefore, regulatory amendments are necessary to extend these provi-sions an additional year to timely implement the legislation.

4. PROFESSIONAL SERVICES:The proposed amendment imposes no additional professional service

requirements on school districts.5. COMPLIANCE COSTS:The proposed amendment is necessary to conform the Commissioner’s

Regulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018, and does not impose any additional costs on theState, regulated parties, or the State Education Department, beyond thoseinherent in the statute.

6. ECONOMIC AND TECHNOLOGICAL FEASIBILITY:The proposed rule does not impose any additional costs or technologi-

cal requirements on local governments.7. MINIMIZING ADVERSE IMPACT:The proposed amendment is necessary to conform the Commissioner’s

Regulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018, and does not impose any additional costs on theState, regulated parties, or the State Education Department, beyond thoseinherent in the statute. Accordingly, no alternatives were considered.

8. LOCAL GOVERNMENT PARTICIPATION:Comments on the proposed rule have been solicited from school

districts through the offices of the district superintendents of eachsupervisory district in the State, and from the chief school officers of thefive big city school districts.

Rural Area Flexibility Analysis1. TYPES AND ESTIMATED NUMBERS OF RURAL AREAS:The proposed rule applies to all school districts in the State, including

those located in the 44 rural counties with less than 200,000 inhabitantsand the 71 towns in urban counties with a population density of 150 persquare mile or less.


The proposed amendment is necessary to conform the Commissioner’sRegulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018, and does not impose any specific recordkeeping,reporting or other paperwork requirements beyond those inherent in thestatute.

Consistent with the statute, the proposed amendment provides, for theperiod commencing on April 1, 2014 and expiring on December 31, 2019,that no school district or board of cooperative educational services mayplace or include on a student’s official transcript or maintain in a student’spermanent record any individual student score on a State administeredstandardized English language arts or mathematics assessment for gradesthree through eight, and that any test results on such assessments sent toparents/persons in parental relation include a clear and conspicuous noticethat such results will not be included on the student’s official transcript orin the student’s permanent record and are being provided to the studentand parents/persons in parental relation for diagnostic purposes.

3. COSTS:The proposed amendment is necessary to conform the Commissioner’s

Regulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59

of the Laws of 2018, and does not impose any additional costs on theState, regulated parties, or the State Education Department, beyond thoseinherent in the statute.

4. MINIMIZING ADVERSE IMPACT:The proposed amendment is merely conforms the Commissioner’s

Regulations to Chapter 56 of the Laws of 2014, as amended by Chapter 59of the Laws of 2018, and does not impose any additional compliancerequirements or costs on school districts or charter schools beyond thoseinherent in the statute. Because the statutory requirement upon which theproposed amendment is based applies to all school districts in the Stateand to charter schools authorized to issue Regents diplomas, it is not pos-sible to establish differing compliance or reporting requirements ortimetables or to exempt schools in rural areas from coverage by theproposed amendment.

5. RURAL AREA PARTICIPATION:Comments on the proposed amendment were solicited from the

Department’s Rural Advisory Committee, whose membership includesschool districts located in rural areas.Job Impact Statement

The proposed rule is necessary to implement and otherwise conformCommissioner’s Regulations to Chapter 56 of the Laws of 2014, asamended by Chapter 59 of the Laws of 2018 which provides that no schooldistrict shall make any student promotion or placement decisions basedsolely or primarily on student performance on the state administered stan-dardized English language arts and mathematics assessments for gradesthree through eight. However, a school district may consider student per-formance on such state assessments provided that the school district usesmultiple measures in addition to such assessments and that such assess-ments do not constitute the major factor in such determinations.

Because it is evident from the nature of the proposed rule that it willhave no impact on the number of jobs or employment opportunities inNew York State, no further steps were needed to ascertain that fact andnone were taken. Accordingly, a job impact statement is not required andone has not been prepared.

NOTICE OF ADOPTION

Certificate Progression Pathway

I.D. No. EDU-40-18-00007-A

Filing No. 21




Action taken: Amendment of section 80-3.7 of Title 8 NYCRR.

Statutory authority: Education Law, sections 207, 205, 3001, 3004 and3006

Subject: Certificate Progression Pathway.

Purpose: Initial Certificate Requirements for Individuals Who Have aGraduate Degree and Two Years of Postsecondary Teaching Experience.

Text or summary was published in the October 3, 2018 issue of the Regis-ter, I.D. No. EDU-40-18-00007-P.


Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, NYS Education Department, Office of Counsel, 89Washington Avenue, Room 112, Albany, NY 12234, (518) 474-6400,email: [email protected]


Assessment of Public CommentThe agency received no public comment.

NOTICE OF ADOPTION

P-20 Principal Preparation Pilot Program

I.D. No. EDU-40-18-00008-A

Filing No. 23





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Action taken: Amendment of sections 52.21 and 80-3.10 of Title 8NYCRR.Statutory authority: Education Law, sections 102, 207, 305, 3004, 3006,3006-a and 3009Subject: P-20 Principal Preparation Pilot Program.Purpose: To establish the requirements for the P-20 Principal PreparationPilot Program.Text or summary was published in the October 3, 2018 issue of the Regis-ter, I.D. No. EDU-40-18-00008-P.Final rule as compared with last published rule: No changes.Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, NYS Education Department, Office of Counsel, 89Washington Avenue, Room 112, Albany, NY 12234, (518) 474-6400,email: [email protected] Review of RuleAs a rule that requires a RFA, RAFA or JIS, this rule will be initiallyreviewed in the calendar year 2021, which is no later than the 3rd year af-ter the year in which this rule is being adopted.


NOTICE OF ADOPTION

School Breakfast Programs

I.D. No. EDU-40-18-00011-A

Filing No. 27




Action taken: Amendment to section 114.1 of Title 8 NYCRR.

Statutory authority: Education Law, sections 101(not subdivided),207(not subdivided), 208(not subdivided), 209(not subdivided), 305(1),(2); L. 1976, ch. 537, sections 4 and 5 as amended by L. 2018, ch. 56

Subject: School Breakfast Programs.

Purpose: To initiate, maintain, or expand school breakfast programs andmake technical amendments to conform to Federal requirements.

Text or summary was published in the October 3, 2018 issue of the Regis-ter, I.D. No. EDU-40-18-00011-EP.


Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, New York State Education Department, Office ofCounsel, 89 Washington Avenue, Room 112, Albany, NY 12234, (518)473-2183, email: [email protected]


Assessment of Public CommentSince publication of a Notice of Emergency Action and Proposed Rule

Making in the State Register on October 3, 2018, the State EducationDepartment received the following comments:

1. COMMENT:Most commenters applauded the Department’s overall efforts to require

all public elementary or secondary schools with at least 70 percent ormore of its students eligible for free or reduced–price meals under theNational School Lunch Program to offer all students a school breakfast af-ter the instructional day has begun, referred to as Breakfast After the Bell,beginning in the 2018-19 school year, and each school year thereafter.

DEPARTMENT RESPONSE:No response is necessary, as the comments are supportive.2. COMMENT:Some commenters advocated that this rulemaking should apply to

charter schools.DEPARTMENT RESPONSE:The rulemaking implements the statutory requirements and expressly

applies to all public elementary or secondary schools, not including charterschools authorized by Article 56 of the Education Law, with at least 70percent or more of its students eligible for free or reduced–price mealsunder the National School Lunch Program. The rulemaking implementsthe requirements of the statute and is necessary to conform the Regula-tions of the Commissioner to Section 2 of Part B of Chapter 56 of theLaws of 2018. Thus, no revisions are necessary.

3. COMMENT:Some commenters advocated for stronger language in the rulemaking

to allow schools that are required to implement a Breakfast after the Bellprogram to have the ability to implement a Breakfast after the Bellprogram that best “removes barriers to breakfast participation” and“increases access to school breakfast.” One commenter suggested therulemaking specifically define breakfast service delivery models including“Breakfast in the classroom,” “Grab and Go” and “Second ChanceBreakfast.”

DEPARTMENT RESPONSE:The rulemaking implements the requirements of the statute, which

provides that schools which are required to implement a Breakfast Afterthe Bell program must consult with teachers, parents, students, andmembers of the community to determine the breakfast service deliverymodel(s) that best suits its students. The language in the statue alsoprovides that service delivery models may include, but are not limited to,breakfast in the classroom, grab and go breakfast, and second chancebreakfast, which would include breakfast served in the cafeteria. TheDepartment has issued guidance and best practices for this initiative andanticipates updating such guidance and best practices in the future, asnecessary. Therefore, no revisions are necessary.

4. COMMENT:Some commenters requested additional language be provided in this

rulemaking to clarify and strengthen the requirements for schools seekingwaivers from the requirements for establishing a Breakfast after the Bellprogram.

DEPARTMENT RESPONSE:The rulemaking is consistent with the statute and necessary to conform

the regulations to Section 2 of Part B of Chapter 56 of the Laws of 2018which provides that affected schools may annually apply to the Commis-sioner for a waiver from establishing a school breakfast program, whichmay be granted upon a demonstration of: (1) a lack of need for a Breakfastafter the Bell program because of a successful existing breakfast program;or (2) providing a Breakfast after the Bell program would cause economichardship for the school. The Department has issued guidance and bestpractices for this initiative and anticipates updating such guidance andbest practices in the future, as necessary. Thus, no revisions are necessaryat this time.

5. COMMENT:One commenter suggested that schools required to implement a Break-

fast after the Bell program be required to “establish and adopt a schoolboard policy to ensure student access to school breakfast.”

DEPARTMENT RESPONSE:This comment is outside the scope of the statutory requirements. Ac-

cordingly, no change to the regulation is needed.

NOTICE OF ADOPTION

Prohibition Against Meal Shaming

I.D. No. EDU-40-18-00012-A

Filing No. 26




Action taken: Addition of section 114.5 to Title 8 NYCRR.

Statutory authority: Education Law, sections 101(not subdivided),207(not subdivided), 208(not subdivided), 209(not subdivided), 305(1),(2) and 908 as added by L. 2018, ch. 56, part B, section 1

Subject: Prohibition against meal shaming.

Purpose: Requires certain schools to develop a plan to prohibit againstmeal shaming or treating pupils with unpaid meal fees differently.

Text of final rule: 1. That the emergency action taken at the September2018 Board of Regents meeting to add a new section 114.5 of the Regula-tions of the Commissioner of Education be repealed, effective December11, 2018.

2. A new section 114.5 is added to the Regulations of the Commissionerof Education as follows:

§ 114.5 Prohibition against meal shaming.(a) All public school districts, charter schools and non-public schools

in the state that participate in the National School Lunch Program orSchool Breakfast Program in which there is a school at which all pupilsare not eligible to be served breakfast and lunch under the CommunityEligibility Provision or Provision Two of the federal National SchoolLunch Act, 42 U.S.C. Sec. 1751 et seq., shall develop a plan to ensure thata pupil whose parent or guardian has unpaid school meal fees is not


18

shamed or treated differently than a pupil whose parent or guardian doesnot have unpaid school meal fees. The plan shall be submitted to the Com-missioner by July 1, 2018 in conformance with this section. After submis-sion of such plan, the school or school district shall adopt and post theplan on its website.

(b) The plan shall include, but not be limited to, the following elements:(1) a statement that the school or school district shall provide the

student with the student’s meal of choice for that school day of the avail-able reimbursable meal choices for such school day, if the student requestsone, unless the student’s parent or guardian has specifically providedwritten permission to the school to withhold a meal, provided that theschool or school district shall only be required to provide access toreimbursable meals, not a la carte items, adult meals, or other similaritems;

(2) an explanation of how staff will be trained to ensure that theschool or school district’s procedures are carried out correctly and howthe affected parents and guardians will be provided with assistance inestablishing eligibility for free or reduced-price meals for their children;

(3) procedures requiring the school or school district to notify thestudent’s parent or guardian that the student’s meal card or account bal-ance is exhausted and unpaid meal charges are due. The notificationprocedures may include a repayment schedule, but the school or schooldistrict may not charge any interest or fees in connection with any mealscharged;

(4) a communication procedure designed to support eligible familiesenrolling in the National School Lunch Program or School BreakfastProgram. Such communication procedures shall also include a process fordetermining eligibility when a student owes money for five or more meals,wherein the school or school district shall:

(i) make every attempt to determine if a student is directly certifiedto be eligible for free meals;

(ii) make at least two attempts, not including the application orinstructions included in a school enrollment packet, to reach the student’sparent or guardian and have the parent or guardian fill out a meal ap-plication; and

(iii) require a school or school district to contact the parent orguardian to offer assistance with a meal application, determine if thereare other issues within the household that have caused the child to haveinsufficient funds to purchase a school meal and offer any other assistancethat is appropriate;

(5) a clear explanation of procedures designed to decrease studentdistress or embarrassment, provided that, no school or school districtshall:

(i) publicly identify or stigmatize a student who cannot pay for ameal or who owes a meal debt by any means including, but not limited to,requiring that a student wear a wristband or hand stamp;

(ii) require a student who cannot pay for a meal or who owes ameal debt to do chores or other work to pay for meals;

(iii) require that a student throw away a meal after it has beenserved because of the student’s inability to pay for the meal or becausemoney is owed for earlier meals;

(iv) take any action directed at a pupil to collect unpaid schoolmeal fees. A school or school district may attempt to collect unpaid schoolmeal fees from a parent or guardian, but shall not use a debt collector, asdefined in Section 803 of the Federal Consumer Credit Protection Act, 15U.S.C. Sec. 1692a; or

(v) discuss any outstanding meal debt in the presence of otherstudents;

(6) a clear explanation of the procedure to handle unpaid mealcharges, provided that nothing in this section is intended to allow for theunlimited accrual of debt;

(7) procedures to enroll in the free and reduced price lunch program,provided that such procedures shall include that, at the beginning of eachschool year, a school or school district shall provide a free, printed mealapplication in every school enrollment packet, or if the school or schooldistrict chooses to use an electronic meal application, provide in schoolenrollment packets an explanation of the electronic meal application pro-cess and instructions for how parents or guardians may request a paperapplication at no cost;

(c) if a school or school district becomes aware that a student who hasnot submitted a meal application is eligible for free or reduced-fee meals,the school or school district shall complete and file an application for thestudent pursuant to title 7 CFR 245.6(d) (Code of Federal Regulations,2018 edition, Superintendent of Documents, U.S. Government PrintingOffice, Washington, DC 20402-0001: 2018—available at Office forCounsel, New York State Education Building, Room 148, 89 WashingtonAvenue, Albany, NY 12231); and

(d) school liaisons required for homeless, foster, and migrant studentsshall coordinate with the nutrition department to make sure such studentsreceive free school meals, in accordance with federal law.

Final rule as compared with last published rule: Nonsubstantive changeswere made in section 114.5(b)(4).Text of rule and any required statements and analyses may be obtainedfrom: Kirti Goswami, NYS Education Department, Office of Counsel, 89Washington Avenue, Room 112, Albany, NY 122234, (518) 473-2183,email: [email protected] Regulatory Impact Statement, Regulatory Flexibility Analysis,Rural Area Flexibility Analysis and Job Impact Statement

Since publication of a Notice of Emergency Adoption and ProposedRule Making in the State Register on October 3, 2018 and publication of aNotice of Emergency Adoption in the State Register on December 26,2018, the following nonsubstantive revisions were made to the proposedrule:

D § 114.5(b)(4) was amended to reflect the correct title of the FederalChild Nutrition Program.

The above revisions to the proposed rule do not require any revisions tothe previously published Regulatory Impact Statement, Regulatory Flex-ibility Analysis, Rural Area Flexibility Analysis and Job Impact Statement.


Assessment of Public CommentAs of December 3, 2018, the Department has received the following

comments:1. COMMENT:Several commenters expressed the position that the regulation restricts

food service staff from communicating with students or informing them oftheir school food balances. According to a few commenters “until this lawwe were able to talk to students about their accounts by reminding themthey are getting low on funds or that would you please tell your parent youneed to bring in money. It was handled in a delicate and meaningful way.You should be able to take into consideration the age of the child andgauge your discussion with the student accordingly. Now that we cannotsay anything to the student they think there is money on their accountbecause we are not asking them for money when they purchase a meal.”Many commenters expressed concern that they are expressly prohibitedfrom having any communication with a child relative to school meals.One commenter applauded the Department’s overall efforts to requireschools to have a policy prohibiting meal shaming but advocated forstronger language in the rulemaking to expressly prohibit schools fromcommunicating with children relative to their meal accounts and requireschools to communicate with “only the parent or guardian of thehousehold.”

DEPARTMENT RESPONSE:It appears that these commenters misunderstood the intent of Education

Law § 908, as added by Section 1 of Part B of Chapter 56 of the Laws of2018, and this rulemaking. The statute and rulemaking do not expresslyprohibit school food staff from communicating with the child regardingschool meals; however, the statute and regulation require the school todevelop a plan to ensure that a pupil whose parent or guardian has unpaidschool meal fees is not shamed or treated differently than a pupil whoseparent or guardian does not have unpaid school meal fees. The language inthe statute and regulation specifically states that such plans must include aclear explanation of procedures designed to decrease student distress orembarrassment, provided that, no school or school district shall: publiclyidentify or stigmatize a student who cannot pay for a meal or who owes ameal debt by any means including, but not limited to, requiring that astudent wear a wristband or hand stamp; require a student who cannot payfor a meal or who owes a meal debt to do chores or other work to pay formeals; require that a student throw away a meal after it has been servedbecause of the student’s inability to pay for the meal or because money isowed for earlier meals; take any action directed at a pupil to collect unpaidschool meal fees; or discuss any outstanding meal debt in the presence ofother students. This is not an all-inclusive ban on communication with thestudent; however, school staff must be mindful of their language and man-ner, understanding of the child and the presence of other pupils whendiscussing food service account balances. The Department has issued guid-ance and best practices for this initiative and anticipates updating suchguidance and best practices in the future, as necessary. The rulemaking isconsistent with the statute and necessary to conform the regulations toEducation Law § 908. Thus, no revisions are necessary at this time.

2. COMMENT:Some commenters expressed concern that the rulemaking will place ad-

ditional responsibilities on school food staff to collect outstanding unpaidmeal charges. A few commenters requested additional funding to compen-sate for school food service employees’ time, effort, materials and postagerelative to collecting outstanding meal charges.

DEPARTMENT RESPONSE:


19

While the Department is sympathetic to the commenters’ concerns, therulemaking implements the requirements of the statute. Therefore, no revi-sions are necessary.

3. COMMENT:Commenter requested additional funding in the event that the school

initiates litigation in small claims court to collect unpaid meal charges.DEPARTMENT RESPONSE:The rulemaking implements the requirements of the statute. This com-

ment is also outside the scope of the rulemaking and as such, no revisionsare necessary.

4. COMMENT:Several commenters expressed frustration and concerns that the regula-

tion will result in unlimited meal charges and an increase in unpaid mealaccount balances. Many commenters stated that unpaid meal charges havesignificantly increased since the statute and regulation became effective.One commenter suggested that the rulemaking should expressly allowschools to set limits on unpaid meal account balances and require schoolsto provide alternative lunches for children in grades nine through twelveonce an unpaid meal account balance limit has been reached.

DEPARTMENT RESPONSE:While the Department is sympathetic to the commenters’ concerns, the

rulemaking implements the statutory requirements and expressly requiresa school to develop a plan that includes a clear explanation of the proce-dure to handle unpaid meal charges and specifically states that nothing isintended to allow for the unlimited accrual of debt. In addition, the legisla-tion requires schools to provide students with the students’ meal choice ofthe available reimbursable meal choices for the school day; therefore,alternative lunches for students who have unpaid meal balances areexpressly prohibited. The Department has issued guidance and best prac-tices for this initiative and anticipates updating such guidance and bestpractices in the future, as necessary. The rulemaking implements therequirements of the statute and is necessary to conform the Regulations ofthe Commissioner to Education Law § 908. Thus, no revisions are neces-sary at this time.

5. COMMENT:One commenter inquired whether the school may withhold transcripts

and diplomas until unpaid meal account balances have been collected.DEPARTMENT RESPONSE:The rulemaking requires the school to develop a plan that includes a

clear explanation of the procedure to handle unpaid meal charges. More-over, this comment is outside the scope of the regulation. Accordingly, nochange to the regulation is warranted.

6. COMMENT:Several commenters expressed frustration and concern that this

rulemaking allows a child to charge all school meals including a la carteitems and second meals which may result in an escalation of unpaid mealaccount balances. Some commenters also expressed frustration andconcern that school food staff must provide a student access to a secondmeal or a la carte items when the student has money to pay for such itemsbut has outstanding unpaid meal charges.

DEPARTMENT RESPONSE:While the rulemaking specifically requires the school or school district

to provide access to a reimbursable meal, it does not require that a la carteitems, adult meals, or other similar items, which would include secondmeals, be provided. It is in within the school’s discretion as to how to ad-dress a la carte food items and second meals.

Nevertheless, the rulemaking specifically states that a school must nottake any action directed at a pupil to collect unpaid school meal fees.Schools may not use a child’s money to repay previously unpaid charges ifthe child intended to use the money to purchase a second meal or a la carteitem.

The Department has issued guidance and best practices on this initiativeand anticipates updating such guidance and best practices in the future, asnecessary. The rulemaking is consistent with the statute and necessary toconform the Regulations of the Commissioner to Education Law § 908.Therefore, the Department does not believe any change to the rulemakingis warranted.

7. COMMENT:One commenter requested clarification on whether a school may utilize

an “administrative prerogative application” in the event that a parent orguardian cannot be successfully contacted regarding a student’s unpaidmeal balance.

DEPARTMENT RESPONSE:This comment is outside the scope of the proposed rulemaking.

However, 7 CFR 245.6(d) provides local school officials the discretion tocomplete an application for a child known to be eligible for meal benefitsif, after household applications have been disseminated, the household hasnot applied. This option is intended for limited use upon individual situa-tions and must not be used to make eligibility determinations for catego-ries or groups of children. This option must be used judiciously and may

not be used when family income is above the eligibility guidelines, eventhough the children are coming to school without a meal or money. Familyeconomic status must remain the criterion for administratively making thedecision to provide the student access to free or reduced price meals.Schools are encouraged to review Department guidance on this issue.

8. COMMENT:A few commenters expressed concern that this rulemaking requires a

school to provide a reimbursable meal when the child’s parent expresslyrequested that the child not be allowed to charge a reimbursable meal.

DEPARTMENT RESPONSE:The rulemaking specifically states that the school’s plan must include a

statement that the school or school district shall provide the student withthe student’s meal of choice for that school day of the available reimburs-able meal choices for such school day, if the student requests one, unlessthe student’s parent or guardian has specifically provided written permis-sion to the school to withhold a meal. If a school has documentation froma parent requesting that their child not receive a reimbursable meal, areimbursable meal is not required to be provided. The implementation ofthis provision is at the discretion of a local school food authority. TheDepartment has issued guidance and best practices on the initiative andanticipates updating such guidance and best practices in the future, asnecessary. The rulemaking is consistent with the statute and necessary toconform the Regulations of the Commissioner to Education Law § 908,Thus, no revisions are necessary at this time.

9. COMMENT:Several commenters echoed previously received comments and ex-

pressed concern relating to unlimited accrual of unpaid meal accountbalances. One commenter suggested that the rulemaking should expresslyallow schools to set limits on unpaid meal account balances and requireschools to provide alternative lunches for children in grades nine throughtwelve once an unpaid meal account balance limit has been reached.

DEPARTMENT RESPONSE:Please see response to Comment #4. In addition, the legislation requires

schools to provide students with the students’ meal choice of the availablereimbursable meal choices for the school day; therefore, alternativelunches for students who have unpaid meal balances are expresslyprohibited.



Transitional H Pathway for School District Business LeaderCertifications

I.D. No. EDU-05-19-00007-P


Proposed Action: Amendment of section 80-5.25 of Title 8 NYCRR.

Statutory authority: Education Law, sections 101, 207, 305, 3001, 3004and 3009

Subject: Transitional H Pathway for School District Business LeaderCertifications.

Purpose: To Expand the Type of Eligible Experiences for the TransitionalH Pathway for School District Business Leader Certification.

Text of proposed rule: Clause (c) of subparagraph (i) of paragraph (3) ofsubdivision (a) of section 80-5.25 of the Regulations of the Commissionerof Education shall be amended to read as follows:

(c) The candidate shall have completed at least three years ofexperience as a licensed certified public accountant who is auditing orworking in the business office of one or more New York State schooldistricts, BOCES and/or municipalities in New York State, as determinedby the Commissioner;

Text of proposed rule and any required statements and analyses may beobtained from: Kirti Goswami, NYS Education Department, Office ofCounsel, 89 Washington Avenue, Room 148, Albany, NY 12234, (518)474-6400, email: [email protected]

Data, views or arguments may be submitted to: Petra Maxwell, NYSEducation Department, Office of Higher Education, 89 Washington Ave-nue, Room 975 EBA, Albany, NY 12234, (518) 474-2238, email:[email protected]


Regulatory Impact Statement1. STATUTORY AUTHORITY:Education Law 101 (not subdivided) charges the Department with the

general management and supervision of all public schools and all of theeducational work of the state.


20


Education Law 207 (not subdivided) grants general rule-making author-ity to the Regents to carry into effect State educational laws and policies.

Education Law 305(1) and (3) authorizes the Commissioner to enforcethe educational policies of this State and execute all educational policiesdetermined by the Regents and shall prescribe the licensing of teachersemployed in this State.

Education Law 3001 establishes the qualifications of teachers in theclassroom.

Education Law 3004(1) authorizes the Commissioner to promulgateregulations governing the certification requirements for teachers employedin public schools.

Education Law 3009 prohibits school districts from paying the salary ofan unqualified teacher.

2. LEGISLATIVE OBJECTIVES:The purpose of the proposed amendment to § 80-5.25 of the Regula-

tions of the Commissioner of Education is to expand the type of eligibleexperiences for the Transitional H pathway for School District BusinessLeader certification.

3. NEEDS AND BENEFITS:School district business leaders (SDBLs) are important assets to school

districts and BOCES, with their duties ranging from day-to-day operationsto long-range planning. At its January 2018 meeting, the Board of Regentsestablished the Transitional H pathway for individuals who hold a validlicense and registration as a New York State Certified Public Accountant,allowing them to be employed for up to three years as an SDBL while theycomplete the requirements for a Professional SBDL certificate and helpingto meet the demand to fill SDBL positions.

The eligibility requirements for the Transitional H certificate include atleast three years of experience as a licensed certified public accountantauditing New York State school districts, boards of cooperative educationalservices (BOCES), and/or municipalities in New York State. The proposedamendment to § 80-5.25 of the Commissioner’s Regulations would alsoallow individuals who have at least three years of experience as a licensedcertified public accountant working in the business office of one or moreNew York State school districts, BOCES, and/or municipalities in NewYork State to be eligible for the Transitional H certificate.

Licensed certified public accountants who have experience in the busi-ness office of one or more New York State school districts, BOCES, and/ormunicipalities in New York State would be excellent candidates for theTransitional H certificate given their background in areas such as fiscalmanagement, facilities management, and human resources. Expanding theTransitional H certificate eligibility requirements to include this type ofexperience would increase the pool of qualified candidates for this certifi-cate and therefore increase the number of candidates in the pipeline forSDBL certification, which would address the need for SDBLs in the nearfuture due to impending retirements.

4. COSTS:a. Costs to State government: The amendments do not impose any costs

on State government, including the State Education Department.b. Costs to local government: The amendments do not impose any costs

on local government.c. Costs to private regulated parties: The amendment do not impose any

costs on private regulated parties.d. Costs to regulating agency for implementation and continued

administration: See above.5. LOCAL GOVERNMENT MANDATES:The proposed amendment does not impose any additional program, ser-

vice, duty or responsibility upon any local government.6. PAPERWORK:The proposed amendment does not impose any additional paperwork

requirements.7. DUPLICATION:The proposed amendment does not duplicate existing State or Federal

requirements.8. ALTERNATIVES:Because the State believes that uniform certification standards are

required across the State, no alternatives were considered.9. FEDERAL STANDARDS:There are no applicable Federal standards.10. COMPLIANCE SCHEDULE:It is anticipated that the proposed amendment will be permanently

adopted by the Board of Regents at its May 2019 meeting. If adopted atthe May 2019 meeting, the proposed amendment will become effective onMay 22, 2019.

Regulatory Flexibility AnalysisThe purpose of the proposed amendment to § 80-5.25 of the Regula-


The eligibility requirements for the Transitional H certificate include at

least three years of experience as a licensed certified public accountantauditing New York State school districts, boards of cooperative educationalservices (BOCES), and/or municipalities in New York State. The proposedamendment to § 80-5.25 of the Commissioner’s Regulations would alsoallow individuals who have at least three years of experience as a licensedcertified public accountant working in the business office of one or moreNew York State school districts, BOCES, and/or municipalities in NewYork State, as determined by the Commissioner, to be eligible for theTransitional H certificate.

Licensed certified public accountants who have experience in the busi-ness office of one or more New York State school districts, BOCES, and/ormunicipalities in New York State would be excellent candidates for theTransitional H certificate given their background in areas such as fiscalmanagement, facilities management, and human resources. Expanding theTransitional H certificate eligibility requirements to include this type ofexperience would increase the pool of qualified candidates for this certifi-cate and therefore increase the number of candidates in the pipeline forSchool District Business Leader certification, which would address theneed for School District Business Leaders in the near future due to impend-ing retirements.

The amendment does not impose any new recordkeeping or othercompliance requirements and will not have an adverse economic impacton small businesses or local governments. Because it is evident from thenature of the proposed amendment that it does not affect small businessesor local governments, no further steps were needed to ascertain that factand none were taken. Accordingly, a regulatory flexibility analysis forsmall businesses is not required and one has not been prepared.

Rural Area Flexibility Analysis1. TYPES AND ESTIMATED NUMBERS OF RURAL AREAS:This proposed amendment applies to all candidates for the Transitional

H certificate, including those located in the 44 rural counties with fewerthan 200,000 inhabitants and the 71 towns and urban counties with apopulation density of 150 square miles or less.


The purpose of the proposed amendment to § 80-5.25 of the Regula-tions of the Commissioner of Education is to expand the type of eligibleexperiences for the Transitional H pathway for School District BusinessLeader certification.

The eligibility requirements for the Transitional H certificate include atleast three years of experience as a licensed certified public accountantauditing New York State school districts, boards of cooperative educationalservices (BOCES), and/or municipalities in New York State. The proposedamendment to § 80-5.25 of the Commissioner’s Regulations would alsoallow individuals who have at least three years of experience as a licensedcertified public accountant working in the business office of one or moreNew York State school districts, BOCES, and/or municipalities in NewYork State, as determined by the Commissioner, to be eligible for theTransitional H certificate.


3. COSTS:The proposed amendment does not impose any costs on Transitional H

certificate candidates and/or the New York State school districts/BOCESwho wish to hire them.

4. MINIMIZING ADVERSE IMPACT:The Department believes that uniform standards for certification must

be established across the State. Therefore, no alternatives were consideredfor those located in rural areas of the State.

5. RURAL AREA PARTICIPATION:Copies of the proposed amendments have been provided to Rural Advi-

sory Committee for review and comment.

Job Impact StatementThe purpose of the proposed amendment to § 80-5.25 of the Regula-


The eligibility requirements for the Transitional H certificate include atleast three years of experience as a licensed certified public accountantauditing New York State school districts, boards of cooperative educational


21

services (BOCES), and/or municipalities in New York State. The proposedamendment to § 80-5.25 of the Commissioner’s Regulations would alsoallow individuals who have at least three years of experience as a licensedcertified public accountant working in the business office of one or moreNew York State school districts, BOCES, and/or municipalities in NewYork State to be eligible for the Transitional H certificate.


Because it is evident from the nature of the proposed amendment that itwill have no impact on the number of jobs or employment opportunities inNew York State, no further steps were needed to ascertain that fact andnone were taken.



Protecting Personally Identifiable Information

I.D. No. EDU-05-19-00008-P


Proposed Action: Addition of Part 121 to Title 8 NYCRR.

Statutory authority: Education Law, sections 2-d, 101, 207 and 305

Subject: Protecting Personally Identifiable Information.

Purpose: To implement the provisions of Education Law section 2-d.

Substance of proposed rule (Full text is posted at the following Statewebsite: http://www.counsel.nysed.gov/rules/full-text-indices): § 121.1Definitions.

This section provides definitions for specific terms for this Part.§ 121.2 Educational Agency Data Collection Transparency and

Restrictions.Prohibits educational agencies from selling personally identifiable in-

formation (PII) or using/disclosing it or allowing any other entity to use ordisclose it for any marketing or commercial purpose. Educational agen-cies must incorporate provisions in its contracts with third party contrac-tors that require the confidentiality of PII.

§ 121.3 Parents Bill of Rights for Data Privacy and Security.Requires each educational agency to: publish on its website a parent’s

bill of rights for data privacy and security; include it with every contractwhere a third-party contractor will receive PII; include supplemental in-formation for each contract such as the exclusive purposes for which thedata will be used and; how the third-party contractor will comply with allapplicable data protection and security requirements. The supplementalinformation must also be published on the educational agency’s website.

§ 121.4 Parent Complaints of Breach or Unauthorized Release ofPersonally Identifiable Information.

Educational agencies must establish procedures for parents and eligiblestudents to file complaints about breaches or unauthorized releases ofstudent data. The procedure will require educational agencies to promptlyacknowledge receipt of complaints, commence an investigation, and takethe necessary precautions to protect any personally identifiableinformation.

§ 121.5 Data Security and Privacy Standard.Adopts the National Institute for Standards and Technology Framework

for Improving Critical Infrastructure Cybersecurity Version 1.1 (NISTCybersecurity Framework or NIST CSF) as the standard for data securityand privacy for educational agencies. Each educational agency must adoptand publish a data security and privacy policy that complies with theproposed regulations, aligns with the NIST CSF, and includes provisionsthat require every use of PII by the educational agency to benefit studentsand the educational agency and prohibits the inclusion of personallyidentifiable information in public reports or other documents. Eacheducational agency is required to publish its data security and privacypolicy on its website and provide notice of the policy to all its officers andemployees.

§ 121.6 Data Security and Privacy Plan.Educational agencies must ensure that their contracts with third-parties

that will receive PII include a data security and privacy plan that complieswith Education Law § 2-d.

§ 121.7 Training for Educational Agency Employees.Educational agencies must provide annual information privacy and se-

curity awareness training to their officers and employees with access topersonally identifiable information. Such training may be delivered usingonline training tools and may be included as part of training the educationalagency already offers to its workforce.

§ 121.8 Educational Agency Data Protection Officer.Each educational agency must designate one or more employees to

serve as the educational agency’s data protection officer(s) to be respon-sible for the implementation of the policies and procedures required inEducation Law § 2-d and this Part, and to serve as the point of contact fordata security and privacy for the educational agency.

§ 121.9 Third Party Contractors.Third-party contractors that will receive PII must adopt technologies,

safeguards and practices that align with the NIST Cybersecurity Frame-work; comply with the data security and privacy policy of the educationalagency with whom it contracts; and comply with Education Law § 2-d;and the proposed regulations. Contractors are prohibited from selling PIIor using it for any marketing or commercial purpose. Additionally, wherea third-party contractor engages a subcontractor to perform its contractualobligations, the data protection obligations imposed on the third-partycontractor are applicable to the subcontractor.

§ 121.10 Reports and Notifications of Breach and UnauthorizedRelease.

Third-party contractors must notify each educational agency with whichit has a contract of any breach or unauthorized release of PII in accordancewith requirements set forth in the proposed regulations. Educational agen-cies must report any breach or unauthorized release of PII to the ChiefPrivacy Officer and notify affected parents, eligible students, teachersand/or principals in the most expedient way possible in accordance withrequirements set forth in the proposed regulations. The Chief Privacy Of-ficer is required to report law enforcement any breach or unauthorizedrelease that constitutes criminal conduct.

§ 121.11 Third Party Contractor Civil Penalties.The Chief Privacy Officer has the authority to investigate reports of

breaches or unauthorized releases and impose penalties on third partycontractors for unauthorized releases or breaches of PII in accordancewith requirements set forth in the proposed regulations.

§ 121.12 Right of Parents and Eligible Students to Inspect and ReviewStudents Education Records.

Consistent with FERPA, parents and eligible students shall have theright to inspect and review a student’s education record by making arequest directly to the educational agency in a manner prescribed by theeducational agency. Educational agencies are required to notify parentsannually of their right to request to inspect and review their child’s educa-tion record including any student data stored or maintained by aneducational agency.

§ 121.13 Chief Privacy Officer’s Powers.The Chief Privacy Officer shall have the power to access all records,

reports, audits, reviews, documents, papers, recommendations, and othermaterials maintained by an educational agency that relate to student dataor teacher or principal data, which shall include but not be limited to re-cords related to any technology product or service that will be utilized tostore and/or process personally identifiable information as furtherdescribed in the proposed regulations.

§ 121.14 Severability.If any provision of this part or its application to any person or circum-

stances is adjudged invalid by a court of competent jurisdiction, such judg-ment shall not affect or impair the validity of the other provisions of thearticle or their application to other persons and circumstances, and thoseremaining provisions shall not be affected but shall remain in full forceand effect.

Text of proposed rule and any required statements and analyses may beobtained from: Kirti Goswami, NYS Education Department, Office ofHigher Education, 89 Washington Avenue, Room 975 EBA, Albany, NY12234, (518) 474-2238, email: [email protected]

Data, views or arguments may be submitted to: Temitope Akinyemi, NYSEducation Department, Office of Higher Education, 89 Washington Ave-nue, Room 975 EBA, Albany, NY 12234, (518) 474-6400, email:[email protected]


Regulatory Impact Statement1. STATUTORY AUTHORITY:Education Law section 101 charges the Department with the general

management and supervision of the educational work of the State andestablishes the Regents as head of the Department.

Education Law section 207 grants general rule-making authority to theRegents to carry into effect State educational laws and policies.


22


Education Law section 305(1) authorizes the Commissioner to enforcelaws relating to the State educational system and execute Regentseducational policies. Section 305(2) provides the Commissioner with gen-eral supervision over schools and authority to advise and guide schooldistrict officers in their duties and the general management of their schools.

Education Law section 2-d authorizes the Commissioner to enforcelaws relating to the privacy and security of personally identifiable infor-mation (PII) of students, and certain annual professional performancereview (APPR) data of teachers and principals.

2. LEGISLATIVE OBJECTIVES:The purpose of the proposed rule is to implement Education Law sec-

tion 2-d, as added by Chapter 56 of the Laws of 2014 which outlinescertain requirements for educational agencies and their third-party contrac-tors to ensure the privacy and security of the personally identifiable infor-mation of students, and certain annual professional performance review(APPR) data of teachers and principals (PII).

3. NEEDS AND BENEFITS:The proposed rule, consistent with Education Law section 2-d, estab-

lishes certain requirements for educational agencies and their third-partycontractors to ensure the security and privacy of PII.

4. COSTS:a. Costs to State government: The proposed amendment implements

Education Law section 2-d and does not impose any additional costs onState government, including the State Education Department, beyondthose costs imposed by the statute.

b. Costs to local government: Education Law section 2-d, as added byChapter 56 of the Laws of 2014, establishes certain requirements foreducational agencies and their third-party contractors to ensure the secu-rity and privacy of PII. The proposed amendment does not impose anydirect costs on local governments beyond those imposed by the statute.

The Department anticipates that educational agencies will need todedicate existing staff to accomplish the duties required by the statuteand/or the proposed rule. However, most educational agencies are orshould be already performing these activities.

For example, § 121.7 requires educational agencies to provide annualinformation privacy and security awareness training to their officers andemployees with access to personally identifiable information. However,such training may be delivered using online training tools and may beincluded as part of training the educational agency already offers to itsworkforce.

§ 121.8 requires each educational agency to designate one or more em-ployees to serve as the educational agency’s data protection officer(s) tobe responsible for the implementation of the policies and proceduresrequired in Education Law § 2-d and this Part, and to serve as the point ofcontact for data security and privacy for the educational agency. Thisrequirement may be fulfilled by a current employee(s) of the educationalagency who may perform this function in addition to other jobresponsibilities.

c. Costs to private regulated parties: The rule applies to third partyvendors contracting with educational agencies and does not impose anycosts on such parties beyond those costs imposed by the statute.

d. Costs to regulatory agency for implementing and continued adminis-tration of the rule: The Department anticipates that the regulatory agencywill need to dedicate staff hours to accomplish the duties and oversightrequired by the statute and/or the proposed rule.

5. LOCAL GOVERNMENT MANDATES:The majority of the requirements in the proposed amendment do not

impose any program, service, duty or responsibility on educational agen-cies beyond those imposed by the statute. The proposed rule requires thefollowing of educational agencies:

§ 121.2 prohibits educational agencies from selling personally identifi-able information or using/disclosing it or allowing any other entity to useor disclose it for any marketing or commercial purpose. Educational agen-cies must incorporate provisions in its contracts with third party contrac-tors that require the confidentiality of PII.

§ 121.3 requires each educational agency to adopt a parent’s bill ofrights for data privacy and security that is included with every contract aneducational agency enters with a third-party contractor that receivespersonally identifiable information and is published on its website.

§ 121.4 requires educational agencies to establish procedures for parentsand eligible students to file complaints about breaches or unauthorizedreleases of student data.

§ 121.5 requires each educational agency to adopt and publish a datasecurity and privacy policy that complies with the regulations and alignswith the National Institute for Standards and Technology Framework forImproving Critical Infrastructure Cybersecurity Version 1.1 no later thanDecember 31, 2019.

§ 121.6 requires each educational agency to ensure that its contractswith third-party contractors include a data security and privacy plan.

§ 121.7 requires educational agencies to provide annual information

privacy and security awareness training to their officers and employeeswith access to personally identifiable information. Such training may bedelivered using online training tools and may be included as part of train-ing the educational agency already offers to its workforce.


§ 121.9 requires third-party contractors that will receive PII to adopttechnologies, safeguards and practices that align with the NIST Cybersecu-rity Framework; comply with the data security and privacy policy of theeducational agency with which it contracts; Education Law § 2-d; and theregulations.

§ 121.10 requires third-party contractors to notify each educationalagency with which it has a contract of any breach or unauthorized releaseof personally identifiable information. Educational agencies must reportbreaches or unauthorized releases of PII to the Chief Privacy Officer andnotify affected parents, eligible students, teachers and/or principals in ac-cordance with the regulations.

§ 121.11 provides that the Chief Privacy Officer has the authority toinvestigate reports of breaches or unauthorized releases and may imposecivil penalties on third party contractors for breaches or unauthorizedreleases of PII.

§ 121.12 provides that consistent with FERPA, parents and eligiblestudents shall have the right to inspect and review a student’s educationrecord by making a request directly to the educational agency in a mannerprescribed by the educational agency. Educational agencies are required tonotify parents annually of their right to request to inspect and review theirchild’s education record including any student data stored or maintainedby an educational agency.

§ 121.13 addresses the Chief Privacy Officer’s powers, including thepower to access records and other materials maintained by an educationalagency that relate to PII.

6. PAPERWORK:§ 121.2 prohibits educational agencies from selling personally identifi-

able information or using/disclosing it or allowing any other entity to useor disclose it for any marketing or commercial purpose. Educational agen-cies must incorporate provisions in its contracts with third party contrac-tors that require the confidentiality of PII.


§ 121.5 requires each educational agency to adopt and publish a datasecurity and privacy policy that implements the requirements of this Partand aligns with the NIST CSF.

§ 121.6 requires educational agencies that enter into a contract with athird-party contracts to ensure that such contract includes a data securityand privacy policy.



7. DUPLICATION:The rule is necessary to implement Education Law section 2-d and does

not duplicate existing State or Federal requirements.8. ALTERNATIVES:The rule is necessary to implement Education Law section 2-d. No sig-

nificant alternatives were considered.9. FEDERAL STANDARDS:The rule is necessary to implement Education Law section 2-d. There

are no applicable Federal standards.10. COMPLIANCE SCHEDULE:The proposed amendment will become effective on its stated effective

date. As stated above, section 121.5 of the proposed regulation requireseach educational agency to adopt and publish a data security and privacypolicy that complies with the regulations and aligns with the NationalInstitute for Standards and Technology Framework for Improving CriticalInfrastructure Cybersecurity Version 1.1 no later than December 31, 2019.


23

Regulatory Flexibility Analysis(a) Small businesses:The purpose of the proposed rule is to implement Education Law sec-

tion 2-d, as added by Chapter 56 of the Laws of 2014 which outlinescertain requirements for educational agencies and their third-party contrac-tors to ensure the privacy and security of the personally identifiable infor-mation of students, and certain annual professional performance reviewdata of teachers and principals (PII).

1. EFFECT OF RULE:The proposed rule, consistent with Education Law section 2-d, estab-

lishes certain requirements for educational agencies and their third-partycontractors to ensure the security and privacy of PII. Some of the third-party contractors with educational agencies may be small businesses.

2. COMPLIANCE REQUIREMENTS:Certain requirements in the proposed rule apply to small businesses that

receive PII and do not impose any program, service, duty or responsibilityon small businesses beyond those imposed by the statute. Compliancerequirements are summarized as follows:






§ 121.7 requires educational agencies to provide annual informationprivacy and security awareness training to their officers and employeeswith access to personally identifiable information. Such training may bedelivered using online training tools and may be included as part of train-ing the educational agency already offers to its workforce.







3. PROFESSIONAL SERVICES:The proposed amendment does not impose any additional professional

services requirements on small businesses.4. COMPLIANCE COSTS:See the Costs Section of the Regulatory Impact Statement that is

published in the State Register on this publication date for an analysis ofthe costs of the proposed rule.

5. ECONOMIC AND TECHNOLOGICAL FEASIBILITY:The proposed rule may impose additional technological requirements

on small businesses that receive PII. Economic feasibility is addressedabove under Compliance Costs.

6. MINIMIZING ADVERSE IMPACT:The rule is necessary to implement Education Law section 2-d, as added

by Chapter 56 of the Laws of 2014. The rule has been carefully drafted tomeet statutory requirements. Moreover, since the proposed amendmentapplies to all third party contractors across the State, in order ensure con-sistency and the privacy of PII across the State, it was not possible to es-tablish different compliance and reporting requirements for regulated par-ties in rural areas, or to exempt them from the rule’s provisions.

7. SMALL BUSINESS PARTICIPATION:The proposed regulation was developed in consultation with stakehold-

ers and the public. In the Spring of 2018, fourteen public forums were heldacross the state to receive public comment on the law; which includedsmall businesses. Electronic comments were also accepted by the Depart-ment during this two-month period. These comments were critical todeveloping the implementing regulations.

(b) Local governments:1. EFFECT OF RULE:The proposed rule, consistent with Education Law section 2-d, estab-

lishes certain requirements for educational agencies and their third-partycontractors to ensure the security and privacy of PII.

2. COMPLIANCE REQUIREMENTS:The proposed rule applies to educational agencies and does not impose

any program, service, duty or responsibility on educational agencies be-yond those imposed by the statute. Compliance requirements are summa-rized as follows:











§ 121.12 provides that consistent with FERPA, parents and eligiblestudents shall have the right to inspect and review a student’s education


24

record by making a request directly to the educational agency in a mannerprescribed by the educational agency. Educational agencies are required tonotify parents annually of their right to request to inspect and review theirchild’s education record including any student data stored or maintainedby an educational agency.


3. PROFESSIONAL SERVICES:The proposed amendment does not specifically require any regulated

parties to use professional services.However, § 121.7 requires educational agencies to provide annual in-

formation privacy and security awareness training to their officers and em-ployees with access to personally identifiable information. Such trainingmay be delivered using online training tools and may be included as partof training the educational agency already offers to its workforce.


4. COMPLIANCE COSTS:See the Costs Section of the Regulatory Impact Statement that is

published in the State Register on this publication date for an analysis ofthe costs of the proposed rule.

5. ECONOMIC AND TECHNOLOGICAL FEASIBILITY:The proposed regulation requires each educational agency to ensure it

has a policy on data security and privacy. As required by Education Law§ 2-d (5), the proposed regulation adopts the National Institute for Stan-dards and Technology Framework for Improving Critical InfrastructureCybersecurity Version 1.1 (NIST Cybersecurity Framework or NIST CSF)as the standard for data security and privacy for educational agencies. Nolater than December 31, 2019, each educational agency shall adopt andpublish a data security and privacy policy that implements the require-ments of this Part and aligns with the NIST CSF.

Economic feasibility is addressed above under Compliance Costs.6. MINIMIZING ADVERSE IMPACT:The rule is necessary to implement Education Law section 2-d, as added

by Chapter 56 of the Laws of 2014. The rule has been carefully drafted tomeet statutory requirements while providing flexibility to educationalagencies, to the extent possible. For instance, § 121.8 requires eacheducational agency to designate one or more employees to serve as theeducational agency’s data protection officer(s) to be responsible for theimplementation of the policies and procedures required in Education Law§ 2-d and this Part, and to serve as the point of contact for data securityand privacy for the educational agency. This requirement may be fulfilledby a current employee(s) of the educational agency who may perform thisfunction in addition to other job responsibilities.

7. LOCAL GOVERNMENT PARTICIPATION:The proposed regulation was developed in consultation with stakehold-

ers and the public. In the Spring of 2018, fourteen public forums were heldacross the state to receive public comment on the law. Electronic com-ments were also accepted by the Department during this two-month period.These comments were critical to developing the implementing regulations.The Department has also coordinated with a Data Privacy AdvisoryCouncil (DPAC) and subset Regulatory Drafting Workgroup, to reviewdrafts of the proposed regulation and provide an opportunity for stake-holder comment. The DPAC is comprised of stakeholders from a widerange of industry including parent advocates, administrative and teacherorganizations as well as technical experts and district level staff. Finally,the Department is working with an Implementation Workgroup, comprisedof RIC Directors, BOCES staff and district technical directors to receivefeedback and ensure successful implementation of these regulations.

Rural Area Flexibility Analysis1. TYPES AND ESTIMATED NUMBERS OF RURAL AREAS:The proposed amendment applies to all educational agencies in the

State, including those located in the 44 rural counties with fewer than200,000 inhabitants and the 71 towns and urban counties with a popula-tion density of 150 square miles or less.


The majority of the requirements in the proposed amendment do notimpose any program, service, duty or responsibility on educational agen-cies beyond those imposed by the statute.

§ 121.2 prohibits educational agencies from selling personally identifi-able information or using/disclosing it or allowing any other entity to useor disclose it for any marketing or commercial purpose. Educational agen-

cies must incorporate provisions in its contracts with third party contrac-tors that require the confidentiality of PII.












3. COSTS:See the “Costs” Section of the Regulatory Impact Statement that is

published in the State Register on this publication date for an analysis ofthe costs of the proposed rule, which include costs for educational agen-cies across the State, including those located in rural areas.

4. MINIMIZING ADVERSE IMPACT:The rule is necessary to implement Education Law section 2-d. The rule

has been carefully drafted to meet statutory requirements while providingflexibility educational agencies. Since the statute applies to all educationalagencies throughout the State, it was not possible to establish differentcompliance and reporting requirements for regulated parties in rural areas,or to exempt them from the rule’s provisions.

5. RURAL AREA PARTICIPATION:The proposed regulations were developed in consultation with stake-

holders and the public. In the Spring of 2018, fourteen public forums wereheld across the state to receive public comment on the law including com-ment from those located in rural areas. Electronic comments were also ac-cepted by the Department during this two-month period. These commentswere critical to developing the implementing regulations. The Departmenthas also coordinated with a Data Privacy Advisory Council (DPAC) andsubset Regulatory Drafting Workgroup, to review drafts of the proposedregulation and provide an opportunity for stakeholder comment. TheDPAC is comprised of stakeholders from a wide range of industry includ-ing parent advocates, administrative and teacher organizations as well astechnical experts and district level staff including those located in ruralareas. Finally, the Department is working with an Implementation


25

Workgroup, comprised of RIC Directors, BOCES staff and district techni-cal directors to receive feedback and ensure successful implementation ofthese regulations.Job Impact StatementThe purpose of the proposed rule is to implement Education Law section2-d, as added by Chapter 56 of the Laws of 2014, which protects theprivacy and security of personally identifiable information of students,and teacher and principal annual professional performance review (APPR)data. The law outlines certain requirements for educational agencies andthe third-party contractors they utilize to ensure the security and privacyof protected information. Because it is evident from the nature of theproposed rule that it will have no impact on the number of jobs or employ-ment opportunities in New York State, no further steps were needed toascertain that fact and none were taken. Accordingly, a job impact state-ment is not required and one has not been prepared.

REVISED RULE MAKING


Relates to Professional Development Plans and Other RelatedRequirements for School Districts and BOCES

I.D. No. EDU-40-18-00010-RP

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

Proposed Action: Amendment of sections 52.21, 75.8, 80-3.4, 80-3.10,90.18, 100.2, 100.13, 100.15, 100.17, 100.19, 200.2, Subparts 57-2, 151-1,154-2, Parts 30 and 80; repeal of section 80-3.6 of Title 8 NYCRR.

Statutory authority: Education Law, sections 101, 305(1), 2017, 3004(1),3006, 3006-a and 3009

Subject: Relates to professional development plans and other relatedrequirements for school districts and BOCES.

Purpose: To improve the quality of teaching and learning for teachers andleaders for professional growth.

Substance of revised rule (Full text is posted at the following Statewebsite: http://www.counsel.nysed.gov/rules/full-text-indices): Theproposed amendments to subdivision 100.2(dd) are designed to creategreater coherence with other statutory and Department initiatives relatedto ensuring that all educators – teachers, teaching assistants, and schoolleaders - have the knowledge and skills necessary to meet the needs of allstudents. Specifically, the amendments further align the Commissioner’sRegulations with requirements related to the Dignity for All Students Act(DASA), the Continuing Teacher and Leader Education (CTLE) statutoryrequirements, and the Department’s recently approved Every Student Suc-ceeds Act (ESSA) plan. These changes include:

D A shift in terminology from professional development to professionallearning, which is consistent with the changes to the standards adopted bythe PSPB. This shift is more than just a change in language. Professionalorganizations and educational researchers, including Learning Forward,the Learning Policy Institute (LPI), and the Association for Supervisionand Curriculum Development (ASCD), have adopted this change inlanguage, which emphasizes the importance of educators taking an activerole in their continuous development. Rather than being passive recipientsof information, educators should be active partners in determining thecontent of their learning, how their learning occurs, and how they evaluateits effectiveness.

D Requires the professional learning plan to describe how professionallearning related to educator practice and curriculum development areculturally responsive and reflect the needs of the community that theschool district or BOCES serves.

D Clarifying the Department’s expectations regarding the use of data –both qualitative and quantitative – in determining appropriate professionallearning and measuring its impact on educators and student learning, con-sistent with research on effective professional learning.

D Clarifying that professional learning plans must describe the profes-sional learning opportunities that are available to teachers, teaching as-sistants, and school leaders, whereas the existing regulations do not con-sistently include references to educators other than teachers.

D Technical edits to remove references to dates, professional learningrequirements for teachers, pupil personnel service providers and educa-tional leaders, and certain structures in the New York City Department ofEducation that are no longer relevant.

Consistent with the shift in terminology from professional developmentto professional learning related to school district and BOCES professionallearning plans, the amendments make conforming edits to other provi-sions of the Commissioner’s Regulations. Specifically, Sections 52.21,

57-2, 75.8, 80-1, 80-2, 80-3, 80-5, 80-6, 90.18, 100.2, 100.13, 100.15,100.17, 100.19, 151-1, 154-2, and 200.2 of the Commissioner’s Regula-tions and 30-1, 30-2, and 30-3 of the Rules of the Board of Regents areamended to change references to professional development to professionallearning. Additionally, Section 80-3.6 of the Commissioner’s Regulations,which prescribed professional development requirements for teachersthrough the 2016-17 school year, is repealed since that school year hasended and the section is no longer applicable. Conforming edits were alsomade to other sections of Part 80 consistent with the repeal of Section 80-3.6.Revised rule compared with proposed rule: Substantial revisions weremade in sections 80-6.3(b)(4), (5) and 100.2(dd)(3).

Text of revised proposed rule and any required statements and analysesmay be obtained from Kirti Goswami, NYS Education Department, Of-fice of Higher Education, 89 Washington Avenue, Room 112, Albany, NY12234, (518) 474-6400, email: [email protected]

Data, views or arguments may be submitted to: Petra Maxwell, NYSEducation Department, Office of Higher Education, 89 Washington Ave-nue, Room 975, Albany, NY 12234, (518) 486-3633, email:[email protected]


Revised Regulatory Impact StatementSince publication of a Notice of Proposed Rule Making in the State

Register on October 3, 2018, the following substantial revisions weremade to the proposed rule:

Section 100.2(dd)(3)(i)(a)(8) was amended to remove the followingsentence: The level of involvement of individuals selected to be part of theprofessional learning team shall be determined by the school district orBOCES.

Section 100.2(dd)(3)(i)(b) was amended to replace the words “wellrepresented” with a “majority” of teachers on the professional learningteam.

Sections 80-6.3(b)(4) and (5) are amended to increase the number ofhours of CTLE that can claimed for serving as a mentor teacher from 25 to30 hours for mentoring a first year teacher and from 15 to 25 hours formentoring a student teacher. These sections were also amended to theremove the restriction from claiming CTLE hours for mentoring a studentteacher in instances where the mentor teacher receives remuneration fromthe educator preparation program.

The above revisions to the proposed rule do not require any revisions tothe previously published Regulatory Impact Statement.

Revised Regulatory Flexibility AnalysisSince publication of a Notice of Proposed Rule Making in the State

Register on October 3, 2018, the proposed rule was revised as set forth inthe Statement Concerning the Regulatory Impact Statement submittedherewith.

The above revisions to the proposed rule do not require any revisions tothe previously published Regulatory Flexibility Analysis.

Revised Rural Area Flexibility AnalysisSince publication of a Notice of Proposed Rule Making in the State


The above revisions to the proposed rule do not require any revisions tothe previously published Rural Area Flexibility Analysis.

Revised Job Impact StatementSince publication of a Notice of Proposed Rule Making in the State


The revised proposed rule will not have a substantial impact on jobsand employment opportunities. Because it is evident from the nature ofthe revised proposed rule that it will not affect job and employment op-portunities, no affirmative steps were needed to ascertain that fact andnone were taken. Accordingly, a job impact statement is not required andone has not been prepared.

Assessment of Public CommentFollowing publication of the Notice of Proposed Rulemaking in the

State Register on October 3, 2018 through December 2, 2018, the Depart-ment received the following comments on the proposed amendment:

1. COMMENT: The proposed changes emphasize the importance ofproviding educational leaders with professional learning opportunities andare consistent with nationally recognized research calling for educators’active involvement in their continuous development. The changes alsocodify the recommendations of the Professional Learning Team.

DEPARTMENT RESPONSE: No changes necessary. The Departmentagrees with the commenter. The intention of the proposed amendments is,


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in part, to emphasize the importance of providing professional learning toeducational leaders and to ensure that the Department’s requirements arein line with research and best practice.

2. COMMENT: Several commenters expressed concern regarding thelimitations in the proposed amendments on the number of CTLE hoursthat can be claimed for serving as a mentor to a student teacher or a first-year teacher, noting that providing high quality mentoring opportunities isan important, time intensive activity that varies from one school district toanother. Thus, a State level cap should not be applied.

DEPARTMENT RESPONSE: The Department agrees that mentoringof student teachers and new teachers are important activities. When doneas part of a systems approach to support, mentoring and induction havebeen shown to improve retention and early career effectiveness ofeducators. In response to the concerns raised by commenters, the revisedproposed amendments increase the number of CTLE hours that teacherscan claim for serving as a mentor. While the Department recognizes thatthe number of CTLE hours that can be claimed for such activities is lessthan the number of hours many educators invest in mentoring their col-leagues, Education Law requires that the Department ensure that the CTLEactivities undertaken by teachers be sufficient to improve the teacher’spedagogical skills, targeted at improving student performance. Therefore,the cap within the proposed amendments is intended to ensure that thereare sufficient minimum CTLE hours remaining for educators serving asmentors to participate in additional activities that will develop theirpractice in service of improving outcomes for students. The Departmentdid not intend for this provision to be interpreted as an acceptable numberof hours to devote to mentoring.

3. COMMENT: Several commenters expressed concern regarding theproposed restriction on claiming CTLE hours for serving as a mentor to astudent teacher in instances where remuneration is provided by the teacherpreparation program, noting that such remuneration is typically nominal.

DEPARTMENT RESPONSE: The Department agrees with the com-ments and has removed this provision from the revised proposedamendments.

4. COMMENT: Two commenters expressed concern regarding therequirements for the composition of professional learning teams in theCity School District of the City of New York. Specifically, the comment-ers did not agree with the requirement that teachers be well represented onsuch teams and instead requested that such teams include a majority ofteachers.

DEPARTMENT RESPONSE: The Department agrees with thecomments. The revised regulations replace the requirements that teacherson professional learning teams in the City School District of New YorkCity be “well represented” and instead requires that the teams be composedof a majority of teachers.

5. COMMENT: Two commenters requested that the selection ofmembers to serve on professional learning teams in the City SchoolDistrict of the City of New York be done through collective bargaining.

DEPARTMENT RESPONSE: The proposed amendments did notchange the process for selecting the members serving on the professionallearning teams in the City of New York.

6. COMMENT: The ceding of authority to school districts or BOCESto control the level of involvement of individuals selected to be part of theprofessional learning team undermines the ability of all members to con-tribute to the work of the team as equals.

DEPARTMENT RESPONSE: The Department has revised the regula-tion to remove the provision requiring that school districts and BOCESdetermine the level of involvement of professional learning team members.

Department of Financial Services

EMERGENCY

RULE MAKING

Business Conduct of Mortgage Loan Servicers

I.D. No. DFS-05-19-00003-E

Filing No. 16




Action taken: Addition of Part 419 to Title 3 NYCRR.

Statutory authority: Banking Law, art. 12-DFinding of necessity for emergency rule: Preservation of general welfare.Specific reasons underlying the finding of necessity: The legislaturerequired the registration of mortgage loan servicers as part of the MortgageLending Reform Law of 2008 (Ch. 472, Laws of 2008, hereinafter, the“Mortgage Lending Reform Law”) to help address the existing foreclo-sure crisis in the state. By registering servicers and requiring that servicersengage in the business of mortgage loan servicing in compliance withrules and regulations adopted by the Superintendent, the legislatureintended to help ensure that servicers conduct their business in a mannerthat protects homeowners. Part 419 is intended to provide clear guidanceto mortgage loan servicers as to the procedures and standards they shouldfollow with respect to loan delinquencies. The rules impose a duty of fairdealing on loan servicers in their communications, transactions and otherdealings with borrowers. In addition, the rule sets standards with respectto the handling of loan delinquencies and loss mitigation. The rule furtherrequires specific reporting on the status of delinquent loans with theDepartment so that it has the information necessary to assess loanservicers’ performance.

In addition to addressing mortgage loan delinquencies and loss mitiga-tion, the rule addresses other areas of significant concern to homeowners,including the handling of borrower complaints and inquiries, the paymentof taxes and insurance, crediting of payments and handling of late pay-ments, payoff balances and servicer fees.

Fair and effective account management and loss mitigation practicesare necessary to protect borrowers in the home mortgage lending market.Accordingly, it is imperative that Part 419 of the Superintendent’s Regula-tions be promulgated on an emergency basis for the public’s generalwelfare.

Subject: Business conduct of mortgage loan servicers.

Purpose: To implement the purpose and provisions of the Mortgage Lend-ing Reform Law of 2008 with respect to mortgage loan servicers.

Substance of emergency rule (Full text is posted at the following Statewebsite: http://www.dfs.ny.gov/legal/regulations/emergency/banking/emergbanking.htm): Section 419.1 contains definitions of terms that areused in Part 419 and not otherwise defined in Part 418, including“Servicer”, “Qualified Written Request” and “Loan Modification”.

Section 419.2 establishes a duty of fair dealing for Servicers in connec-tion with their transactions with borrowers, which includes a duty topursue loss mitigation with the borrower as set forth in Section 419.11.

Section 419.3 requires compliance with other State and Federal laws re-lating to mortgage loan servicing, including Banking Law Article 12-D,RESPA, and the Truth-in-Lending Act.

Section 419.4 describes the requirements and procedures for handlingto consumer complaints and inquiries.

Section 419.5 describes the requirements for a servicer making pay-ments of taxes or insurance premiums for borrowers.

Section 419.6 describes requirements for crediting payments from bor-rowers and handling late payments.

Section 419.7 describes the requirements of an annual account state-ment which must be provided to borrowers in plain language showing theunpaid principal balance at the end of the preceding 12-month period, theinterest paid during that period and the amounts deposited into anddisbursed from escrow. The section also describes the Servicer’s obliga-tions with respect to providing a payment history when requested by theborrower or borrower’s representative.

Section 419.8 requires a late payment notice be sent to a borrower nolater than 17 days after the payment remains unpaid.

Section 419.9 describes the required provision of a payoff statementthat contains a clear, understandable and accurate statement of the totalamount that is required to pay off the mortgage loan as of a specified date.

Section 419.10 sets forth the requirements relating to fees permitted tobe collected by Servicers and also requires Servicers to maintain andupdate at least semi-annually a schedule of standard or common fees ontheir website.

Section 419.11 sets forth the Servicer’s obligations with respect tohandling of loan delinquencies and loss mitigation, including an obliga-tion to make reasonable and good faith efforts to pursue appropriate lossmitigation options, including loan modifications. This Section includesrequirements relating to procedures and protocols for handling loss miti-gation, providing borrowers with information regarding the Servicer’s lossmitigation process, decision-making and available counseling programsand resources.

Section 419.12 describes the quarterly reports that the Superintendentmay require Servicers to submit to the Superintendent, including informa-tion relating to the aggregate number of mortgages serviced by theServicer, the number of mortgages in default, information relating to lossmitigation activities, and information relating to mortgage modifications.

Section 419.13 describes the books and records that Servicers are


27

required to maintain as well as other reports the Superintendent mayrequire Servicers to file in order to determine whether the Servicer iscomplying with applicable laws and regulations. These include books andrecords regarding loan payments received, communications with borrow-ers, financial reports and audited financial statements.

Section 419.14 sets forth the activities prohibited by the regulation,including engaging in misrepresentations or material omissions and plac-ing insurance on a mortgage property without written notice when theServicer has reason to know the homeowner has an effective policy inplace.

This notice is intended to serve only as a notice of emergency adoption.This agency intends to adopt this emergency rule as a permanent rule andwill publish a notice of proposed rule making in the State Register at somefuture date. The emergency rule will expire April 10, 2019.

Text of rule and any required statements and analyses may be obtainedfrom: George Bogdan, Department of Financial Services, One State Street,New York, NY 10004-1417, (212) 480-4758, email:[email protected]

Regulatory Impact Statement1. Statutory Authority.Article 12-D of the Banking Law, as amended by the Legislature in the

Mortgage Lending Reform Law of 2008 (Ch. 472, Laws of 2008, herein-after, the “Mortgage Lending Reform Law”), creates a framework for theregulation of mortgage loan servicers. Mortgage loan servicers areindividuals or entities which engage in the business of servicing mortgageloans for residential real property located in New York. That legislationalso authorizes the adoption of regulations implementing its provisions.(See, e.g., Banking Law Sections 590(2) (b-1) and 595-b.)

Subsection (1) of Section 590 of the Banking Law was amended by theMortgage Lending Reform Law to add the definitions of “mortgage loanservicer” and “servicing mortgage loans”. (Section 590(1)(h) and Section590(1)(i).)

A new paragraph (b-1) was added to Subdivision (2) of Section 590 ofthe Banking Law. This new paragraph prohibits a person or entity fromengaging in the business of servicing mortgage loans without first beingregistered with the Superintendent. The registration requirements do notapply to an “exempt organization,” licensed mortgage banker or registeredmortgage broker.

This new paragraph also authorizes the Superintendent to refuse to reg-ister an MLS on the same grounds as he or she may refuse to register amortgage broker under Banking Law Section 592-a(2).

Subsection (3) of Section 590 was amended by the Subprime Law toclarify the power of the banking board to promulgate rules and regulationsand to extend the rulemaking authority regarding regulations for theprotection of consumers and regulations to define improper or fraudulentbusiness practices to cover mortgage loan servicers, as well as mortgagebankers, mortgage brokers and exempt organizations. The functions andpowers of the banking board have since been transferred to the Superin-tendent of Financial Services, pursuant to Part A of Chapter 62 of theLaws of 2011, Section 89.

New Paragraph (d) was added to Subsection (5) of Section 590 by theMortgage Lending Reform Law and requires mortgage loan servicers toengage in the servicing business in conformity with the Banking Law,such rules and regulations as may be promulgated by the Banking Boardor prescribed by the Superintendent, and all applicable federal laws, rulesand regulations.

New Subsection (1) of Section 595-b was added by the Mortgage Lend-ing Reform Law and requires the Superintendent to promulgate regula-tions and policies governing the grounds to impose a fine or penalty withrespect to the activities of a mortgage loan servicer. Also, the MortgageLending Reform Law amends the penalty provision of Subdivision (1) ofSection 598 to apply to mortgage loan servicers as well as to other entities.

New Subdivision (2) of Section 595-b was added by the MortgageLending Reform Law and authorizes the Superintendent to prescriberegulations relating to disclosure to borrowers of interest rate resets,requirements for providing payoff statements, and governing the timing ofcrediting of payments made by the borrower.

Section 596 was amended by the Mortgage Lending Reform Law toextend the Superintendent’s examination authority over licensees andregistrants to cover mortgage loan servicers. The provisions of BankingLaw Section 36(10) making examination reports confidential are alsoextended to cover mortgage loan servicers.

Similarly, the books and records requirements in Section 597 coveringlicensees, registrants and exempt organizations were amended by theMortgage Lending Reform Law to cover servicers and a provision wasadded authorizing the Superintendent to require that servicers file annualreports or other regular or special reports.

The power of the Superintendent to require regulated entities to appearand explain apparent violations of law and regulations was extended by

the Mortgage Lending Reform Law to cover mortgage loan servicers(Subdivision (1) of Section 39), as was the power to order the discontinu-ance of unauthorized or unsafe practices (Subdivision (2) of Section 39)and to order that accounts be kept in a prescribed manner (Subdivision (5)of Section 39).

Finally, mortgage loan servicers were added to the list of entities subjectto the Superintendent’s power to impose monetary penalties for violationsof a law, regulation or order. (Paragraph (a) of Subdivision (1) of Section44).

The fee amounts for mortgage loan servicer registration and branch ap-plications are established in accordance with Banking Law Section 18-a.

2. Legislative Objectives.The Mortgage Lending Reform Law was intended to address various

problems related to residential mortgage loans in this State. The lawreflects the view of the Legislature that consumers would be betterprotected by the supervision of mortgage loan servicing. Even thoughmortgage loan servicers perform a central function in the mortgageindustry, there had previously been no general regulation of servicers bythe state or the Federal government.

The Mortgage Lending Reform Law requires that entities be registeredwith the Superintendent in order to engage in the business of servicingmortgage loans in this state. The new law further requires mortgage loanservicers to engage in the business of servicing mortgage loans inconformity with the rules and regulations promulgated by the BankingBoard and the Superintendent.

The mortgage servicing statute has two main components: (i) the firstcomponent addresses the registration requirement for persons engaged inthe business of servicing mortgage loans; and (ii) the second authorizesthe Superintendent to promulgate appropriate rules and regulations for theregulation of servicers in this state.

Part 418 of the Superintendent’s Regulations, initially adopted on anemergency basis on July 1 2009, addresses the first component of themortgage servicing statute by setting standards and procedures for ap-plications for registration as a mortgage loan servicer, for approving anddenying applications to be registered as a mortgage loan servicer, for ap-proving changes of control, for suspending, terminating or revoking theregistration of a mortgage loan servicer as well as setting financialresponsibility standards for mortgage loan servicers.

Part 419 addresses the business practices of mortgage loan servicers inconnection with their servicing of residential mortgage loans. This part ad-dresses the obligations of mortgage loan servicers in their communica-tions, transactions and general dealings with borrowers, including thehandling of consumer complaints and inquiries, handling of escrow pay-ments, crediting of payments, charging of fees, loss mitigation proceduresand provision of payment histories and payoff statements. This part alsoimposes certain recordkeeping and reporting requirements in order to en-able the Superintendent to monitor services’ conduct and prohibits certainpractices such as engaging in deceptive business practices.

Collectively, the provisions of Part 418 and 419 implement the intent ofthe Legislature to register and supervise mortgage loan servicers.

3. Needs and Benefits.The Mortgage Lending Reform Law adopted a multifaceted approach

to the lack of supervision of the mortgage loan industry, particularly withrespect to servicing and foreclosure. It addressed a variety of areas in theresidential mortgage loan industry, including: i. loan originations; ii. loanforeclosures; and iii. the conduct of business by residential mortgage loansservicers.

Until July 1, 2009, when the mortgage loan servicer registration provi-sions first became effective, the Department regulated the brokering andmaking of mortgage loans, but not the servicing of these mortgage loans.Servicing is vital part of the residential mortgage loan industry; it involvesthe collection of mortgage payments from borrowers and remittance of thesame to owners of mortgage loans; to governmental agencies for taxes;and to insurance companies for insurance premiums. Mortgage servicersalso act as agents for owners of mortgages in negotiations relating to lossmitigation when a mortgage becomes delinquent. As “middlemen,” more-over, servicers also play an important role when a property is foreclosedupon. For example, the servicer may typically act on behalf of the ownerof the loan in the foreclosure proceeding.

Further, unlike in the case of a mortgage broker or a mortgage lender,borrowers cannot “shop around” for loan servicers, and generally have noinput in deciding what company services their loans. The absence of theability to select a servicer obviously raises concerns over the character andviability of these entities given the central part of they play in the mortgageindustry. There also is evidence that some servicers may have providedpoor customer service. Specific examples of these activities include:pyramiding late fees; misapplying escrow payments; imposing illegalprepayment penalties; not providing timely and clear information to bor-rowers; erroneously force-placing insurance when borrowers already haveinsurance; and failing to engage in prompt and appropriate loss mitigationefforts.


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More than 2,000,000 loans on residential one-to-four family propertiesare being serviced in New York. Of these over 9% were seriously delin-quent as of the first quarter of 2012. Despite various initiatives adopted atthe state level and the creation of federal programs such as Making HomeAffordable to encourage loan modifications and help at risk homeowners,the number of loans modified, have not kept pace with the number offoreclosures. Foreclosures impose costs not only on borrowers and lendersbut also on neighboring homeowners, cities and towns. They drive downhome prices, diminish tax revenues and have adverse social consequencesand costs.

As noted above, Part 418, initially adopted on an emergency basis onJuly 1 2009, relates to the first component of the mortgage servicing stat-ute – the registration of mortgage loan servicers. It was intended to ensurethat only those persons and entities with adequate financial support andsound character and general fitness will be permitted to register asmortgage loan servicers. It also provided for the suspension, revocationand termination of licensees involved in wrongdoing and establishes min-imum financial standards for mortgage loan servicers.

Part 419 addresses the business practices of mortgage loan servicersand establishes certain consumer protections for homeowners whose resi-dential mortgage loans are being serviced. These regulations provide stan-dards and procedures for servicers to follow in their course of dealingswith borrowers, including the handling of borrower complaints and inquir-ies, payment of taxes and insurance premiums, crediting of borrower pay-ments, provision of annual statements of the borrower’s account, autho-rized fees, late charges and handling of loan delinquencies and lossmitigation. Part 419 also identifies practices that are prohibited andimposes certain reporting and record-keeping requirements to enable theSuperintendent to determine the servicer’s compliance with applicablelaws, its financial condition and the status of its servicing portfolio.

Since the adoption of Part 418, 67 entities have been approved forregistration or have pending applications and nearly 400 entities haveindicated that they are a mortgage banker, broker, bank or other organiza-tion exempt from the registration requirements.

All Exempt Organizations, mortgage bankers and mortgage brokersthat perform mortgage loan servicing with respect to New York mortgagesmust notify the Superintendent that they do so, and are required to complywith the conduct of business and consumer protection rules applicable tomortgage loan servicers.

These regulations will improve accountability and the quality of servicein the mortgage loan industry and will help promote alternatives to fore-closure in the state.

4. Costs.The requirements of Part 419 do not impose any direct costs on

mortgage loan servicers. Although mortgage loan servicers may incursome additional costs as a result of complying with Part 419, the over-whelming majority of mortgage loan servicers are banks, operating sub-sidiaries or affiliates of banks, large independent servicers or otherfinancial services entities that service millions, and even billions, of dol-lars in loans and have the experience, resources and systems to complywith these requirements. Moreover, any additional costs are likely to bemitigated by the fact that many of the requirements of Part 419, includingthose relating to the handling of residential mortgage delinquencies andloss mitigation (419.11) and quarterly reporting (419.12), are consistentwith or substantially similar to standards found in other federal or statelaws, federal mortgage modification programs or servicers own protocols.

For example, Fannie Mae and Freddie Mac, which own or insure ap-proximately 90% of the nation’s securitized mortgage loans, have similarguidelines governing various aspects of mortgage servicing, includinghandling of loan delinquencies. In addition, over 100 mortgage loanservicers participate in the federal Making Home Affordable (MHA)program which requires adherence to standards for handling of loandelinquencies and loss mitigation similar to those contained in theseregulations. Those servicers not participating in MHA have, for the mostpart, adopted programs which parallel many components of MHA.

Reporting on loan delinquencies and loss mitigation has likewisebecome increasingly common. The OCC publish quarterly reports oncredit performance, loss mitigation efforts and foreclosures based on dataprovided by national banks and thrifts. And, states such as Maryland andNorth Carolina have adopted similar reporting requirements to thosecontained in section 419.12.

Many of the other requirements of Part 419 such as those related tohandling of taxes, insurance and escrow payments, collection of late feesand charges, crediting of payments derive from federal or state laws andreflect best industry practices. The periodic reporting and bookkeepingand recordkeeping requirements are also standard among financial ser-vices businesses, including mortgage bankers and brokers (see, forexample section 410 of the Superintendent’s Regulations).

The ability by the Department to regulate mortgage loan servicers isexpected to reduce costs associated with responding to consumers’

complaints, decrease unnecessary expenses borne by mortgagors, andshould assist in decreasing the number of foreclosures in this state.

The regulations will not result in any fiscal implications to the State.The Department is funded by the regulated financial services industry.Fees charged to the industry will be adjusted periodically to cover Depart-ment expenses incurred in carrying out this regulatory responsibility.

5. Local Government Mandates.None.6. Paperwork.Part 419 requires mortgage loan servicers to keep books and records re-

lated to its servicing for a period of three years and to produce quarterlyreports and financial statements as well as annual and other reportsrequested by the Superintendent. It is anticipated that the quarterly report-ing relating to mortgage loan servicing will be done electronically andwould therefore be virtually paperless. The other recordkeeping andreporting requirements are consistent with standards generally required ofmortgage bankers and brokers and other regulated financial servicesentities.

7. Duplication.The regulation does not duplicate, overlap or conflict with any other

regulations. The various federal laws that touch upon aspects of mortgageloan servicing are noted in Section 9 “Federal Standards” below.

8. Alternatives.The Mortgage Lending Reform Law required the registration of

mortgage loan servicers and empowered the Superintendent to prescriberules and regulations to guide the business of mortgage servicing. Thepurpose of the regulation is to carry out this statutory mandate to registermortgage loan servicers and regulate the manner in which they conductbusiness. The Department circulated a proposed draft of Part 419 andreceived comments from and met with industry and consumer groups. Thecurrent Part 419 reflects the input received. The alternative to these regula-tions is to do nothing or to wait for the newly created federal bureau ofconsumer protection to promulgate national rules, which could take years,may not happen at all or may not address all the practices covered by therule. Thus, neither of those alternatives would effectuate the intent of thelegislature to address the current foreclosure crisis, help at-risk homeown-ers vis-à-vis their loan servicers and ensure that mortgage loan servicersengage in fair and appropriate servicing practices.

9. Federal Standards.Currently, mortgage loan servicers are not required to be registered by

any federal agencies, and there are no comprehensive federal rules govern-ing mortgage loan servicing. Federal laws such as the Real Estate Settle-ment Procedures Act of 1974, 12 U.S.C. § 2601 et seq. and regulationsadopted thereunder, 24 C.F.R. Part 3500, and the Truth-in-Lending Act, 15U.S.C. section 1600 et seq. and Regulation Z adopted thereunder, 12C.F.R. section 226 et seq., govern some aspects of mortgage loan servic-ing, and there have been some recent amendments to those laws andregulations regarding mortgage loan servicing. For example, RegulationZ, 12 C.F.R. section 226.36(c), was recently amended to address the credit-ing of payments, imposition of late charges and the provision of payoffstatements. In addition, the recently enacted Dodd-Frank Wall StreetReform and Protection Act of 2010 (Dodd-Frank Act) establishes require-ments for the handling of escrow accounts, obtaining force-placed insur-ance, responding to borrower requests and providing information relatedto the owner of the loan. Additionally, the newly created Bureau ofConsumer Financial Protection established by the Dodd-Frank Act maysoon propose additional regulations for mortgage loan servicers.

10. Compliance Schedule.Similar emergency regulations first became effective on October 1,

2010.

Regulatory Flexibility Analysis1. Effect of Rule:The rule will not have any impact on local governments. The Mortgage

Lending Reform Law of 2008 (Ch. 472, Laws of 2008, hereinafter, the“Mortgage Lending Reform Law”) requires all mortgage loan servicers,whether registered or exempt from registration under the law, to servicemortgage loans in accordance with the rules and regulations promulgatedby the Banking Board or Superintendent. The functions and powers of theBanking Board have since been transferred to the Superintendent ofFinancial Services, pursuant to Part A of Chapter 62 of the Laws of 2011,Section 89. Of the 67 entities which have been approved for registration orhave pending applications and the nearly 400 entities which have indicatedthat they are exempt from the registration requirements, it is estimated thatvery few are small businesses.

2. Compliance Requirements:The provisions of the Mortgage Lending Reform Law relating to

mortgage loan servicers has two main components: it requires the registra-tion by the Department of servicers who are not a bank, mortgage banker,mortgage broker or other exempt organizations (the “MLS RegistrationRegulations”) , and it authorizes the Department to promulgate rules and


29

regulations that are necessary and appropriate for the protection ofconsumers, to define improper or fraudulent business practices, orotherwise appropriate for the effective administration of the provisions ofthe Mortgage Lending Reform Law relating to mortgage loan servicers(the “Mortgage Loan Servicer Business Conduct Regulations”).

The provisions of the Mortgage Lending Reform Law requiringregistration of mortgage loan servicers which are not mortgage bankers,mortgage brokers or exempt organizations became effective on July 1,2009. Part 418 of the Superintendent’s Regulations, initially adopted on anemergency basis on July 1 2009, sets for the standards and procedures forapplications for registration as a mortgage loan servicer, for approving anddenying applications to be registered as a mortgage loan servicer, for ap-proving changes of control, for suspending, terminating or revoking theregistration of a mortgage loan servicer as well as the financial responsibil-ity standards for mortgage loan servicers.

Part 419 implements the provisions of the Mortgage Lending ReformLaw by setting the standards by which mortgage loan servicers conductthe business of mortgage loan servicing. The rule sets the standards forhandling complaints, payments of taxes and insurance, crediting of bor-rower payments, late payments, account statements, delinquencies andloss mitigation, fees and recordkeeping.

3. Professional Services:None.4. Compliance Costs:The requirements of Part 419 do not impose any direct costs on

mortgage loan servicers. Although mortgage loan servicers may incursome additional costs as a result of complying with Part 419, the over-whelming majority of mortgage loan servicers are banks, operating sub-sidiaries or affiliates of banks, large independent servicers or otherfinancial services entities that service millions, and even billions, of dol-lars in loans and have the experience, resources and systems to complywith these requirements. Moreover, any additional costs are likely to bemitigated by the fact that many of the requirements of Part 419, includingthose relating to the handling of residential mortgage delinquencies andloss mitigation (419.11) and quarterly reporting (419.12), are consistentwith or substantially similar to standards found in other federal or statelaws, federal mortgage modification programs or servicers own protocols.

For example, Fannie Mae and Freddie Mac, which own or insure ap-proximately 90% of the nation’s securitized mortgage loans, have similarguidelines governing various aspects of mortgage servicing, includinghandling of loan delinquencies. In addition, over 100 mortgage loanservicers participate in the federal Making Home Affordable (MHA)program which requires adherence to standards for handling of loandelinquencies and loss mitigation similar to those contained in theseregulations. Those servicers not participating in MHA have, for the mostpart, adopted programs which parallel many components of MHA.

Reporting on loan delinquencies and loss mitigation has likewisebecome increasingly common. The OCC publishes quarterly reports oncredit performance, loss mitigation efforts and foreclosures based on dataprovided by national banks and thrifts. And, states such as Maryland andNorth Carolina have adopted similar reporting requirements to thosecontained in section 419.12.

Many of the other requirements of Part 419 such as those related tohandling of taxes, insurance and escrow payments, collection of late feesand charges, crediting of payments derive from federal or state laws andreflect best industry practices. The periodic reporting and bookkeepingand recordkeeping requirements are also standard among financial ser-vices businesses, including mortgage bankers and brokers (see, forexample section 410 of the Superintendent’s Regulations).

Compliance with the rule should improve the servicing of residentialmortgage loans in New York, including the handling of mortgage delin-quencies, help prevent unnecessary foreclosures and reduce consumercomplaints regarding the servicing of residential mortgage loans.

5. Economic and Technological Feasibility:For the reasons noted in Section 4 above, the rule should impose no

adverse economic or technological burden on mortgage loan servicers thatare small businesses.

6. Minimizing Adverse Impact:As noted in Section 1 above, most servicers are not small businesses.

Many of the requirements contained in the rule derive from federal or statelaws, existing servicer guidelines utilized by Fannie Mae and Freddie Macand best industry practices.

Moreover, the ability by the Department to regulate mortgage loanservicers is expected to reduce costs associated with responding toconsumers’ complaints, decrease unnecessary expenses borne by mortgag-ors, help borrowers at risk of foreclosure and decrease the number offoreclosures in this state.

7. Small Business and Local Government Participation:The Department distributed a draft of proposed Part 419 to industry

representatives, received industry comments on the proposed rule and met

with industry representatives in person. The Department likewise distrib-uted a draft of proposed Part 419 to consumer groups, received their com-ments on the proposed rule and met with consumer representatives todiscuss the proposed rule in person. The rule reflects the input receivedfrom both industry and consumer groups.Rural Area Flexibility Analysis

Types and Estimated Numbers of Rural Areas: Since the adoption of theMortgage Lending Reform Law of 2008 (Ch. 472, Laws of 2008, herein-after, the “Mortgage Lending Reform Law”), which required mortgageloan servicers to be registered with the Department unless exempted underthe law, 67 entities have pending applications or have been approved forregistration and nearly 400 entities have indicated that they are a mortgagebanker, broker, bank or other organization exempt from the registrationrequirements. Only one of the non-exempt entities applying for registra-tion is located in New York and operating in a rural area. Of the exemptorganizations, all of which are required to comply with the conduct ofbusiness contained in Part 419, approximately 400 are located in NewYork, including several in rural areas. However, the overwhelming major-ity of exempt organizations, regardless of where located, are banks orcredit unions that are already regulated and are thus familiar with comply-ing with the types of requirements contained in this regulation.

Reporting, Recordkeeping and Other Compliance Requirements; andProfessional Services: The provisions of the Mortgage Lending ReformLaw relating to mortgage loan servicers has two main components: itrequires the registration by the Department of servicers that are not a bank,mortgage banker, mortgage broker or other exempt organization (the“MLS Registration Regulations”) , and it authorizes the Department topromulgate rules and regulations that are necessary and appropriate for theprotection of consumers, to define improper or fraudulent business prac-tices, or otherwise appropriate for the effective administration of the pro-visions of the Mortgage Lending Reform Law relating to mortgage loanservicers (the “MLS Business Conduct Regulations”).

The provisions of the Mortgage Lending Reform Law of 2008 requiringregistration of mortgage loan servicers which are not mortgage bankers,mortgage brokers or exempt organizations became effective on July 1,2009. Part 418 of the Superintendent’s Regulations, initially adopted on anemergency basis on July 1, 2010, sets forth the standards and proceduresfor applications for registration as a mortgage loan servicer, for approvingand denying applications to be registered as a mortgage loan servicer, forapproving changes of control, for suspending, terminating or revoking theregistration of a mortgage loan servicer as well as the financial responsibil-ity standards for mortgage loan servicers.

Part 419 implements the provisions of the Mortgage Lending ReformLaw of 2008 by setting the standards by which mortgage loan servicersconduct the business of mortgage loan servicing. The rule sets the stan-dards for handling complaints, payments of taxes and insurance, creditingborrower payments, late payments, account statements, delinquencies andloss mitigation and fees. This part also imposes certain recordkeeping andreporting requirements in order to enable the Superintendent to monitorservices’ conduct and prohibits certain practices such as engaging indeceptive business practices.

Costs: The requirements of Part 419 do not impose any direct costs onmortgage loan servicers. The periodic reporting requirements of Part 419are consistent with those imposed on other regulated entities. In addition,many of the other requirements of Part 419, such as those related to thehandling of loan delinquencies, taxes, insurance and escrow payments,collection of late fees and charges and crediting of payments, derive fromfederal or state laws, current federal loan modification programs, servicingguidelines utilized by Fannie Mae and Freddie Mac or servicers’ ownprotocols. Although mortgage loan servicers may incur some additionalcosts as a result of complying with Part 419, the overwhelming majorityof mortgage loan servicers are banks, credit unions, operating subsidiariesor affiliates of banks, large independent servicers or other financial ser-vices entities that service millions, and even billions, of dollars in loansand have the experience, resources and systems to comply with theserequirements. Of the 67 entities that have been approved for registrationor that have pending applications, only one is located in a rural area ofNew York State. Of the few exempt organizations located in rural areas ofNew York, virtually all are banks or credit unions. Moreover, compliancewith the rule should improve the servicing of residential mortgage loans inNew York, including the handling of mortgage delinquencies, help preventunnecessary foreclosures and reduce consumer complaints regarding theservicing of residential mortgage loans.

Minimizing Adverse Impact: As noted in the “Costs” section above,while mortgage loan servicers may incur some higher costs as a result ofcomplying with the rules, the Department does not believe that the rulewill impose any meaningful adverse economic impact upon private orpublic entities in rural areas. In addition, it should be noted that Part 418,which establishes the application and financial requirements for mortgageloan servicers, authorizes the Superintendent to reduce or waive the


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otherwise applicable financial responsibility requirements in the case ofmortgage loans servicers that service not more than 12 mortgage loans ormore than $5,000,000 in aggregate mortgage loans in New York and whichdo not collect tax or insurance payments. The Superintendent is also au-thorized to reduce or waive the financial responsibility requirements inother cases for good cause. The Department believes that this willameliorate any burden on mortgage loan servicers operating in rural areas.

Rural Area Participation: The Department issued a draft of Part 419 inDecember 2009 and held meetings with and received comments fromindustry and consumer groups following the release of the draft rule. TheDepartment also maintains continuous contact with large segments of theservicing industry though its regulation of mortgage bankers and brokersand its work in the area of foreclosure prevention. The Departmentlikewise maintains close contact with a variety of consumer groupsthrough its community outreach programs and foreclosure mitigationprograms. The Department has utilized this knowledge base in drafting theregulation.

Job Impact StatementArticle 12-D of the Banking Law, as amended by the Mortgage Lend-

ing Reform Law (Ch. 472, Laws of 2008), requires persons and entitieswhich engage in the business of servicing mortgage loans after July 1,2009 to be registered with the Superintendent. Part 418 of the Superinte-ndent’s Regulations, initially adopted on an emergency basis on July 1,2009, sets forth the application, exemption and approval procedures forregistration as a mortgage loan servicer, as well as financial responsibilityrequirements for applicants, registrants and exempted persons.

Part 419 addresses the business practices of mortgage loan servicers inconnection with their servicing of residential mortgage loans. Thus, thispart addresses the obligations of mortgage loan servicers in their com-munications, transactions and general dealings with borrowers, includingthe handling of consumer complaints and inquiries, handling of escrowpayments, crediting of payments, charging of fees, loss mitigationprocedures and provision of payment histories and payoff statements. Thispart also imposes certain recordkeeping and reporting requirements in or-der to enable the Superintendent to monitor services’ conduct and prohibitscertain practices such as engaging in deceptive business practices.

Compliance with Part 419 is not expected to have a significant adverseeffect on jobs or employment activities within the mortgage loan servicingindustry. The vast majority of mortgage loan servicers are sophisticatedfinancial entities that service millions, if not billions, of dollars in loansand have the experience, resources and systems to comply with therequirements of the rule. Moreover, many of the requirements of the rulereflect derive from federal or state laws and reflect existing best industrypractices.

Department of Health

NOTICE OF ADOPTION

Inpatient Psychiatric Services

I.D. No. HLT-25-18-00008-A

Filing No. 17




Action taken: Amendment of section 86-1.39 of Title 10 NYCRR.

Statutory authority: Public Health Law, section 2807-c(4)(e-1)

Subject: Inpatient Psychiatric Services.

Purpose: To enhance reimbursement mechanisms for inpatient psychiatricservices.

Text of final rule: Paragraph (2) of subdivision (e) of Section 86-1.39 isamended as follows:

(2) a rural adjustment factor of 1.2309 will be applied to the operat-ing per diem for those hospitals designated as rural hospitals[;]. For datesof service beginning on or after July 1, 2014, rural designation shall applyto hospitals located in an upstate region, as defined in subdivision (o) ofthis section, with population densities of 225 persons or fewer per squaremile, based on the New York State 2010 Vital Statistics table of estimatedpopulation, land area, and population density;

Subdivision (e) of section 86-1.39 is amended by amending paragraphs(5) and (6) and by adding a new paragraph (7) to read as follows:

(5) the payment methodology shall include one co-morbidity factorper stay and if more than one co-morbidity is presented, the co-morbiditythat reflects the highest payment factor shall be used to adjust the per diemoperating component; [and]

(6) a variable payment factor will be applied to the operating perdiem for each day of the stay, with the factor for days 1 through 4established at 1.2, the factor for days 5 through 11 established at 1.0, thefactor for days 12 through 22 established at 0.96 and the factor for stayslonger than 22 days established at 0.92[.]; and

(7) for dates of service beginning on or after July 1, 2014, a tenpercent increase will be applied for hospitals located in an upstate region,as defined in subdivision (o) of this section.

Section 86-1.39 is amended by adding a new subdivision (o) to read asfollows:

(o) For purposes of this section, the downstate region of New York Stateshall consist of the counties of Bronx, New York, Kings, Queens, Richmond,Nassau, Suffolk, Westchester, Rockland, Orange, Putnam and Dutchess,and the upstate region of New York State shall consist of all other counties.

Final rule as compared with last published rule: Nonsubstantive changeswere made in section 86-1.39(e)(2), (5), (6) and (o).

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

Revised Regulatory Impact StatementStatutory Authority:The statutory authority for this regulation is contained in Section 2807-

c(4)(e-1) of the Public Health Law (PHL), which authorizes the Commis-sioner to promulgate regulations, including emergency regulations, withregard to Medicaid reimbursement rates for Hospital services. Such rateregulations are set forth in Subpart 86-1 of Title 10 (Health) of the OfficialCompilation of Codes, Rules, and Regulations of the State of New York(NYCRR).

Legislative Objectives:The legislative intent of PHL Article 28 is to provide for the protection

and promotion of the health of the inhabitants of the State of New York bydelivering high quality hospital inpatient psychiatric services in a safe andefficient manner at a reasonable cost.

Needs and Benefits:The Office of Mental Health has been in communication with providers

who have brought forth concerns of their inability to maintain financialstability by providing behavioral health services for their region. TheDepartment of Health, in collaboration with the Office of Mental Health,proposes this amendment in order to enhance the reimbursement mecha-nisms for inpatient psychiatric services. The proposed amendment willmodify which counties are designated as rural, which will increase thenumber of providers that qualify for additional reimbursement under therural designation. The proposed amendment will also provide a ten percentincrease to the statewide base price for facilities located in the upstateregion, as defined within the regulations.

This amendment will afford a cash infusion needed to sustain financialstability by the affected providers. Without these changes, providers wouldbe unable to maintain operation of their inpatient psychiatric units, therebyforcing closure of these units and causing undue hardship within the com-munities where these patients reside.

Costs:Costs to Private Regulated Parties:There will be no additional costs to private regulated parties.Costs to State Government:The change in reimbursement for rural designation and upstate facilities

will result in an increased payment. However, these expenditures werepreviously allocated with the enacted 2014 / 2015 budget and, therefore,the amendment imposes no additional cost to the State.

Costs of Local Government:Local districts’ share of Medicaid costs is statutorily capped; therefore,

there will be no additional costs to local governments as a result of thisproposed regulation.

Costs to the Department of Health:There will be no additional costs to the Department of Health as a result

of this proposed regulation.Local Government Mandates:The proposed regulation does not impose any new programs, services,

duties or responsibilities upon any county, city, town, village, schooldistrict, fire district or other special district.

Paperwork:No additional paperwork is required of providers.Duplication:This regulation does not duplicate any existing federal, state or local

government regulation.


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Alternatives:No significant alternatives are available.Federal Standards:The proposed regulation does not exceed any minimum standards of the

federal government for the same or similar subject areas.Compliance Schedule:This rule shall take effect immediately upon publication of a Notice of

Adoption in the State Register.

Revised Regulatory Flexibility Analysis, Rural Area Flexibility Analysisand Job Impact StatementChanges made to the last published rules do not necessitate revision to thepreviously published Regulatory Flexibility Analysis, Rural Area Flex-ibility Analysis and Job Impact Statement.

Initial Review of RuleAs a rule that does not require a RFA, RAFA or JIS, this rule will beinitially reviewed in the calendar year 2024, which is no later than the 5thyear after the year in which this rule is being adopted.


NOTICE OF ADOPTION

Statewide Planning and Research Cooperative System (SPARCS)

I.D. No. HLT-34-18-00006-A

Filing No. 18




Action taken: Amendment of section 400.18 of Title 10 NYCRR.

Statutory authority: Public Health Law, section 2816

Subject: Statewide Planning and Research Cooperative System(SPARCS).

Purpose: To revise the SPARCS regulation related to data intake.

Text or summary was published in the August 22, 2018 issue of the Reg-ister, I.D. No. HLT-34-18-00006-P.


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

Initial Review of RuleAs a rule that does not require a RFA, RAFA or JIS, this rule will beinitially reviewed in the calendar year 2024, which is no later than the 5thyear after the year in which this rule is being adopted.

Assessment of Public CommentThe Department received one comment during the public comment pe-

riod from the New York State Association of County Health Officials(“NYSACHO”).

Comment:The commenter requested amendments to the proposed regulation to

clarify the responsibility of local health departments that operate facilitieslicensed under Article 28 of the Public Health Law (PHL) to submit dataor report to SPARCS or an all-payer database.

Response:The proposed amendments to the SPARCS regulation are limited to: (1)

removing the requirement that facilities submit data through the HealthCommerce System; (2) removing references to the Patient Review Instru-ment; and (3) clarifying that input data dictionary elements are protectedby copyright law. The proposal does not impact any existing obligation toreport data to SPARCS. No changes were made to the regulation as a resultof this comment.



Midwifery Birth Center Services

I.D. No. HLT-05-19-00005-P


Proposed Action: Amendment of Parts 69, 400 and 405; addition of Part795 to Title 10 NYCRR.Statutory authority: Public Health Law, sections 2801 and 2803(11)Subject: Midwifery Birth Center Services.Purpose: To set the standards for all birth centers to follow the structure ofArticle 28 requirements.Substance of proposed rule (Full text is posted at the following Statewebsite:www.health.ny.gov/Laws & Regulations/Proposed Rulemaking):This regulation amends Title 10 of the New York Codes, Rules and Regula-tions to add a new Article 10 to the State Hospital Code and a new Part795 – Midwifery Birth Centers.

The new Part 795 defines midwifery birth center and sets standards forsuch birth centers aligned with national evidence-based standards. Part795 allows midwifery birth centers to demonstrate compliance with theseregulations by obtaining accreditation from an accrediting organizationapproved by the Department, in lieu of routine surveillance by theDepartment.

Part 795 requires a midwifery birth center to have a center director, whomay be a midwife. The center director may appoint a consulting physicianand must have collaborative relationships as required by the EducationLaw and this regulation.

Part 795 sets standards for staffing at midwifery birth centers andrequires at least two staff members with training and skills in resuscita-tion, one for the patient giving birth and one for the post-delivery neonate,to be present at every birth.

Part 795 requires midwifery birth centers to have quality assuranceprograms and plans for emergency care, including transfer when indicated.

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




Regulatory Impact StatementStatutory Authority:Chapter 397 of the Laws of 2016 amended the definition of hospital in

section 2801 of the Public Health Law to add midwifery birth centersunder the supervision of a midwife, and added a new subdivision 11 tosection 2801 to give the New York State Department of Health (the Depart-ment) specific authority to establish regulations relating to the establish-ment, construction, and operation of midwifery birth centers, in consulta-tion with representatives of midwives, midwifery birth centers, and generalhospitals providing obstetric services.

The 2016 law supplemented the authority of the Department and thePublic Health and Health Planning Council (PHHPC) under section 2803of the Public Health Law to regulate health care facilities, including birthcenters.

Legislative Objectives:Chapter 397 of the Laws of 2016 was intended to remove barriers that

restrict the establishment of freestanding birth centers led by licensedmidwives and to permit the Department to determine, with consultation,which Article 28 certificate-of-need requirements are appropriate and rea-sonable for the scope of services provided by midwifery birth centers.Education Law requirements governing the practice of midwifery willcontinue to apply to all midwives, regardless of the practice setting.

Needs and Benefits:There are currently only three freestanding birth centers in New York.

All of these are directed by physicians. This regulation -- which encour-ages the creation of midwife-led centers -- will foster the growth of birthcenters throughout New York.

Evidence shows that midwifery birth centers can offer high-quality,cost-effective maternity and neonatal care. Research indicates thatfreestanding birth centers operated by midwives tend to have lowcesarean-section rates, fewer labor inductions, and successful parent bond-ing and breastfeeding without prolonged separation. Midwife-led birthcenters promote wellness-based birth over technology and interventions.They consistently earn high patient satisfaction from women seeking awelcoming environment without restrictions on the presence of supportivestaff, friends, and family members. They can provide more cost-effectivematernity and neonatal care with outcomes that are comparable to births inother settings. Midwifery birth centers can play a vital part in serving theneeds of mothers and families in New York State.

This regulation implements Chapter 397 of the Laws of 2016 by creat-ing a new Part 795 authorizing midwifery birth centers. Under theseregulations, the midwifery birth center director may be a licensed midwife


32


or a physician, provided that they maintain documentation of collabora-tive relationships required under Section 6951 of the Education Law.

These regulations allow midwifery birth centers to meet national stan-dards set by a standards-setting agency selected by the Department in lieuof meeting some provisions of the State Hospital Code. This regulationalso allows accreditation of midwifery birth centers in lieu of surveillanceby the Department, although the Department retains the authority toinspect midwifery birth centers at its discretion. An accreditation agencycan ensure high quality of care consistent with Department regulationsand nationally recognized standards in a manner that is flexible andimposes less of a resource and cost burden on the Department.

A physician-led birth center that is a diagnostic and treatment centerand is regulated under 10 NYCRR Part 754 must have a transfer agree-ment with a perinatal hospital located within 20 minutes’ transport timefrom the birth center to the receiving hospital. Under this regulation, for amidwifery birth center, the surface travel time to reach a receivingperinatal hospital must be less than two hours under usual weather androad conditions. This will allow birth centers to be established in rural ar-eas that would otherwise not have access to this type of care.

This regulation requires that the medical record for each patient at amidwifery birth center must contain a record of informed consent, includ-ing shared decision making, for birth center services. Public Health Law§ 2805 d, which generally requires a patient’s informed consent whenreceiving health care services, is applicable to midwifery birth centers.

Costs:Costs to Private Regulated Parties:A provider seeking to establish a midwifery birth center would require

the approval of the Department as part of the Certificate of Need process.An application for a Certificate of Need for a midwifery birth center willbe subject to a fee, established by Public Health Law § 2801-a, of $2,000.An additional fee of 0.55% of the midwifery birth center’s total projectcost would be assessed upon approval of the Certificate of Need.

A provider opting to obtain accreditation, in accordance with theseproposed regulations, would also be subject to fees charged by the ac-creditation agency. According to a national accreditation organization formidwifery birth centers, the Commission on the Accreditation of BirthCenters, typical fee structures for birth centers are as follows: a new birthcenter would be charged an initial registration fee of 4,000 dollars and afollow-up visit fee, one year later of 3,300 dollars. After that, a 250 dollar-per-month fee is assessed during the lifetime of the accreditation. All ofthese costs are subject to change. Foundation grants may be available topotentially cover half of the costs for the initial and follow-up visit.

Costs to State and Local Governments:The Department does not anticipate that any birth centers will be oper-

ated by State or local government.Local ordinances would be enforced at midwifery birth centers in a

comparable manner to any other local businesses.Costs to the Department of Health:There will be no additional costs to the Department, as systems already

exist to approve and regulate birth centers and, as proposed, the servicesof the national standards setting body and accreditation would fulfill manyobligations typically fulfilled by the Department.

Local Government Mandates:The proposed regulations impose no new mandates on any county, city,

town or village government.Paperwork:To become a new birth center, including a midwifery birth center, an

applicant will need to follow certificate of need process as required byPublic Health Law Article 28. This regulation does not create new report-ing requirements.

Duplication:There are no duplicative or conflicting rules.Alternatives:One alternative would be for the State to not allow accreditation of birth

centers by a nationally recognized organization as evidence of compliancewith minimum operational and construction standards. However, thisalternative was rejected as inefficient and unnecessary.

Another alternative was to require midwifery birth centers to meet theexact same requirements as physician-led birth centers, other than allow-ing the center to be directed by a midwife. This alternative was rejected,because the Department believes that the Legislature intended and thepublic interest would best be served by the Department creating a regula-tory framework that facilitates the establishment of distinct midwiferybirth centers.

Federal Standards:The proposed regulation does not exceed any minimum standards of the

Federal government.Compliance Schedule:The proposed regulation will take effect upon a Notice of Adoption in

the New York State Register.

Regulatory Flexibility AnalysisEffect of Rule:The proposed regulations will apply to midwifery birth centers in New

York State. This proposal will not impact local governments or small busi-nesses unless they operate such facilities. Many of the midwifery birthcenters will be small businesses under the definition in the State Adminis-trative Procedure Act (SAPA). In such case, the flexibility afforded by theregulations is expected to minimize delays and any costs of compliance asdescribed below.

Compliance Requirements:Pursuant to this rule, midwifery birth centers that are small businesses

will be required to maintain appropriate documentation of professionalcredentialing and agreements between the birth center and other receivingmedical facilities.

These regulations utilize the approach of allowing accreditation insteadof traditional surveillance. This is intended to allow for oversight to beperformed by accrediting organizations with specific experience measur-ing standards of compliance for midwifery birth centers. Small businessesmay be required to enter into a contractual relationship with an accreditingorganization.

Professional Services:This proposal is not expected to require any additional use of profes-

sional services.Compliance Costs:A provider seeking to establish a midwifery birth center would require


A provider opting to obtain accreditation, in accordance with theseproposed regulations, would also be subject to fees charged by the ac-creditation agency. According to a national accreditation organization formidwifery birth centers, the Commission on the Accreditation of BirthCenters, typical fee structures for birth centers are as follows: a new birthcenter would be charged an initial registration fee of 4,000 dollars and afollow-up visit fee, one year later of 3,300 dollars. After that, a 250 dollar-per-month fee is assessed during the lifetime of the accreditation. All ofthese costs are subject to change and will vary by size of birth center.Foundation grants may be available to potentially cover half of the costsfor the initial and follow-up visit.

Economic and Technological Feasibility:This proposal is economically and technically feasible, as these regula-

tions would enable the establishment of midwifery birth centers and donot impose requirements on existing birth centers.

Minimizing Adverse Impact:No adverse impact is anticipated, as these regulations would enable the

establishment of midwifery birth centers and do not impose requirementson existing birth centers.

Small Business and Local Government Participation:The Department convened a 49-member expert panel to make recom-

mendations for the perinatal system in New York State, which includesfreestanding birth centers, Level 1 hospitals, Level II hospitals, Level IIIhospitals, and Regional Perinatal Centers (RPCs), as described in 10NYCRR Part 721. Regulated parties will also have an opportunity tosubmit comments during the notice and comment period.

Rural Area Flexibility AnalysisTypes and Estimated Numbers of Rural Areas:This rule applies uniformly throughout the state, including rural areas.

Rural areas are defined as counties with a population less than 200,000and counties with a population of 200,000 or greater that have towns withpopulation densities of 150 persons or fewer per square mile. The follow-ing 43 counties have a population of less than 200,000 based upon theUnited States Census estimated county populations for 2010 (http://quickfacts.census.gov).

Allegany County Greene County Schoharie County

Cattaraugus County Hamilton County Schuyler County

Cayuga County Herkimer County Seneca County

Chautauqua County Jefferson County St. Lawrence County

Chemung County Lewis County Steuben County

Chenango County Livingston County Sullivan County

Clinton County Madison County Tioga County

Columbia County Montgomery County Tompkins County

Cortland County Ontario County Ulster County

Delaware County Orleans County Warren County


33

Essex County Oswego County Washington County

Franklin County Otsego County Wayne County

Fulton County Putnam County Wyoming County

Genesee County Rensselaer County Yates County

Schenectady County

The following counties have a population of 200,000 or greater andtowns with population densities of 150 persons or fewer per square mile.Data is based upon the United States Census estimated county populationsfor 2010.

Albany County Monroe County Orange County

Broome County Niagara County Saratoga County

Dutchess County Oneida County Suffolk County

Erie County Onondaga County

There are no birth centers currently operating in rural areas.Reporting, Recordkeeping and Other Compliance Requirements; and

Professional Services:Pursuant to this rule, midwifery birth centers will be required to

maintain appropriate documentation of professional credentialing andagreements between the birth center and other receiving medical facilities.

These regulations utilize the approach of allowing accreditation insteadof traditional surveillance. This is intended to allow for oversight to beperformed by accrediting organizations with specific experience measur-ing standards of compliance for midwifery birth centers. Birth centersmay be required to enter into contractual relationships with these accredit-ing organizations.

Professional services such as midwifes and other health care practitio-ners will be needed to operate a midwifery birth center. It is alsoanticipated that staff will be needed to maintain the center and provide fora setting that is safe from biological or environmental hazards.

Costs:A provider seeking to establish a midwifery birth center would require


A provider opting to obtain accreditation, in accordance with theseproposed regulations, would also be subject to fees charged by the ac-creditation agency. According to a national accreditation organization formidwifery birth centers, the Commission on the Accreditation of BirthCenters, typical fee structures for birth centers are as follows: a new birthcenter would be charged an initial registration fee of 4,000 dollars and afollow-up visit fee, one year later of 3,300 dollars. After that, a 250 dollar-per-month fee is assessed during the lifetime of the accreditation. All ofthese costs are subject to change and will vary by size of birth center.Foundation grants may be available to potentially cover half of the costsfor the initial and follow-up visit. These costs would be the same in a ruralor non-rural area.

Minimizing Adverse Impact:It is intended that midwifery birth centers will meet some of the needs

of rural communities to provide birth services in the absence of a nearbyhospital. The Department has added a standard within this rule allowingfor midwifery birth centers to operate in any area of the state as long as thecenter is located within a two-hour road travel radius of a potential receiv-ing hospital. This provision was specifically designed to allow for the pos-sibility that a birth center could open in a rural community.

Allowing accreditation will minimize any adverse impact associatedwith the Department’s surveillance process and will help to allow thesecenters to operate in rural communities.

Rural Area Participation:The Department held meetings to seek input from practitioners in rural

settings. The Department conducted outreach with state and nationalprofessional associations of midwifery birth centers, as well as representa-tives of midwives, midwifery birth centers, and general hospitals. Thisincluded practitioners practicing and intending to practice in rural settings.The proposed regulation will have a 60-day public comment period.

Job Impact StatementA Job Impact Statement for these amendments is not being submittedbecause it is apparent from the nature and purposes of the amendmentsthat they will not have a substantial adverse impact on jobs and/or employ-ment opportunities.

REVISED RULE MAKING


Medicaid Reimbursement of Nursing Facility Reserved Bed Daysfor Hospitalizations

I.D. No. HLT-07-18-00002-RP

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

Proposed Action: Amendment of section 505.9 of Title 18 NYCRR; andamendment of section 86-2.40 of Title 10 NYCRR.

Statutory authority: Social Services Law, sections 363-a, 365-a(2); PublicHealth Law, sections 201 and 206

Subject: Medicaid Reimbursement of Nursing Facility Reserved Bed Daysfor Hospitalizations.

Purpose: To make changes relating to reserved bed payments made byMedicaid to nursing facilities.

Substance of revised rule (Full text is posted at the following Statewebsite: www.health.ny.gov/Laws&Regulations/Proposed-Rule-making): The proposed amendments would make changes to subdivision(d) of section 505.9 of 18 NYCRR and to subdivision (a) and paragraph(4) of subdivision (ac) of section 86-2.40 of 10 NYCRR, relating toreserved bed payments made by Medicaid to nursing facilities duringperiods when the facility is holding the bed of a patient while the patient ishospitalized or on leave of absence from the facility. The changes are nec-essary to conform Department regulations to recent amendments to PublicHealth Law (PHL) § 2808(25), which place limits on the availability ofMedicaid reserved bed payments to nursing facilities to reserve a bed forMedicaid recipients who are 21 years of age or older. The proposed amend-ments also clarify when reserve bed days should be included in themethodology utilized to calculate residential health care rates.

Section 505.9(d) of 18 NYCRR would be amended to provide thatreserved bed payments for recipients age 21 and over who are temporarilyhospitalized are only available with respect to recipients who are receivinghospice services in the facility.

Section 86-2.40(a) of 10 NYCRR would be amended to ensure thatreserve bed days are included in the rate methodology utilized for specialtyunits. Section 86-2.40(ac)(4) of 10 NYCRR would be amended, with re-spect to nursing facility patients who are 21 years of age or older, toprovide that Medicaid reserved bed day payments: (a) for patients who arehospitalized, will be made only for patients who are receiving hospice ser-vices within the facility, will be paid at 50 percent of the Medicaid rateotherwise payable to the facility with regard to such days of care, and willbe available for a total of 14 days in any 12-month period; and (b) forpatients who are on a leave of absence, will be paid at 95 percent of theMedicaid rate otherwise payable to the facility with regard to such days ofcare, and will be available for a total of 10 days in any 12-month period.

Revised rule compared with proposed rule: Substantial revisions weremade in sections 505.9(d)(1), (2), (6), (i), (7), 86-2.40(a) and (ac)(4).

Text of revised proposed rule and any required statements and analysesmay be obtained from Katherine Ceroalo, DOH, Bureau of ProgramCounsel, Reg. Affairs Unit, Room 2438, ESP Tower Building, Albany, NY12237, (518) 473-7488, email: [email protected]



Revised Regulatory Impact StatementStatutory Authority:Social Services Law (SSL) section 363-a and Public Health Law sec-

tion 201(1)(v) provide that the Department is the single State agencyresponsible for supervising the administration of the State’s medical assis-tance (“Medicaid”) program and for adopting such regulations, whichshall be consistent with law, and as may be necessary to implement theState’s Medicaid program. SSL section 365-a authorizes Medicaid cover-age for specified medical care, services and supplies, together with suchmedical care, services and supplies as authorized in the regulations of theDepartment.

Legislative Objectives:Chapter 57 of the Laws of 2017 amended Public Health Law (PHL)

§ 2808(25), which places limits on the availability of Medicaid paymentsto nursing facilities to reserve a bed for a Medicaid recipient 21 years ofage or older who is temporarily absent from the facility. Generally, theamendments eliminated reserved bed payments for recipients age 21 andover who are temporarily hospitalized. However, it was not the intent ofthe Legislature or the Department to affect the availability of reserved bed


34


payments for temporary hospitalizations with respect to recipients underage 21 or recipients receiving hospice services in the nursing facility.

Needs and Benefits:The proposed amendments are necessary to conform Department

regulations governing Medicaid’s reserved bed policy with the changesmade to PHL § 2808(25) by Chapter 57 of the Laws of 2017, and toprovide clarity with respect to the scope and intent of those statutoryrevisions.

The proposed amendments would make changes to paragraphs (1), (2),(6), and (7) of subdivision (d) of section 505.9 of 18 NYCRR. Paragraph(1), which sets forth the general rule regarding reserved bed payments,would be amended to provide that Medicaid will not pay to reserve a bedfor a recipient in a nursing facility who is 21 years of age or older andtemporarily hospitalized unless the recipient is receiving hospice servicesin the facility.

Paragraph (2) would be amended to provide that the department pays95 percent of the Medicaid rate otherwise payable to the facility for aleave of absence, and 50 percent of such rate for a temporary hospitaliza-tion for recipients who are receiving hospice services in the facility.

Paragraphs (6) would be amended to provide that, as a condition ofparticipating in the Medicaid program, nursing facilities must reserve bedsin accordance with the regulation.

Paragraph (7) would be amended to make minor clarifications.The proposed amendments would also make conforming changes to

subdivision (a) and paragraph (4) of subdivision (ac) of section 86-2.40 of10 NYCRR. These changes would clarify when reserve bed days shouldbe included in the methodology utilized to calculate residential health carerates and would set forth payment amounts for Medicaid recipients 21years of age or older.

A new subparagraph (v) would be added to provide that reserved bedday payments for Medicaid recipients 21 years of age or older in nursingfacilities who are hospitalized will be made: only with respect to patientswho are receiving hospice services within the facility; at 50 percent of theMedicaid rate otherwise payable to the facility with regard to such days ofcare; and for up to a combined aggregate of 14 days for any 12-monthperiod.

A new subparagraph (vi) would be added to provide that reserved bedday payments for Medicaid recipients 21 years of age or older in nursingfacilities during a leave of absence from the facility will be made: at 95percent of the Medicaid rate otherwise payable to the facility with regardto such days of care; and for up to a combined aggregate of 10 days forany 12-month period.

Costs:Costs to Regulated Parties:The elimination of reserved bed day payments for those aged 21 and

over in nursing facilities, and who are not receiving hospice services in thefacility, will impose varying costs to nursing facilities based on the vol-ume and length of reserved bed days within their facilities. For all nursingfacilities reporting reserved bed days, the aggregate impact is estimated tobe approximately $14M annually.

Costs to State Government:There will be no additional costs to state government as a result of the

proposed amendment.Costs to Local Government:There will be no additional costs to local government as a result of the

proposed amendment.Costs to the Department of Health:There will be no additional costs to the Department as a result of the

proposed amendment.Local Government Mandate:This amendment will not impose any program, service, duty, additional

costs, or responsibility on any county, city, town, village, school district,fire district, or other special district.

Paperwork:The proposed amendments would not increase paperwork requirements.Duplication:There are no duplicative or conflicting rules identified.Alternatives:The proposed amendments would conform the regulations to changes

made to Public Health Law (PHL) § 2808(25) and to the legislative intentunderlying such changes. Therefore no alternatives were considered.

Federal Standards:The regulatory amendment exceeds the minimum requirements set out

in 42 CFR 483.15 on patient admission, transfer, and discharge rights.This amendment exceeds those requirements due to the sensitive natureand complex needs of Medicaid beneficiaries within nursing facilities.Residents of nursing facilities are often elderly and/or severely disabled,present with two or more chronic conditions, or are afflicted with mental/cognitive impairments. When necessary hospitalizations occur, it is imper-ative the patients return to their place of residency in the same bed and thesame room.

Compliance Schedule:Regulated parties are expected to comply with the proposed regulations

when they become effective.Revised Regulatory Flexibility Analysis, Rural Area Flexibility Analysisand Job Impact StatementChanges made to the last published rule do not necessitate revisions to thepreviously published RFA, RAFA and JIS.

Assessment of Public CommentThe Department of Health received comments from various stakeholders,including representatives of skilled nursing facilities and nursing homes.Comments were received regarding the payments for patients, the costs toproviders, the leave of absence policy, the necessity of a State Plan Amend-ment, and statutory authority which allows the regulation. In response tocomments received, the Department has revised the rule to make it lessburdensome on regulated parties and to simplify the regulatoryrequirements. The Department is publishing the revised rulemaking foradditional public comment.

Office for People withDevelopmental Disabilities

NOTICE OF WITHDRAWAL

Telehealth

I.D. No. PDD-45-18-00001-W


Action taken: Notice of proposed rule making, I.D. No. PDD-45-18-00001-EP, has been withdrawn from consideration. The notice of proposedrule making was published in the State Register on November 7, 2018.

Subject: Telehealth.

Reason(s) for withdrawal of the proposed rule: Another EP was finallyadopted, thus, this EP is no longer necessary.

Public Service Commission



Transfer of Street Lighting Facilities

I.D. No. PSC-05-19-00009-P


Proposed Action: The Public Service Commission is considering a peti-tion filed by Orange and Rockland Utilities, Inc. for the transfer of certainstreet lighting facilities to the Town of Warwick.

Statutory authority: Public Service Law, sections 65, 66 and 70

Subject: Transfer of street lighting facilities.

Purpose: To consider whether the transfer of certain street lighting facili-ties is in the public interest.

Substance of proposed rule: The Public Service Commission is consider-ing a petition filed by Orange and Rockland Utilities, Inc. (Orange andRockland) on December 26, 2018, requesting authorization to transfer tothe Town of Warwick (Warwick) certain street lighting facilities locatedthroughout Warwick. The facilities consist of luminaries, lamps, mastarms, their associated wiring, electrical connections, and appurtenances.

Orange and Rockland requests the Commission’s approval of the trans-action pursuant to Public Service Law § 70, as the original cost of theproposed assets to be transferred was greater than $100,000. The proposedpurchase price is $89,957, plus any accrued taxes as set forth in the agree-ment attached to the petition. The Company proposes to defer 100 percentof the after-tax net proceeds on the sale, plus accrued interest at theCommission-approved Other Customer Provided Capital Rate, for thefuture benefit of Orange and Rockland’s electric customers. The transfer


35

will not impact the reliability, safety, operation, or maintenance of Orangeand Rockland’s electric distribution system.

The full text of the petition and the full record of the proceeding may bereviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, reject or modify, in wholeor in part, the action proposed and may resolve related matters.Text of proposed rule and any required statements and analyses may beobtained by filing a Document Request Form (F-96) located on ourwebsite http://www.dps.ny.gov/f96dir.htm. For questions, contact: JohnPitucci, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 486-2655, email: [email protected], views or arguments may be submitted to: Kathleen H. Burgess,Secretary, Public Service Commission, 3 Empire State Plaza, Albany, NewYork 12223-1350, (518) 474-6530, email: [email protected] comment will be received until: 60 days after publication of thisnotice.Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-E-0787SP1)



Waiver of Certain Rules, E.G.5-Year Buildout and 7-DayInstallation Requirements Pertaining to Cable TelevisionFranchise

I.D. No. PSC-05-19-00010-P


Proposed Action: The Commission is considering a petition for certainwaivers filed by Frontier Communications of New York, Inc. in connec-tion with a cable television franchise for the Town of Wallkill in OrangeCounty.


Subject: Waiver of certain rules, e.g. 5-year buildout and 7-day installa-tion requirements pertaining to cable television franchise.

Purpose: To determine whether to waive any rules and regulations.

Substance of proposed rule: The Commission is considering a petitionfiled on November 26, 2018 by Frontier Communications of New York,Inc. (Frontier) for approval of its certificate of confirmation (certificate)for a cable television franchise with the Town of Wallkill, Orange County.

The certificate, if approved, will enable Frontier to offer advancedbroadband services and provide a competitive wireline cable alternative tothe monopoly wireline cable provider to some residents of the Town. Inaddition to facilitating cable competition in certain areas, the proposedfranchise agreement would promote broadband deployment at speeds upto 100MBps and potentially lead to additional network build-outopportunities.

In connection with the proposed cable television franchise, Frontierrequested waivers and/or partial waivers of certain cable franchise require-ments found in 1) 16 NYCRR § 895.5(b)(1) and 895.5(c), which requiresa five-year build-out of the primary service area; and 2) 16 NYCRR§ 895.5(b)(3) and 890(b)(1), which establishes a seven-business day in-stallation interval for providing service to certain dwellings.

Frontier submits that the requested waivers are necessary for a newentrant to the market, like Frontier, to compete against well-entrenchedcable providers that have existing customer bases and substantially highermarket capitalizations than Frontier. Frontier states that the proposed waiv-ers mitigate the risks and challenges associated with competing with anincumbent service provider with a 100% market share.

The full text of the petition and the full record of the proceeding may bereviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, reject, or modify, in wholeor in part, the action proposed and may resolve related matters.

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

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


Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-V-0725SP1)



Notice of Intent to Submeter Electricity

I.D. No. PSC-05-19-00011-P


Proposed Action: The Commission is considering the notice of intent ofW2005/Hines West Fifty-Third Realty, LLC to submeter electricity at 53West 53rd Street, 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: Notice of intent to submeter electricity.

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

Substance of proposed rule: The Commission is considering the notice ofintent filed by W2005/Hines West Fifty-Third Realty, LLC on December17, 2018, to submeter electricity at 53 West 53rd Street, New York, NewYork, located in the service territory of Consolidated Edison Company ofNew York, Inc. (Con Edison).

By stating its intent to submeter electricity, W2005/Hines West Fifty-Third Realty, LLC requests authorization to take electric service from ConEdison and then distribute and meter that electricity to its residents.Submetering of electricity to residential residents is allowed so long as itcomplies with the protections and requirements of the Commission’sregulations in 16 NYCRR Part 96.

The full text of the notice of intent and the full record of the proceedingmay be reviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, reject or modify, in wholeor in part, the action proposed and may resolve related matters.




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-E-0769SP1)



Waiver of Certain Rules, E.G. 5-Year Buildout and 7-DayInstallation Requirements Pertaining to Cable TelevisionFranchise

I.D. No. PSC-05-19-00012-P


Proposed Action: The Commission is considering a petition for certainwaivers filed by Frontier Communications of New York, Inc. in connec-tion with a cable television franchise for the Village of Washingtonville inOrange County.



36




Subject: Waiver of certain rules, e.g. 5-year buildout and 7-day installa-tion requirements pertaining to cable television franchise.Purpose: To determine whether to waive any rules and regulations.Substance of proposed rule: The Commission is considering a petitionfiled on November 19, 2018 by Frontier Communications of New York,Inc. (Frontier) for approval of its certificate of confirmation (certificate)for a cable television franchise with the Village of Washingtonville,Orange County.

The certificate, if approved, will enable Frontier to offer advancedbroadband services and provide a competitive wireline cable alternative tothe monopoly wireline cable provider to some residents of the Village. Inaddition to facilitating cable competition in certain areas, the proposedfranchise agreement would promote broadband deployment at speeds upto 100MBps and potentially lead to additional network build-outopportunities.

In connection with the proposed cable television franchise, Frontierrequested waivers and/or partial waivers of certain cable franchise require-ments found in 1) 16 NYCRR §§ 895.5(b)(1) and 895.5(c), which requiresa five-year build-out of the primary service area; and 2) 16 NYCRR§ 895.5(b)(3) and 890(b)(1), which establishes a seven-business day in-stallation interval for providing service to certain dwellings.

Frontier submits that the requested waivers are necessary for a newentrant to the market, like Frontier, to compete against well-entrenchedcable providers that have existing customer bases and substantially highermarket capitalizations than Frontier. Frontier further submits that therequested waivers mitigate the risks and challenges associated withcompeting with an incumbent service provider with a 100% market share.

The full text of the petition and the full record of the proceeding may bereviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, reject, or modify, in wholeor in part, the action proposed and may resolve related matters.




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-V-0719SP1)



Issuance of Long-Term Debt Securities

I.D. No. PSC-05-19-00013-P


Proposed Action: The Commission is considering a petition filed byConsolidated Edison Company of New York, Inc. requesting permissionto issue and sell new unsecured debt obligations.

Statutory authority: Public Service Law, section 69

Subject: Issuance of long-term debt securities.

Purpose: To provide funding to reimburse the Company’s treasury formoneys expended for capital purposes.

Substance of proposed rule: The Public Service Commission is consider-ing a petition filed by Consolidated Edison Company of New York, Inc.(the Company) on January 8, 2019, seeking approval to issue and sellunsecured debt obligations having a maturity of more than one year.

The requested approval would permit the Company to (i) issue and sellnot to exceed $5.6 billion aggregate principal amount of unsecured debtobligations of the Company having a maturity of more than one year; (ii)enter into or continue one or more revolving credit agreements and issueand sell not to exceed $2.25 billion aggregate principal amount at any timeoutstanding of unsecured debt obligations having a maturity of more thanone year pursuant to such agreement(s); and (iii) issue and sell not toexceed $2.5 billion of unsecured debt obligations having a maturity of

more than one year. The Company will use the proceeds to reimburse itstreasury for moneys expended for capital purposes through December 31,2022.

The full text of the petition and the full record of the proceeding may bereviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, modify, or reject, in wholeor in part, the action proposed and may resolve related matters.




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(19-M-0012SP1)



Transfer of Natural Gas Pipeline and Request for Lightened andIncidental Regulation

I.D. No. PSC-05-19-00014-P


Proposed Action: The Commission is considering a petition for a proposalto transfer a 2.1 mile long natural gas supply line from Selkirk CogenPartners, L.P. to SABIC Innovative Plastics U.S., L.L.C. and request forlightened and incidental regulation.

Statutory authority: Public Service Law, sections 2(10)-(13), (21), (22),5(1)(b), 66(13), 70 and 79-83

Subject: Transfer of natural gas pipeline and request for lightened andincidental regulation.

Purpose: To grant lightened and incidental regulation to SABIC Innova-tive Plastics, LLC and approve the transfer of a gas pipeline.

Substance of proposed rule: The Public Service Commission is consider-ing a petition filed by Selkirk Cogen Partners, L.P. (Selkirk) and SABICInnovative Plastics, L.L.C. (SABIC) (collectively, the Petitioners) onDecember 14, 2018 regarding an approximately 2.1-mile natural gaspipeline used for the sole purpose of delivering natural gas to a combined-cycle cogeneration facility and auxiliary boilers (the Facility) owned andoperated by Selkirk.

Petitioners request a declaratory ruling that Public Service Commission(Commission) approval under Public Service Law (PSL) Section 70 is notrequired for Selkirk to transfer ownership of the pipeline to SABIC or,alternatively, approval of the transfer. Petitioners also request an orderauthorizing SABIC to own and operate the pipeline subject to the samelightened and incidental ratemaking regulatory regime that currently is ap-plied to Selkirk. Finally, Petitioners explain that Selkirk holds a Certificateof Environmental Compatibility and Public Need (Certificate) governingthe ownership and operation of the pipeline and request an order authoriz-ing Selkirk to transfer the Certificate to SABIC.

The full text of the petition and the full record of the proceeding may bereviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, modify, or reject, in wholeor in part, the action proposed and may resolve related matters.





37




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-G-0771SP1)



Transfer of Street Lighting Facilities to the City of Cortland

I.D. No. PSC-05-19-00015-P


Proposed Action: The Public Service Commission is considering a peti-tion filed by Niagara Mohawk Power Corporation d/b/a National Grid forthe transfer of its street lighting facilities located in the City of Cortland tothe City of Cortland.Statutory authority: Public Service Law, section 70(1)Subject: Transfer of street lighting facilities to the City of Cortland.Purpose: To determine whether to transfer street lighting facilities locatedin the City of Cortland.Substance of proposed rule: The Public Service Commission (Commis-sion) is considering a petition filed on December 21, 2018 by NiagaraMohawk Power Corporation, d/b/a National Grid (National Grid), request-ing approval to transfer certain street lighting facilities located in the Cityof Cortland, New York (City) to the City.

Based on plant records, National Grid states that the original book costof the facilities is approximately $1,575,239, and the net book value, is$1,023,435, as of October 31, 2018. National Grid proposes to transfer thestreet lighting facilities to the City for approximately $1,109,923, which isbased on plant records as of June 30, 2018. National Grid explains that theagreement between it and the City provides that the purchase price will beadjusted (up or down) to the actual net book value at closing.

The full text of the petition and the full record of the proceeding may beviewed online at the Department of Public Service web page:www.dps.ny.gov. The Commission may adopt, reject, or modify, in wholeor in part, the action proposed and may resolve related matters.




Regulatory Impact Statement, Regulatory Flexibility Analysis, RuralArea Flexibility Analysis and Job Impact StatementStatements and analyses are not submitted with this notice because theproposed rule is within the definition contained in section 102(2)(a)(ii) ofthe State Administrative Procedure Act.(18-E-0783SP1)

Office of Temporary andDisability Assistance

NOTICE OF ADOPTION

Standard Utility Allowances (SUAs) for the SupplementalNutrition Assistance Program (SNAP)

I.D. No. TDA-41-18-00002-A

Filing No. 15




Action taken: Amendment of section 387.12(f)(3)(v)(a)-(b) of Title 18NYCRR.

Statutory authority: Social Services Law, sections 17(a)-(b), (j), 20(3)(d),95; 7 United States Code, section 2014(e)(6)(C); 7 Code of FederalRegulations, section 273.9(d)(6)(iii)

Subject: Standard Utility Allowances (SUAs) for the Supplemental Nutri-tion Assistance Program (SNAP).

Purpose: These regulatory amendments set forth the federally-approvedSUAs as of 10/1/18.

Text or summary was published in the October 10, 2018 issue of the Reg-ister, I.D. No. TDA-41-18-00002-EP.


Text of rule and any required statements and analyses may be obtainedfrom: Richard P. Rhodes, Jr., Office of Temporary and Disability Assis-tance, 40 North Pearl Street, 16-C, Albany, NY 12243-0001, (518) 486-7503, email: [email protected]




38


HEARINGS SCHEDULED

FOR PROPOSED RULE MAKINGS

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

Environmental Conservation, Department of

ENV-02-19-00007-EP. . . . . . . . . . . . . . . . . . . . . . . Low emission vehicle greenhouse gas stan-dards

Department of Environmental Conservation,625 Broadway, Public Assembly Rm. 129 A/B,Albany, NY—March 11, 2019, 1:00 p.m.

Liquor Authority, State

LQR-02-19-00006-P . . . . . . . . . . . . . . . . . . . . . . . . Delinquent (C.O.D.) list procedures 317 Lenox Ave., New York, NY—April 17,2019, 10:00 a.m.


39

ACTION PENDING

INDEX

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

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

Agencycode

Issuenumber

Yearpublished

Serialnumber

ActionCode

AAM 01 12 00001 P

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

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

AGING, OFFICE FOR THE

AGE-44-18-00005-P . . . . . . . . . . . 10/31/19 Nutrition Program The purpose of this rule is to update theregulations governing the Nutrition Program

AGRICULTURE AND MARKETS, DEPARTMENT OF

AAM-40-18-00021-EP . . . . . . . . . . . 01/14/20 Shell Eggs; Acidified Foods To continue regulatory powers in connectionwith acidified foods and shell eggs used infoods for human consumption

AAM-43-18-00002-P . . . . . . . . . . . 10/24/19 Certification of Industrial Hemp Seed To establish standards for certification ofindustrial hemp seed

AAM-49-18-00001-P . . . . . . . . . . . 12/05/19 Licensing of malt operators and processors To exempt malt operators and processorsproducing under a certain volume fromlicensing requirements and fees

ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, OFFICE OF

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

Repeals existing gambling regulation; replaceswith substantially updated provisions

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

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

ASA-51-18-00019-P . . . . . . . . . . . 12/19/19 General provisions Update provisions consistent with treatmentdevelopments; definitions; technical genderlanguage

ASA-51-18-00020-P . . . . . . . . . . . 12/19/19 Substance Use Disorder Withdrawal andStabilization Services

Update provisions consistent with treatmentdevelopments; definitions; technical genderlanguage

ASA-51-18-00021-P . . . . . . . . . . . 12/19/19 Substance Use Disorder ResidentialRehabilitation Services for Youth


NYS Register/January 30, 2019 Action Pending Index

41

ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, OFFICE OF

ASA-51-18-00022-P . . . . . . . . . . . 12/19/19 Substance Use Disorder InpatientRehabilitation


ASA-51-18-00023-P . . . . . . . . . . . 12/19/19 Patient Rights Update provisions consistent with treatmentdevelopments; definitions; technical genderlanguage

ASA-51-18-00024-P . . . . . . . . . . . 12/19/19 General Service Standards for SubstanceUse Disorder Outpatient Programs


AUDIT AND CONTROL, DEPARTMENT OF

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

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

AAC-50-18-00001-P . . . . . . . . . . . 12/12/19 Reporting of Miscellaneous Abandonedproperty

To update and clarify requirements relating tothe reporting of miscellaneous abandonedproperty

CHILDREN AND FAMILY SERVICES, OFFICE OF

CFS-51-18-00010-P . . . . . . . . . . . 12/19/19 Residential and non-residential services tovictims of domestic violence

To conform the existing regulations to complywith state and federal laws regarding servicesto victims of domestic violence

CIVIL SERVICE, DEPARTMENT OF

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

CVS-12-18-00025-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To classify positions in the exempt class

CVS-12-18-00030-P . . . . . . . . . . . 03/21/19 Jurisdictional Classification To classify a position in the exempt class


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

CVS-33-18-00007-P . . . . . . . . . . . 08/15/19 Jurisdictional Classification To classify a position in the non-competitiveclass

CVS-33-18-00013-P . . . . . . . . . . . 08/15/19 Jurisdictional Classification To classify a subheading and a position in thenon-competitive class



CVS-46-18-00007-P . . . . . . . . . . . 11/14/19 Jurisdictional Classification To classify positions in the non-competitiveclass


NYS Register/January 30, 2019Action Pending Index


42

CIVIL SERVICE, DEPARTMENT OF


CVS-46-18-00010-P . . . . . . . . . . . 11/14/19 Jurisdictional Classification To delete positions from and classify positionsin the non-competitive class

CVS-46-18-00011-P . . . . . . . . . . . 11/14/19 Jurisdictional Classification To classify positions in the exempt and non-competitive classes




CVS-51-18-00004-P . . . . . . . . . . . 12/19/19 Jurisdictional Classification To delete positions from and classify positionsin the exempt class





CVS-51-18-00009-P . . . . . . . . . . . 12/19/19 Jurisdictional Classification To delete a position from and classify positionsin the non-competitive class

CVS-02-19-00001-P . . . . . . . . . . . 01/09/20 Jurisdictional Classification To delete a position from and classify aposition in the exempt class

CVS-02-19-00002-P . . . . . . . . . . . 01/09/20 Jurisdictional Classification To delete positions from and classify positionsin the labor class




CORRECTION, STATE COMMISSION OF

CMC-05-19-00004-P . . . . . . . . . . . 01/30/20 Inmate confinement and deprivation Require local correctional facilities to record,review and report inmate cell confinement andessential service deprivation

CORRECTIONS AND COMMUNITY SUPERVISION, DEPARTMENT OF

CCS-05-19-00006-P . . . . . . . . . . . 01/30/20 Standard Conditions of Release ParoleRevocation Dispositions

Establish standard conditions of release andprovide a workable structure for applyingappropriate parole revocation penalties



43

CRIMINAL JUSTICE SERVICES, DIVISION OF

CJS-32-18-00005-P . . . . . . . . . . . 08/08/19 Case Record Management Update existing Rule to reflect services whichwill be performed by Probation departments asa result of Raise the Age law.

CJS-32-18-00006-P . . . . . . . . . . . 08/08/19 Investigations and Reports Update existing Rule to reflect services whichwill be performed by Probation departments asa result of Raise the Age law.

CJS-32-18-00007-P . . . . . . . . . . . 08/08/19 Probation Supervision Update existing Rule to reflect services whichwill be performed by Probation departments asa result of Raise the Age law.

CJS-32-18-00008-P . . . . . . . . . . . 08/08/19 Graduated Sanctions and Violations ofProbation, retitled to: Graduated Responses

Update existing Rule to reflect services whichwill be performed by Probation departments asa result of Raise the Age law.

CJS-32-18-00009-P . . . . . . . . . . . 08/08/19 Preliminary Procedure for Article 3 JD Intake,retitled to: Probation Services for Article 3Juvenile Delinquency(JD)


CJS-32-18-00010-P . . . . . . . . . . . 08/08/19 New Rule 359: Role of Probation in YouthPart of Superior Court


EDUCATION DEPARTMENT

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

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

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

EDU-40-18-00009-P . . . . . . . . . . . 10/03/19 Students with Disabilities To conform the Commissioner’s regulations toChapters 422, 428 and 429 of the Laws of2017

EDU-40-18-00010-RP . . . . . . . . . . . 10/03/19 Professional development plans and otherrelated requirements for school districts andBOCES

To improve the quality of teaching and learningfor teachers and leaders for professionalgrowth

EDU-44-18-00006-P . . . . . . . . . . . 10/31/19 Limited extensions and program requirementsfor certain career and technical educationteachers

Creation of an extension for holders of theCareer and Technical Education Certificate toTeach Grades 5 and 6

EDU-44-18-00007-P . . . . . . . . . . . 10/31/19 Alternative pathways for certificate for certainteachers who hold Students with Disabilitiescertificate

Establishes limited extensions and statementsof continued eligibility pathways for teacherswho hold certain teaching certificates forStudents with Disabilities in grades 7-12

EDU-47-18-00010-EP . . . . . . . . . . . 11/21/19 English Language Learner Grade SpanWaiver Requirement

To provide a one-year renewable waiver toexpand the allowable grade span for ENL andBE classes to three contiguous grades

EDU-52-18-00004-P . . . . . . . . . . . 12/26/19 Student teaching requirements for teachercertification and the registration of teacherpreparation programs.

To revise the student teaching requirements forteacher certification and the registration ofteacher preparation programs.

EDU-52-18-00005-P . . . . . . . . . . . 12/26/19 Annual professional performance reviews. To extend the transition period for an additionalyear (until 2019-2020).



44

EDUCATION DEPARTMENT

EDU-05-19-00007-P . . . . . . . . . . . 01/30/20 Transitional H Pathway for School DistrictBusiness Leader Certifications

To Expand the Type of Eligible Experiences forthe Transitional H Pathway for School DistrictBusiness Leader Certification

EDU-05-19-00008-P . . . . . . . . . . . 01/30/20 Protecting Personally Identifiable Information To implement the provisions of Education Lawsection 2-d

EDU-05-19-00016-EP . . . . . . . . . . . 01/30/20 The administration of certain vaccines bypharmacy interns.

To implement the provisions of Chapter 359 ofthe Laws of 2018.

EDU-05-19-00017-EP . . . . . . . . . . . 01/30/20 Assessments and Student Official Transcriptsand Permanent Records

To continue the effectiveness of Part AA,Subpart B of Ch.56 L.2014 as amended bySection 35 of Part CCC of Ch. 56 L.2018

ENVIRONMENTAL CONSERVATION, DEPARTMENT OF

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

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

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

To establish CO2 emissions standards forexisting major electric generating facilities

ENV-48-18-00002-P . . . . . . . . . . . 11/28/19 Jonah crab management To implement required management measuresof the Atlantic States Marine FisheriesCommission Jonah Crab Fishery ManagementPlan

ENV-49-18-00002-P . . . . . . . . . . . 12/05/19 Northern Catskill Riparian Areas To correct a mistake in the description of theKaaterskill Falls Riparian Area

ENV-02-19-00007-EP . . . . . . . . . . . 03/10/20 Low emission vehicle greenhouse gasstandards

Clarification of the deemed to comply provision

FINANCIAL SERVICES, DEPARTMENT OF

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

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

DFS-23-18-00001-P . . . . . . . . . . . 06/06/19 Minimum Standards for Form, Content, andSale of Health Insurance, Including Standardsfor Full and Fair Disclosure

To require coverage for maternal screening andreferrals

DFS-25-18-00006-P . . . . . . . . . . . . exempt Plan of Conversion by Medical Liabilty MutualInsurance Company

To convert a mutual property and casualtyinsurance company to a stock property andcasualty insurance company

DFS-26-18-00002-EP . . . . . . . . . . . 06/27/19 Charges for Professional Health Services To delay the effective date of the Workers’Compensation fee schedule increases for no-fault reimbursement

DFS-30-18-00007-P . . . . . . . . . . . 07/25/19 Minimum Standards for Form, Content, andSale of Health Insurance, Including Standardsfor Full and Fair Disclosure

To clarify requirements regarding coverage anddisclosure of information for contraceptives

DFS-36-18-00003-P . . . . . . . . . . . 09/05/19 Professional Bail Agents; Managing GeneralAgents; et al

To provide greater protection to consumers,and raise the standards of integrity in the bailbusiness.



45

FINANCIAL SERVICES, DEPARTMENT OF

DFS-46-18-00014-P . . . . . . . . . . . 11/14/19 Regulations Implementing the ComprehensiveMotor Vehicle Insurance Reparations Act-Claims for Personal Injury Protection Benefit

To give insurer option to void assignment ofbenefits when insurer issues denial for EIP’sfailure to attend IME or EUO

DFS-52-18-00001-EP . . . . . . . . . . . 12/26/19 Principle-Based Reserving To allow principal-based reserving for certainindividual and group life insurance policies andannuity contracts.

DFS-02-19-00008-P . . . . . . . . . . . 01/09/20 Paid Family Leave Risk Adjustment Fund Establishment of the Paid Family Leave RiskAdjustment Fund

GAMING COMMISSION, NEW YORK STATE

SGC-09-18-00005-RP . . . . . . . . . . . 05/29/19 The licensing and registration of gamingfacility employees and vendors

To govern the licensing and registration ofgaming facility employees and vendors

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

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

SGC-38-18-00003-RP . . . . . . . . . . . 09/19/19 Casino fees and payments. Implementation of rules governing proceduresfor submission of fees and payments bygaming facilities to the Gaming Commission.

SGC-39-18-00003-P . . . . . . . . . . . 09/26/19 Heads Up Hold ‘Em poker. To set forth the practices and procedures forthe operation of Heads Up Hold ‘Em poker asa casino table game.

SGC-40-18-00006-P . . . . . . . . . . . 10/03/19 Amendment of multiple medication violation(MMV) penalty enhancement rule.

To enable the Commission to enhance theintegrity and safety of thoroughbred pari-mutuelracing.

SGC-42-18-00015-P . . . . . . . . . . . 10/17/19 Permit greater purse-to-price ratio inThoroughbred claiming races

To advance the best interests of Thoroughbredracing and protect the safety of the race horses

SGC-47-18-00009-P . . . . . . . . . . . 11/21/19 Self-exclusion and casino advertising To centralize Commission self-exclusionpolicies and make self-exclusion universalthroughout the various forms of gaming

SGC-01-19-00002-P . . . . . . . . . . . 01/02/20 Treatment of thoroughbred horses withultrasound or electro/medical equipmentbefore a race

To enhance the safety and integrity of pari-mutuel racing

SGC-01-19-00017-P . . . . . . . . . . . 01/02/20 Safety helmet and vest requirements To enhance the safety and integrity of pari-mutuel racing

SGC-01-19-00018-P . . . . . . . . . . . 01/02/20 Standards for backstretch housing and relatedfacilities

To create minimum standards for housing andrelated facilities offered to backstretch workersby racing associations

GENERAL SERVICES, OFFICE OF

GNS-46-18-00001-P . . . . . . . . . . . 11/14/19 Service-Disabled Veteran-Owned BusinessEnterprises

To establish standards, procedures and criteriawith respect to the Service-Disabled Veteran-Owned Business Enterprise program

HEALTH, DEPARTMENT OF

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

To expand the current payment to incorporatepricing for services



46

HEALTH, DEPARTMENT OF

HLT-07-18-00002-RP . . . . . . . . . . . 05/15/19 Medicaid Reimbursement of Nursing FacilityReserved Bed Days for Hospitalizations

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

HLT-30-18-00008-P . . . . . . . . . . . 07/25/19 Voluntary Foster Care Agency Health FacilityLicensure

To license Voluntary Foster Care Agencies toprovide limited health-related services

HLT-31-18-00004-P . . . . . . . . . . . 08/01/19 Newborn Screening for Phenylketonuria andOther Diseases

To support timely collection and submission ofspecimens for the detection of diseases innewborn infants in New York State

HLT-31-18-00005-EP . . . . . . . . . . . 08/01/19 Medical Use of Marihuana To add additional serious conditions for whichpatients may be certified to use medicalmarihuana

HLT-34-18-00007-P . . . . . . . . . . . 08/22/19 New York State Medicaid Infertility Treatment To authorize Medicaid coverage of infertilitybenefits.

HLT-37-18-00008-P . . . . . . . . . . . 09/12/19 Update Standards for Adult Homes andStandards for Enriched Housing Programs

To prohibit residential providers from excludingan applicant based solely on the individual’sstatus as a wheelchair user.

HLT-42-18-00006-P . . . . . . . . . . . 10/17/19 Durable Medical Equipment; Medical/SurgicalSupplies; Orthotic and Prosthetic Appliances;Orthopedic Footwear

To amend the Department’s regulationgoverning Medicaid coverage of orthopedicfootwear and compression and supportstockings

HLT-42-18-00007-P . . . . . . . . . . . 10/17/19 Stroke Services NYS criteria for stroke ctr. designation as partof an accrediting process for cert. by nationallyrecognized accredit. agencies

HLT-42-18-00008-P . . . . . . . . . . . 10/17/19 Office-Based Surgery Practice Reports Requires accredited Office-Based Surgerypractices to submit adverse event & practiceinformation which includes procedural data

HLT-47-18-00002-P . . . . . . . . . . . 11/21/19 Food Service Establishments To restrict the use of liquid Nitrogen and DryIce in food preparation

HLT-51-18-00001-P . . . . . . . . . . . 12/19/19 HIV Uninsured Care Programs To amend the HIV Uninsured Care Programsto align program eligibility elements with otherhealth care access programs

HLT-51-18-00015-P . . . . . . . . . . . 12/19/19 Hospital Policies for Human TraffickingVictims

To establish policies and procedures for theidentification, assessment, treatment, andreferral of human trafficking victims

HLT-51-18-00016-P . . . . . . . . . . . 12/19/19 Nursing Home Weekly Bed Census Survey To require nursing homes to electronicallysubmit weekly bed census data to the DOHthrough the Health Commerce System

HLT-51-18-00017-P . . . . . . . . . . . 12/19/19 Clinical Laboratory Directors Recognize additional accrediting boards forqualification of clinical laboratory directors toobtain a cert. of qualification

HLT-51-18-00018-P . . . . . . . . . . . 12/19/19 New requirements for Annual Registration ofLicensed Home Care Services Agencies

To amend the regulations for licensed homecare services agencies for the annualregistration requirements of the agency

HLT-05-19-00005-P . . . . . . . . . . . 01/30/20 Midwifery Birth Center Services To set the standards for all birth centers tofollow the structure of Article 28 requirements



47

LABOR, DEPARTMENT OF

*LAB-47-17-00011-RP . . . . . . . . . . . 02/20/19 Employee Scheduling (Call-In Pay) To strengthen existing call-in pay protectionsinvolving employee scheduling

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

LAW, DEPARTMENT OF

LAW-41-18-00021-P . . . . . . . . . . . 10/10/19 Arbitration program regulations for defectivefarm equipment

To set forth the procedures for the operation ofan alternative arbitration mechanism fordefective farm equipment disputes

LIQUOR AUTHORITY, STATE

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

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

LQR-02-19-00006-P . . . . . . . . . . . 04/16/20 Delinquent (C.O.D.) list procedures To modernize outdated delinquent (C.O.D.) listprocedures and provide for electronicnotification for same

LONG ISLAND POWER AUTHORITY

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

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

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

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

LPA-15-18-00013-P . . . . . . . . . . . . exempt Outdoor area lighting To add an option and pricing for efficient LEDlamps to the Authority’s outdoor area lighting

LPA-33-18-00018-P . . . . . . . . . . . . exempt The net energy metering and relatedprovisions of the Authority’s Tariff for ElectricService.

To conform the Tariff to orders issued in theValue of Distributed Energy Resourcesproceeding of the New York DPS.

LPA-37-18-00013-P . . . . . . . . . . . . exempt The net energy metering provisions of theAuthority’s Tariff for Electric Service

To implement PSC guidance increasingeligibility for value stack compensation to largerprojects

LPA-37-18-00017-P . . . . . . . . . . . . exempt The treatment of electric vehicle charging inthe Authority’s Tariff for Electric Service.

To effectuate the outcome of the Public ServiceCommission’s proceeding on electric vehiclesupply equipment.

LPA-37-18-00018-P . . . . . . . . . . . . exempt The treatment of energy storage in theAuthority’s Tariff for Electric Service.

To effectuate the outcome of the Public ServiceCommission’s proceeding on the NY EnergyStorage Roadmap.

MENTAL HEALTH, OFFICE OF

OMH-43-18-00001-P . . . . . . . . . . . 10/24/19 Operation of Crisis Residences in New YorkState

To revise and update the categories of CrisisResidences to match what is currentlyoperation in New York



48

MENTAL HEALTH, OFFICE OF

OMH-04-19-00002-P . . . . . . . . . . . 01/23/20 Expansion of Telemental Health(Telepsychiatry) services to additional OMHlicensed settings and programs

To implement Public Health Law section2999-dd and address current shortages inpsychiatrists and nurse practitioners in psych.

NIAGARA FALLS WATER BOARD

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

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

NFW-01-19-00019-EP . . . . . . . . . . . . exempt Adoption of Rates, Fees, and Charges To pay for increased costs necessary tooperate, maintain, and manage the system,and to meet covenants with the bondholders

NIAGARA FRONTIER TRANSPORTATION AUTHORITY

NFT-01-19-00001-P . . . . . . . . . . . 01/02/20 Procurement Guidelines of the NiagaraFrontier Transportation Authority and NiagaraFrontier Transit Metro System, Inc.

To amend Procurement Guidelines to reflectchanges in law, clarifying provisions andchange in signing authority level

OGDENSBURG BRIDGE AND PORT AUTHORITY

OBA-33-18-00019-P . . . . . . . . . . . . exempt Increase in Bridge Toll Structure To increase bridge toll revenue in order tobecome financially self-supporting. Our bridgeoperations are resulting in deficit.

PARKS, RECREATION AND HISTORIC PRESERVATION, OFFICE OF

PKR-48-18-00006-P . . . . . . . . . . . 11/28/19 The regulation of pets in OPRHP facilities To adopt one statewide pet regulation thatreplaces regional regulations that areinconsistent with each other

PEOPLE WITH DEVELOPMENTAL DISABILITIES, OFFICE FOR

PDD-07-18-00001-ERP . . . . . . . . . . . 02/14/19 Enrollment in Medicare Prescription DrugPlans and Fully Integrated Duals AdvantagePlans for IDD

To allow individuals to be enrolled in a FIDA-IDD plan when individuals are unable to enrollthemselves

POWER AUTHORITY OF THE STATE OF NEW YORK

*PAS-01-10-00010-P . . . . . . . . . . . . exempt Rates for the sale of power and energy Update ECSB Programs customers’ servicetariffs to streamline them/include additionalrequired information

PAS-42-18-00005-P . . . . . . . . . . . . exempt Rates for the Sale of Power and Energy To align rates and costs

PUBLIC SERVICE COMMISSION

*PSC-09-99-00012-P . . . . . . . . . . . . exempt Transfer of books and records by CitizensUtilities Company

To relocate Ogden Telephone Company’sbooks and records out-of-state



49


*PSC-15-99-00011-P . . . . . . . . . . . . exempt Electronic tariff by Woodcliff Park Corp. To replace the company’s current tariff with anelectronic tariff

*PSC-12-00-00001-P . . . . . . . . . . . . exempt Winter bundled sales service election date byCentral Hudson Gas & Electric Corporation

To revise the date

*PSC-44-01-00005-P . . . . . . . . . . . . exempt Annual reconciliation of gas costs by CorningNatural Gas Corporation

To authorize the company to include certaingas costs

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

*PSC-36-03-00010-P . . . . . . . . . . . . exempt Performance assurance plan by Verizon NewYork

To consider changes

*PSC-40-03-00015-P . . . . . . . . . . . . exempt Receipt of payment of bills by St. LawrenceGas Company

To revise the process

*PSC-41-03-00010-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries

To consider filings of various LDCs andmunicipalities

*PSC-41-03-00011-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries

To consider filings of various LDCs andmunicipalities

*PSC-44-03-00009-P . . . . . . . . . . . . exempt Retail access data between jurisdictionalutilities

To accommodate changes in retail accessmarket structure or commission mandates

*PSC-02-04-00008-P . . . . . . . . . . . . exempt Delivery rates for Con Edison’s customers inNew York City and Westchester County bythe City of New York

To rehear the Nov. 25, 2003 order

*PSC-06-04-00009-P . . . . . . . . . . . . exempt Transfer of ownership interest by SCS EnergyLLC and AE Investors LLC

To transfer interest in Steinway Creek ElectricGenerating Company LLC to AE Investors LLC

*PSC-10-04-00005-P . . . . . . . . . . . . exempt Temporary protective order To consider adopting a protective order

*PSC-10-04-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and VIC-RMTS-DC, L.L.C.d/b/a Verizon Avenue

To amend the agreement

*PSC-14-04-00008-P . . . . . . . . . . . . exempt Submetering of natural gas service toindustrial and commercial customers byHamburg Fairgrounds

To submeter gas service to commercialcustomers located at the Buffalo Speedway

*PSC-15-04-00022-P . . . . . . . . . . . . exempt Submetering of electricity by Glenn GardensAssociates, L.P.

To permit submetering at 175 W. 87th St., NewYork, NY

*PSC-21-04-00013-P . . . . . . . . . . . . exempt Verizon performance assurance plan byMetropolitan Telecommunications

To clarify the appropriate performance level

*PSC-22-04-00010-P . . . . . . . . . . . . exempt Approval of new types of electricity meters byPowell Power Electric Company

To permit the use of the PE-1250 electronicmeter

*PSC-22-04-00013-P . . . . . . . . . . . . exempt Major gas rate increase by ConsolidatedEdison Company of New York, Inc.

To increase annual gas revenues

*PSC-22-04-00016-P . . . . . . . . . . . . exempt Master metering of water by South LibertyCorporation

To waive the requirement for installation ofseparate water meters



50


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


*PSC-27-04-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and various Verizon wirelessaffiliates


*PSC-27-04-00009-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and various Verizon wirelessaffiliates


*PSC-28-04-00006-P . . . . . . . . . . . . exempt Approval of loans by Dunkirk & FredoniaTelephone Company and CassadagaTelephone Corporation

To authorize participation in the parentcorporation’s line of credit

*PSC-31-04-00023-P . . . . . . . . . . . . exempt Distributed generation service byConsolidated Edison Company of New York,Inc.

To provide an application form

*PSC-34-04-00031-P . . . . . . . . . . . . exempt Flat rate residential service by Emerald GreenLake Louise Marie Water Company, Inc.

To set appropriate level of permanent rates

*PSC-35-04-00017-P . . . . . . . . . . . . exempt Application form for distributed generation byOrange and Rockland Utilities, Inc.

To establish a new supplementary applicationform for customers

*PSC-43-04-00016-P . . . . . . . . . . . . exempt Accounts recievable by Rochester Gas andElectric Corporation

To include in its tariff provisions for thepurchase of ESCO accounts recievable

*PSC-46-04-00012-P . . . . . . . . . . . . exempt Service application form by ConsolidatedEdison Company of New York, Inc.

To revise the form and make housekeepingchanges

*PSC-46-04-00013-P . . . . . . . . . . . . exempt Rules and guidelines governing installation ofmetering equipment

To establish uniform statewide businesspractices

*PSC-02-05-00006-P . . . . . . . . . . . . exempt Violation of the July 22, 2004 order byDutchess Estates Water Company, Inc.

To consider imposing remedial actions againstthe company and its owners, officers anddirectors

*PSC-09-05-00009-P . . . . . . . . . . . . exempt Submetering of natural gas service by Hamleton Olde Oyster Bay

To consider submetering of natural gas to acommercial customer

*PSC-14-05-00006-P . . . . . . . . . . . . exempt Request for deferred accounting authorizationby Freeport Electric Inc.

To defer expenses beyond the end of the fiscalyear

*PSC-18-05-00009-P . . . . . . . . . . . . exempt Marketer Assignment Program byConsolidated Edison Company of New York,Inc.

To implement the program

*PSC-20-05-00028-P . . . . . . . . . . . . exempt Delivery point aggregation fee by AlliedFrozen Storage, Inc.

To review the calculation of the fee

*PSC-25-05-00011-P . . . . . . . . . . . . exempt Metering, balancing and cashout provisionsby Central Hudson Gas & Electric Corporation

To establish provisions for gas customerstaking service under Service Classification Nos.8, 9 and 11

*PSC-27-05-00018-P . . . . . . . . . . . . exempt Annual reconciliation of gas costs by NewYork State Electric & Gas Corporation

To consider the manner in which the gas costincentive mechanism has been applied



51


*PSC-41-05-00013-P . . . . . . . . . . . . exempt Annual reconciliation of gas expenses andgas cost recoveries by local distributioncompanies and municipalities

To consider the filings

*PSC-45-05-00011-P . . . . . . . . . . . . exempt Treatment of lost and unaccounted gas costsby Corning Natural Gas Corporation

To defer certain costs

*PSC-46-05-00015-P . . . . . . . . . . . . exempt Sale of real and personal property by theBrooklyn Union Gas Company d/b/a KeySpanEnergy Delivery New York and Steel Arrow,LLC

To consider the sale

*PSC-47-05-00009-P . . . . . . . . . . . . exempt Transferral of gas supplies by Corning NaturalGas Corporation

To approve the transfer

*PSC-50-05-00008-P . . . . . . . . . . . . exempt Long-term debt by Saratoga Glen HollowWater Supply Corp.

To obtain long-term debt

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

To approve of the transfer

*PSC-06-06-00015-P . . . . . . . . . . . . exempt Gas curtailment policies and procedures To examine the manner and extent to whichgas curtailment policies and procedures shouldbe modified and/or established

*PSC-07-06-00009-P . . . . . . . . . . . . exempt Modification of the current EnvironmentalDisclosure Program

To include an attributes accounting system

*PSC-22-06-00019-P . . . . . . . . . . . . exempt Hourly pricing by National Grid To assess the impacts

*PSC-22-06-00020-P . . . . . . . . . . . . exempt Hourly pricing by New York State Electric &Gas Corporation

To assess the impacts

*PSC-22-06-00021-P . . . . . . . . . . . . exempt Hourly pricing by Rochester Gas & ElectricCorporation


*PSC-22-06-00022-P . . . . . . . . . . . . exempt Hourly pricing by Consolidated EdisonCompany of New York, Inc.


*PSC-22-06-00023-P . . . . . . . . . . . . exempt Hourly pricing by Orange and RocklandUtilities, Inc.


*PSC-24-06-00005-EP . . . . . . . . . . . . exempt Supplemental home energy assistancebenefits

To extend the deadline to Central Hudson’slow-income customers

*PSC-25-06-00017-P . . . . . . . . . . . . exempt Purchased power adjustment by MassenaElectric Department

To revise the method of calculating thepurchased power adjustment and update thefactor of adjustment

*PSC-34-06-00009-P . . . . . . . . . . . . exempt Inter-carrier telephone service qualitystandards and metrics by the Carrier WorkingGroup

To incorporate appropriate modifications

*PSC-37-06-00015-P . . . . . . . . . . . . exempt Procedures for estimation of customer bills byRochester Gas and Electric Corporation

To consider estimation procedures

*PSC-37-06-00017-P . . . . . . . . . . . . exempt Procedures for estimation of customer bills byRochester Gas and Electric Corporation

To consider estimation procedures



52


*PSC-43-06-00014-P . . . . . . . . . . . . exempt Electric delivery services by Strategic PowerManagement, Inc.

To determine the proper mechanism for therate-recovery of costs

*PSC-04-07-00012-P . . . . . . . . . . . . exempt Petition for rehearing by Orange andRockland Utilities, Inc.

To clarify the order

*PSC-06-07-00015-P . . . . . . . . . . . . exempt Meter reading and billing practices by CentralHudson Gas & Electric Corporation

To continue current meter reading and billingpractices for electric service

*PSC-06-07-00020-P . . . . . . . . . . . . exempt Meter reading and billing practices by CentralHudson Gas & Electric Corporation

To continue current meter reading and billingpractices for gas service

*PSC-11-07-00010-P . . . . . . . . . . . . exempt Investigation of the electric power outages bythe Consolidated Edison Company of NewYork, Inc.

To implement the recommendations in thestaff’s investigation

*PSC-11-07-00011-P . . . . . . . . . . . . exempt Storm-related power outages by ConsolidatedEdison Company of New York, Inc.

To modify the company’s response to poweroutages, the timing for any such changes andother related matters

*PSC-17-07-00008-P . . . . . . . . . . . . exempt Interconnection agreement between VerizonNew York Inc. and BridgeCom International,Inc.


*PSC-18-07-00010-P . . . . . . . . . . . . exempt Existing electric generating stations byIndependent Power Producers of New York,Inc.

To repower and upgrade existing electricgenerating stations owned by Rochester Gasand Electric Corporation

*PSC-20-07-00016-P . . . . . . . . . . . . exempt Tariff revisions and making rates permanentby New York State Electric & Gas Corporation

To seek rehearing

*PSC-21-07-00007-P . . . . . . . . . . . . exempt Natural Gas Supply and Acquisition Plan byCorning Natural Gas Corporation

To revise the rates, charges, rules andregulations for gas service

*PSC-22-07-00015-P . . . . . . . . . . . . exempt Demand Side Management Program byConsolidated Edison Company of New York,Inc.

To recover incremental program costs and lostrevenue

*PSC-23-07-00022-P . . . . . . . . . . . . exempt Supplier, transportation, balancing andaggregation service by National Fuel GasDistribution Corporation

To explicitly state in the company’s tariff thatthe threshold level of elective upstreamtransmission capacity is a maximum of 112,600Dth/day of marketer-provided upstreamcapacity

*PSC-24-07-00012-P . . . . . . . . . . . . exempt Gas Efficiency Program by the City of NewYork

To consider rehearing a decision establishing aGas Efficiency Program

*PSC-39-07-00017-P . . . . . . . . . . . . exempt Gas bill issuance charge by New York StateElectric & Gas Corporation

To create a gas bill issuance charge unbundledfrom delivery rates

*PSC-41-07-00009-P . . . . . . . . . . . . exempt Submetering of electricity rehearing To seek reversal

*PSC-42-07-00012-P . . . . . . . . . . . . exempt Energy efficiency program by Orange andRockland Utilities, Inc.

To consider any energy efficiency program forOrange and Rockland Utilities, Inc.’s electricservice

*PSC-42-07-00013-P . . . . . . . . . . . . exempt Revenue decoupling by Orange and RocklandUtilities, Inc.

To consider a revenue decoupling mechanismfor Orange and Rockland Utilities, Inc.

*PSC-45-07-00005-P . . . . . . . . . . . . exempt Customer incentive programs by Orange andRockland Utilities, Inc.

To establish a tariff provision



53


*PSC-02-08-00006-P . . . . . . . . . . . . exempt Additional central office codes in the 315 areacode region

To consider options for making additionalcodes

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

*PSC-04-08-00010-P . . . . . . . . . . . . exempt Granting of easement rights on utility propertyby Central Hudson Gas & Electric Corporation

To grant easement rights to Millennium PipelineCompany, L.L.C.

*PSC-04-08-00012-P . . . . . . . . . . . . exempt Marketing practices of energy servicecompanies by the Consumer Protection Boardand New York City Department of ConsumerAffairs

To consider modifying the commission’sregulation over marketing practices of energyservice companies

*PSC-08-08-00016-P . . . . . . . . . . . . exempt Transfer of ownership by Entergy NuclearFitzpatrick LLC, et al.

To consider the transfer

*PSC-12-08-00019-P . . . . . . . . . . . . exempt Extend the provisions of the existing electricrate plan by Rochester Gas and ElectricCorporation

To consider the request

*PSC-12-08-00021-P . . . . . . . . . . . . exempt Extend the provisions of the existing gas rateplan by Rochester Gas and ElectricCorporation

To consider the request

*PSC-13-08-00011-P . . . . . . . . . . . . exempt Waiver of commission policy and NYSEGtariff by Turner Engineering, PC

To grant or deny Turner’s petition

*PSC-13-08-00012-P . . . . . . . . . . . . exempt Voltage drops by New York State Electric &Gas Corporation

To grant or deny the petition

*PSC-23-08-00008-P . . . . . . . . . . . . exempt Petition requesting rehearing and clarificationof the commission’s April 25, 2008 orderdenying petition of public utility law project

To consider whether to grant or deny, in wholeor in part, the May 7, 2008 Public Utility LawProject (PULP) petition for rehearing andclarification of the commission’s April 25, 2008order denying petition of Public Utility LawProject

*PSC-25-08-00007-P . . . . . . . . . . . . exempt Policies and procedures regarding theselection of regulatory proposals to meetreliability needs

To establish policies and procedures regardingthe selection of regulatory proposals to meetreliability needs

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

*PSC-28-08-00004-P . . . . . . . . . . . . exempt Con Edison’s procedure for providingcustomers access to their account information

To consider Con Edison’s implementation planand timetable for providing customers accessto their account information

*PSC-31-08-00025-P . . . . . . . . . . . . exempt Recovery of reasonable DRS costs from thecost mitigation reserve (CMR)

To authorize recovery of the DRS costs fromthe CMR

*PSC-32-08-00009-P . . . . . . . . . . . . exempt The ESCO referral program for KEDNY to beimplemented by October 1, 2008

To approve, reject or modify, in whole or inpart, KEDNY’s recommended ESCO referralprogram

*PSC-33-08-00008-P . . . . . . . . . . . . exempt Noble Allegany’s request for lightenedregulation

To consider Noble Allegany’s request forlightened regulation as an electric corporation

*PSC-36-08-00019-P . . . . . . . . . . . . exempt Land Transfer in the Borough of Manhattan,New York

To consider petition for transfer of real propertyto NYPH



54


*PSC-39-08-00010-P . . . . . . . . . . . . exempt RG&E’s economic development plan andtariffs

Consideration of the approval of RG&E’seconomic development plan and tariffs

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

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

*PSC-43-08-00014-P . . . . . . . . . . . . exempt Annual Reconcilliation of Gas Expenses andGas Cost Recoveries

The filings of various LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries

*PSC-46-08-00008-P . . . . . . . . . . . . exempt Property transfer in the Village of Avon, NewYork

To consider a petition for the transfer of streetlighting and attached equipment to the Villageof Avon, New York

*PSC-46-08-00010-P . . . . . . . . . . . . exempt A transfer of indirect ownership interests innuclear generation facilities

Consideration of approval of a transfer ofindirect ownership interests in nucleargeneration facilities

*PSC-46-08-00014-P . . . . . . . . . . . . exempt The attachment of cellular antennae to anelectric transmission tower

To approve, reject or modify the request forpermission to attach cellular antennae to anelectric transmission tower

*PSC-48-08-00005-P . . . . . . . . . . . . exempt A National Grid high efficiency gas heatingequipment rebate program

To expand eligibility to customers convertingfrom oil to natural gas

*PSC-48-08-00008-P . . . . . . . . . . . . exempt Petition for the master metering andsubmetering of electricity

To consider the request of Bay City Metering,to master meter & submeter electricity at 345E. 81st St., New York, New York

*PSC-48-08-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of PCV/ST to submeterelectricity at Peter Cooper Village & StuyvesantTown, New York, New York

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

*PSC-51-08-00006-P . . . . . . . . . . . . exempt Commission’s October 27, 2008 Order onFuture of Retail Access Programs in Case07-M-0458

To consider a Petition for rehearing of theCommission’s October 27, 2008 Order in Case07-M-0458

*PSC-51-08-00007-P . . . . . . . . . . . . exempt Commission’s October 27, 2008 Order inCases 98-M-1343, 07-M-1514 and 08-G-0078

To consider Petitions for rehearing of theCommission’s October 27, 2008 Order inCases 98-M-1343, 07-M-1514 and 08-G-0078

*PSC-53-08-00011-P . . . . . . . . . . . . exempt Use of deferred Rural Telephone Bank funds To determine if the purchase of a softswitch byHancock is an appropriate use of deferredRural Telephone Bank funds

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

Transfer of permanent and temporaryeasements at 549-555 North Little Tor Road,New City, NY

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

*PSC-01-09-00015-P . . . . . . . . . . . . exempt FCC decision to redefine service area ofCitizens/Frontier

Review and consider FCC proposedredefinition of Citizens/Frontier service area



55


*PSC-02-09-00010-P . . . . . . . . . . . . exempt Competitive classification of independent localexchange company, and regulatory reliefappropriate thereto

To determine if Chazy & Westport TelephoneCorporation more appropriately belongs inscenario 1 rather than scenario 2

*PSC-05-09-00008-P . . . . . . . . . . . . exempt Revenue allocation, rate design, performancemetrics, and other non-revenue requirementissues

To consider any remaining non-revenuerequirement issues related to the Company’sMay 9, 2008 tariff filing

*PSC-05-09-00009-P . . . . . . . . . . . . exempt Numerous decisions involving the steamsystem including cost allocation, energyefficiency and capital projects

To consider the long term impacts on steamrates and on public policy of various optionsconcerning the steam system

*PSC-06-09-00007-P . . . . . . . . . . . . exempt Interconnection of the networks betweenFrontier Comm. and WVT Communicationsfor local exchange service and exchangeaccess

To review the terms and conditions of thenegotiated agreement between Frontier Comm.and WVT Comm.

*PSC-07-09-00015-P . . . . . . . . . . . . exempt Transfer certain utility assets located in theTown of Montgomery from plant held forfuture use to non-utility property

To consider the request to transfer certainutility assets located in the Town ofMontgomery to non-utility assets

*PSC-07-09-00017-P . . . . . . . . . . . . exempt Request for authorization to defer theincremental costs incurred in the restorationwork resulting from the ice storm

To allow the company to defer the incrementalcosts incurred in the restoration work resultingfrom the ice storm

*PSC-07-09-00018-P . . . . . . . . . . . . exempt Whether to permit the submetering of naturalgas service to an industrial and commercialcustomer at Cooper Union, New York, NY

To consider the request of Cooper Union, tosubmeter natural gas at 41 Cooper Square,New York, New York

*PSC-12-09-00010-P . . . . . . . . . . . . exempt Charges for commodity To charge customers for commodity costs

*PSC-12-09-00012-P . . . . . . . . . . . . exempt Charges for commodity To charge customers for commodity costs

*PSC-13-09-00008-P . . . . . . . . . . . . exempt Options for making additional central officecodes available in the 718/347 numberingplan area

To consider options for making additionalcentral office codes available in the 718/347numbering plan area

*PSC-14-09-00014-P . . . . . . . . . . . . exempt The regulation of revenue requirements formunicipal utilities by the Public ServiceCommission

To determine whether the regulation of revenuerequirements for municipal utilities should bemodified

*PSC-16-09-00010-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of AMPS on behalf ofPark Imperial to submeter electricity at 230 W.56th Street, in New York, New York

*PSC-16-09-00020-P . . . . . . . . . . . . exempt Whether SUNY’s core accounts should beexempt from the mandatory assignment oflocal distribution company (LDC) capacity

Whether SUNY’s core accounts should beexempt from the mandatory assignment oflocal distribution company (LDC) capacity

*PSC-17-09-00010-P . . . . . . . . . . . . exempt Whether to permit the use of Elster REX2solid state electric meter for use in residentialand commerical accounts

To permit electric utilities in New York State touse the Elster REX2

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

Whether Brooklyn Navy Yard CogenerationPartners, L.P. should be reimbursed by ConEdison for past and future use taxes

*PSC-17-09-00012-P . . . . . . . . . . . . exempt Petition for the submetering of gas atcommercial property

To consider the request of Turner Construction,to submeter natural gas at 550 Short Ave., &10 South St., Governors Island, NY



56


*PSC-17-09-00014-P . . . . . . . . . . . . exempt Benefit-cost framework for evaluating AMIprograms prepared by the DPS Staff

To consider a benefit-cost framework forevaluating AMI programs prepared by the DPSStaff

*PSC-17-09-00015-P . . . . . . . . . . . . exempt The construction of a tower for wirelessantennas on land owned by National Grid

To approve, reject or modify the petition tobuild a tower for wireless antennas in the Townof Onondaga

*PSC-18-09-00012-P . . . . . . . . . . . . exempt Petition for rehearing of Order approving thesubmetering of electricity

To consider the request of Frank Signore torehear petition to submeter electricity at OneCity Place in White Plains, New York

*PSC-18-09-00013-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of Living Opportunitiesof DePaul to submeter electricity at E. Main St.located in Batavia, New York

*PSC-18-09-00017-P . . . . . . . . . . . . exempt Approval of an arrangement for attachment ofwireless antennas to the utility’s transmissionfacilities in the City of Yonkers

To approve, reject or modify the petition for theexisting wireless antenna attachment to theutility’s transmission tower

*PSC-20-09-00016-P . . . . . . . . . . . . exempt The recovery of, and accounting for, costsassociated with the Companies’ advancedmetering infrastructure (AMI) pilots etc

To consider a filing of the Companies as to therecovery of, and accounting for, costsassociated with it’s AMI pilots etc

*PSC-20-09-00017-P . . . . . . . . . . . . exempt The recovery of, and accounting for, costsassociated with CHG&E’s AMI pilot program

To consider a filing of CHG&E as to therecovery of, and accounting for, costsassociated with it’s AMI pilot program

*PSC-22-09-00011-P . . . . . . . . . . . . exempt Cost allocation for Consolidated Edison’s EastRiver Repowering Project

To determine whether any changes arewarranted in the cost allocation of ConsolidatedEdison’s East River Repowering Project

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

Whether to grant, deny, or modify, in whole orin part, the petition

*PSC-25-09-00006-P . . . . . . . . . . . . exempt Electric utility implementation plans forproposed web based SIR application processand project status database

To determine if the proposed web based SIRsystems are adequate and meet requirementsneeded for implementation

*PSC-25-09-00007-P . . . . . . . . . . . . exempt Electric rates for Consolidated EdisonCompany of New York, Inc

Consider a Petition for Rehearing filed byConsolidated Edison Company of New York,Inc

*PSC-27-09-00011-P . . . . . . . . . . . . exempt Interconnection of the networks betweenVernon and tw telecom of new york I.p. forlocal exchange service and exchange access.

To review the terms and conditions of thenegotiated agreement between Vernon and twtelecom of new york I.p.

*PSC-27-09-00014-P . . . . . . . . . . . . exempt Billing and payment for energy efficiencymeasures through utility bill

To promote energy conservation

*PSC-27-09-00015-P . . . . . . . . . . . . exempt Interconnection of the networks betweenOriskany and tw telecom of new york l.p. forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between Oriskany andtw telecom of new york l.p

*PSC-29-09-00011-P . . . . . . . . . . . . exempt Consideration of utility compliance filings Consideration of utility compliance filings

*PSC-32-09-00009-P . . . . . . . . . . . . exempt Cost allocation for Consolidated Edison’s EastRiver Repowering Project

To determine whether any changes arewarranted in the cost allocation of ConsolidatedEdison’s East River Repowering Project



57


*PSC-34-09-00016-P . . . . . . . . . . . . exempt Recommendations made in the ManagementAudit Final Report

To consider whether to take action orrecommendations contained in theManagement Audit Final Report

*PSC-34-09-00017-P . . . . . . . . . . . . exempt To consider the transfer of control ofPlattsburgh Cablevision, Inc. d/b/a CharterCommunications to CH Communications, LLC

To allow the Plattsburgh Cablevision, Inc. todistribute its equity interest in CHCommunications, LLC

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

Considering exemptions from the increase inthe non-bypassable charge implemented byRG&E on June 1, 2009

*PSC-37-09-00015-P . . . . . . . . . . . . exempt Sale of customer-generated steam to the ConEdison steam system

To establish a mechanism for sale of customer-generated steam to the Con Edison steamsystem

*PSC-37-09-00016-P . . . . . . . . . . . . exempt Applicability of electronic signatures toDeferred Payment Agreements

To determine whether electronic signatures canbe accepted for Deferred Payment Agreements

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

*PSC-39-09-00018-P . . . . . . . . . . . . exempt The offset of deferral balances with PositiveBenefit Adjustments

To consider a petition to offset deferralbalances with Positive Benefit Adjustments

*PSC-40-09-00013-P . . . . . . . . . . . . exempt Uniform System of Accounts - request fordeferral and amortization of costs

To consider a petition to defer and amortizecosts

*PSC-51-09-00029-P . . . . . . . . . . . . exempt Rules and guidelines for the exchange ofretail access data between jurisdictionalutilities and eligible ESCOs

To revise the uniform Electronic DataInterchange Standards and business practicesto incorporate a contest period

*PSC-51-09-00030-P . . . . . . . . . . . . exempt Waiver or modification of Capital Expenditurecondition of merger

To allow the companies to expend less fundsfor capital improvement than required by themerger

*PSC-52-09-00006-P . . . . . . . . . . . . exempt ACE’s petition for rehearing for an orderregarding generator-specific energydeliverability study methodology

To consider whether to change the OrderPrescribing Study Methodology

*PSC-52-09-00008-P . . . . . . . . . . . . exempt Approval for the New York IndependentSystem Operator, Inc. to incur indebtednessand borrow up to $50,000,000

To finance the renovation and construction ofthe New York Independent System Operator,Inc.’s power control center facilities

*PSC-05-10-00008-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of UniversityResidences - Rochester, LLC to submeterelectricity at 220 John Street, Henrietta, NY

*PSC-05-10-00015-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 243 West EndAvenue Owners Corp. to submeter electricity at243 West End Avenue, New York, NY

*PSC-06-10-00022-P . . . . . . . . . . . . exempt The Commission’s Order of December 17,2009 related to redevelopment ofConsolidated Edison’s Hudson Avenuegenerating facility

To reconsider the Commission’s Order ofDecember 17, 2009 related to redevelopmentof the Hudson Avenue generating facility

*PSC-07-10-00009-P . . . . . . . . . . . . exempt Petition to revise the Uniform BusinessPractices

To consider the RESA petition to allowrescission of a customer request to return tofull utility service



58


*PSC-08-10-00007-P . . . . . . . . . . . . exempt Whether to grant, deny, or modify , in wholeor in part, the rehearing petition filed in Case06-E-0847

Whether to grant, deny, or modify , in whole orin part, the rehearing petition filed in Case06-E-0847

*PSC-08-10-00009-P . . . . . . . . . . . . exempt Consolidated Edison of New York, Inc. energyefficiency programs

To modify approved energy efficiency programs

*PSC-12-10-00015-P . . . . . . . . . . . . exempt Recommendations made by Staff intended toenhance the safety of Con Edison’s gasoperations

To require that Con Edison implement the Staffrecommendations intended to enhance thesafety of Con Edison’s gas operations

*PSC-14-10-00010-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 61 Jane StreetOwners Corporation to submeter Electricity at61 Jane Street, Manhattan, NY

*PSC-16-10-00005-P . . . . . . . . . . . . exempt To consider adopting and expanding mobilestray voltage testing requirements

Adopt additional mobile stray voltage testingrequirements

*PSC-16-10-00007-P . . . . . . . . . . . . exempt Interconnection of the networks between TDSTelecom and PAETEC Communications forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between TDS Telecomand PAETEC Communications

*PSC-16-10-00015-P . . . . . . . . . . . . exempt Interconnection of the networks betweenFrontier and Choice One Communications forlocal exchange service and exchange access

To review the terms and conditions of thenegotiated agreement between Frontier andChoice One Communications

*PSC-18-10-00009-P . . . . . . . . . . . . exempt Electric utility transmission right-of-waymanagement practices

To consider electric utility transmission right-of-way management practices

*PSC-19-10-00022-P . . . . . . . . . . . . exempt Whether National Grid should be permitted totransfer a parcel of property located at 1 EddyStreet, Fort Edward, New York

To decide whether to approve National Grid’srequest to transfer a parcel of vacant propertyin Fort Edward, New York

*PSC-22-10-00006-P . . . . . . . . . . . . exempt Requirement that Noble demonstrate that itsaffiliated electric corporations operating inNew York are providing safe service

Consider requiring that Noble demonstrate thatits affiliated electric corporations in New Yorkare providing safe service

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

*PSC-24-10-00009-P . . . . . . . . . . . . exempt Verizon New York Inc. tariff regulationsrelating to voice messaging service

To remove tariff regulations relating to retailvoice messaging service from Verizon NewYork Inc.’s tariff

*PSC-25-10-00012-P . . . . . . . . . . . . exempt Reassignment of the 2-1-1 abbreviated dialingcode

Consideration of petition to reassign the 2-1-1abbreviated dialing code

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

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

The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

*PSC-34-10-00005-P . . . . . . . . . . . . exempt Approval of a contract for $250,000 in tankrepairs that may be a financing

To decide whether to approve a contractbetween the parties that may be a financing of$250,000 for tank repairs



59


*PSC-34-10-00006-P . . . . . . . . . . . . exempt The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

The modification of Central Hudson Gas &Electric Corporation’s Enhanced PowerfulOpportunities Program

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

Consideration of Central Hudson’s procedures,terms and conditions for an economicdevelopment plan

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

*PSC-40-10-00021-P . . . . . . . . . . . . exempt Whether to permit the submetering of naturalgas service to a commercial customer atQuaker Crossing Mall

To permit the submetering of natural gasservice to a commercial customer at QuakerCrossing Mall

*PSC-41-10-00018-P . . . . . . . . . . . . exempt Amount of hourly interval data provided toHourly Pricing customers who have notinstalled a phone line to read meter

Allow Central Hudson to provide less than ayears worth of interval data and charge formanual meter reading for some customers

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

Request for waiver of the individual living unitmetering requirements at 5742 Route 5,Vernon, NY

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

*PSC-43-10-00016-P . . . . . . . . . . . . exempt Utility Access to Ducts, Conduit Facilities andUtility Poles

To review the complaint from OpticalCommunications Group

*PSC-44-10-00003-P . . . . . . . . . . . . exempt Third and fourth stage gas rate increase byCorning Natural Gas Corporation

To consider Corning Natural Gas Corporation’srequest for a third and fourth stage gas rateincrease

*PSC-51-10-00018-P . . . . . . . . . . . . exempt Commission proceeding concerning three-phase electric service by all major electricutilities

Investigate the consistency of the tariffprovisions for three-phase electric service forall major electric utilities

*PSC-11-11-00003-P . . . . . . . . . . . . exempt The proposed transfer of 55.42 acres of landand $1.4 million of revenues derived from therendition of public service

The proposed transfer of 55.42 acres of landand $1.4 million of revenues derived from therendition of public service

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

Exclude the minimum monthly bill componentfrom the earnings test calculation

*PSC-14-11-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of 83-30 118th Streetto submeter electricity at 83-30 118th Street,Kew Gardens, New York

*PSC-19-11-00007-P . . . . . . . . . . . . exempt Utility price reporting requirements related tothe Commission’s ‘‘Power to Choose’’ website

Modify the Commission’s utility electriccommodity price reporting requirements relatedto the ‘‘Power to Choose’’ website

*PSC-20-11-00012-P . . . . . . . . . . . . exempt Petition for the submetering of electricity To consider the request of KMW Group LLC tosubmeter electricity at 122 West Street,Brooklyn, New York

*PSC-20-11-00013-P . . . . . . . . . . . . exempt Determining the reasonableness of NiagaraMohawk Power Corporation d/b/a NationalGrid ‘s make ready charges

To determine if the make ready charges ofNiagara Mohawk Power Corporation d/b/aNational Grid are reasonable



60


*PSC-22-11-00004-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusaccWAVE for use in residential gas meterapplications

To permit gas utilities in New York State to usethe Sensus accWAVE diaphragm gas meter

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

*PSC-26-11-00009-P . . . . . . . . . . . . exempt Petition for the submetering of electricity atcommercial property

To consider the request of by Hoosick RiverHardwoods, LLC to submeter electricity at 28Taylor Avenue, in Berlin, New York

*PSC-26-11-00012-P . . . . . . . . . . . . exempt Waiver of generation retirement noticerequirements

Consideration of waiver of generationretirement notice requirements

*PSC-29-11-00011-P . . . . . . . . . . . . exempt Petition requesting the Commssion reconsiderits May 19, 2011 Order and conduct ahearing, and petition to stay said Order.

To consider whether to grant or deny, in wholeor in part, Windstream New York’s Petition ForReconsideration and Rehearing.

*PSC-35-11-00011-P . . . . . . . . . . . . exempt Whether to permit Consolidated Edison awaiver to commission regulations Part 226.8

Permit Consolidated Edison to conduct ainspection program in lieu of testing theaccuracy of Category C meters

*PSC-36-11-00006-P . . . . . . . . . . . . exempt To consider expanding mobile stray voltagetesting requirements

Adopt additional mobile stray voltage testingrequirements

*PSC-38-11-00002-P . . . . . . . . . . . . exempt Operation and maintenance procedurespertaining to steam trap caps

Adopt modified steam operation andmaintenance procedures

*PSC-38-11-00003-P . . . . . . . . . . . . exempt Waiver of certain provisions of the electricservice tariffs of Con Edison

Consideration of waiver of certain provisions ofthe electric service tariffs of Con Edison

*PSC-40-11-00010-P . . . . . . . . . . . . exempt Participation of regulated local exchangecarriers in the New York Data Exchange, Inc.(NYDE)

Whether to partially modify its order requiringregulated local exchange carriers’ participationNYDE

*PSC-40-11-00012-P . . . . . . . . . . . . exempt Granting of transfer of plant in-service to aregulatory asset

To approve transfer and recovery ofunamortized plant investment

*PSC-42-11-00018-P . . . . . . . . . . . . exempt Availability of telecommunications services inNew York State at just and reasonable rates

Providing funding support to help ensureavailability of affordable telecommunicationsservice throughout New York

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

*PSC-47-11-00007-P . . . . . . . . . . . . exempt Remedying miscalculations of delivered gasas between two customer classes

Consideration of Con Edison’s proposal toaddress inter-class delivery imbalancesresulting from past Company miscalculations

*PSC-48-11-00007-P . . . . . . . . . . . . exempt Transfer of controlling interests in generationfacilities from Dynegy to PSEG

Consideration of the transfer of controllinginterests in electric generation facilities fromDynegy to PSEG

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

*PSC-01-12-00007-P . . . . . . . . . . . . exempt The New York State Reliability Council’srevisions to its rules and measurements

To adopt revisions to various rules andmeasurements of the New York StateReliability Council



61


*PSC-01-12-00008-P . . . . . . . . . . . . exempt Transfer of real property and easements fromNMPNS to NMP3

Consideration of the transfer of real propertyand easements from NMPNS to NMP3

*PSC-01-12-00009-P . . . . . . . . . . . . exempt Recovery of expenses related to theexpansion of Con Edison’s ESCO referralprogram, PowerMove

To determine how and to what extent expensesrelated to the Expansion of Con Edison’sESCO referral program should be recovered

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

Whether to grant, deny or modify, in whole orpart, Hegeman’s petition for a waiver ofCommission policy and Con Edison tariff

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

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

*PSC-19-12-00023-P . . . . . . . . . . . . exempt Petition for approval pursuant to Section 70for the sale of goods with an original cost ofless than $100,000

To consider whether to grant, deny or modify,in whole or in part, the petition filed by Orangeand Rockland Utilities, Inc.

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

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

Whether to grant, deny or modify, in whole orpart, the petition for waiver of tariff Rules 8.6and 47

*PSC-23-12-00007-P . . . . . . . . . . . . exempt The approval of a financing upon a transfer toAlliance of upstream ownership interests in ageneration facility

To consider the approval of a financing upon atransfer to Alliance of upstream ownershipinterests in a generation facility

*PSC-23-12-00009-P . . . . . . . . . . . . exempt Over earnings sharing between rate payersand shareholders

To establish an Earnings Sharing Mechanismto be applied following the conclusion ofCorning’s rate plan

*PSC-27-12-00012-P . . . . . . . . . . . . exempt Implementation of recommendations made ina Management Audit Report

To consider implementation ofrecommendations made in a ManagementAudit Report

*PSC-28-12-00013-P . . . . . . . . . . . . exempt Exemption of reliability reporting statistics forthe purpose of the 2012 ReliabilityPerformance Mechanism

Consideration of Orange and Rockland Utilitiesrequest for exemption of the 2012 reliabilityreporting statistics

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

*PSC-30-12-00010-P . . . . . . . . . . . . exempt Waiver of 16 NYCRR 894.1 through 894.4 To allow the Town of Andes to waive certainpreliminary franchising procedures to expeditethe franchising process

*PSC-33-12-00009-P . . . . . . . . . . . . exempt Telecommunications companies ability toattach to utility company poles

Consideration of Tech Valley’s ability to attachto Central Hudson poles

*PSC-37-12-00009-P . . . . . . . . . . . . exempt Proposed modification by Con Edison of itsprocedures to calculate estimated bills to itscustomers

Proposed modification by Con Edison of itsprocedures to calculate estimated bills to itscustomers



62


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

To exempt Gipsy Trail Club, Inc. fromCommission regulation of its financingagreements

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

Whether to grant, deny or modify, in whole orpart, ESHG’s petition for a waiver ofCommission policy and RG&E tariff

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

Whether to grant, deny or modify, in whole orin part the petition of Con Edison to granteasements to Millwood Fire District

*PSC-50-12-00003-P . . . . . . . . . . . . exempt Affiliate standards for Corning Natural GasCorporation

To resolve issues raised by Corning NaturalGas Corporation in its petition for rehearing

*PSC-04-13-00006-P . . . . . . . . . . . . exempt Expansion of mandatory day ahead hourlypricing for customers of Orange and RocklandUtilities with demands above 100 kW

To consider the expansion of mandatory dayahead hourly pricing for customers withdemands above 100 kW

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

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

*PSC-08-13-00012-P . . . . . . . . . . . . exempt Filing requirements for certain Article VIIelectric facilities

To ensure that applications for certain electrictransmission facilities contain pertinentinformation

*PSC-08-13-00014-P . . . . . . . . . . . . exempt Uniform System of Accounts - Request forAccounting Authorization

To allow the company to defer an item ofexpense or capital beyond the end of the yearin which it was incurred

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

*PSC-13-13-00008-P . . . . . . . . . . . . exempt The potential waiver of 16 NYCRR255.9221(d) completion of integrityassessments for certain gas transmissionlines.

To determine whether a waiver of the timelycompletion of certain gas transmission lineintegrity assessments should be granted.

*PSC-18-13-00007-P . . . . . . . . . . . . exempt Whether Demand Energy Networks energystorage systems should be designatedtechnologies for standby rate eligibilitypurposes

Whether Demand Energy Networks energystorage systems should be designatedtechnologies for standby rate eligibilitypurposes

*PSC-21-13-00003-P . . . . . . . . . . . . exempt To consider policies that may impactconsumer acceptance and use of electricvehicles

To consider and further develop policies thatmay impact consumer acceptance and use ofelectric vehicles

*PSC-21-13-00005-P . . . . . . . . . . . . exempt To implement an abandonment of Windover’swater system

To approve the implementation ofabandonment of Windover’s water system

*PSC-21-13-00008-P . . . . . . . . . . . . exempt Rates of National Fuel Gas DistributionCorporation

To make the rates of National Fuel GasDistribution Corporation temporary, subject torefund, if they are found to be excessive

*PSC-21-13-00009-P . . . . . . . . . . . . exempt Reporting requirements for natural gas localdistribution companies

To help ensure efficient and economicexpansion of the natural gas system asappropriate



63


*PSC-22-13-00009-P . . . . . . . . . . . . exempt On remand from New York State courtlitigation, determine the recovery of certaindeferred amounts owed NFG by ratepayers

On remand, to determine the recovery ofcertain deferral amounts owed NFG fromratepayers

*PSC-23-13-00005-P . . . . . . . . . . . . exempt Waiver of partial payment, directory databasedistribution, service quality reporting, andservice termination regulations

Equalize regulatory treatment based on level ofcompetition and practical considerations

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

To deny, grant or modify, in whole or in part,Central Hudson’s rehearing request.

*PSC-25-13-00009-P . . . . . . . . . . . . exempt Provision by utilities of natural gas main andservice lines.

To help ensure efficient and economicexpansion of the natural gas system asappropriate.

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

To deny, grant or modify, in whole or in part,Central Hudson’s rehearing request.

*PSC-27-13-00014-P . . . . . . . . . . . . exempt Columbia Gas Transmission Corporation CostRefund

For approval for temporary waiver of tariffprovisions regarding its Columbia GasTransmission Corporation cost refund.

*PSC-28-13-00014-P . . . . . . . . . . . . exempt Provision for the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

To consider the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

*PSC-28-13-00016-P . . . . . . . . . . . . exempt The request of NGT for lightened regulationas a gas corporation.

To consider whether to approve, reject, ormodify the request of Niagara gas transport ofLockport, NY LLC.

*PSC-28-13-00017-P . . . . . . . . . . . . exempt The request by TE for waiver of regulationsrequiring that natural gas be odorized incertain gathering line segments

Consider the request by TE for waiver ofregulations that gas be odorized in certain lines

*PSC-32-13-00009-P . . . . . . . . . . . . exempt To consider the definition of ‘‘misleading ordeceptive conduct’’ in the Commission’sUniform Business Practices

To consider the definition of ‘‘misleading ordeceptive conduct’’ in the Commission’sUniform Business Practices

*PSC-32-13-00012-P . . . . . . . . . . . . exempt To consider whether NYSEG should berequired to undertake actions to protect itsname and to minimize customer confusion

To consider whether NYSEG should berequired to undertake actions to protect itsname and to minimize customer confusion

*PSC-33-13-00027-P . . . . . . . . . . . . exempt Waive underground facility requirements fornew construction in residential subdivisions toallow for overhead electric lines.

Determine whether Chapin Lumberland, LLCsubdivision will be allowed overhead electricdistribution and service lines.

*PSC-33-13-00029-P . . . . . . . . . . . . exempt Deferral of incremental costs associated withthe restoration of steam service followingSuperstorm Sandy.

To consider a petition by Con Edison to defercertain incremental steam system restorationcosts relating to Superstorm Sandy.

*PSC-34-13-00004-P . . . . . . . . . . . . exempt Escrow account and surcharge to fundextraordinary repairs

To approve the establishment of an escrowaccount and surcharge

*PSC-42-13-00013-P . . . . . . . . . . . . exempt Failure to Provide Escrow Information The closure of the Escrow Account

*PSC-42-13-00015-P . . . . . . . . . . . . exempt Failure to Provide Escrow Information The closure of the Escrow Account

*PSC-43-13-00015-P . . . . . . . . . . . . exempt Petition for submetering of electricity To consider the request of 2701 KingsbridgeTerrace L.P. to submeter electricity at 2701Kingsbridge Terrace, Bronx, N.Y.



64


*PSC-45-13-00021-P . . . . . . . . . . . . exempt Investigation into effect of bifurcation of gasand electric utility service on Long Island.

To consider a Petition for an investigation intoeffect of bifurcation of gas and electric utilityservice on Long Island.

*PSC-45-13-00022-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4)

To consider a waiver of certain regulationsrelating to the content of an application fortransmission line siting

*PSC-45-13-00023-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4).


*PSC-45-13-00024-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4); waiver of filing deadlines.


*PSC-45-13-00025-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsection 88.4(a)(4).


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

*PSC-47-13-00012-P . . . . . . . . . . . . exempt Conditioning,restricting or prohibiting thepurchase of services by NYSEG and RG&Efrom certain affiliates.

Consideration of conditioning,restricting orprohibiting the purchase of services by NYSEGand RG&E from certain affiliates.

*PSC-49-13-00008-P . . . . . . . . . . . . exempt Authorization to transfer all of Crystal WaterSupply Company, Inc. stocks to Essel InfraWest Inc.

To allow Crystal Water Supply Company, Inc totransfer all of its issued and outstanding stocksto Essel Infra West Inc.

*PSC-51-13-00009-P . . . . . . . . . . . . exempt Consolidated Edison proposing to use datafrom a test period ending September 30,2013 to support its next rate filing.

To ensure there is a reasonable basis for datasubmitted in support of a request for a changein rates.





*PSC-52-13-00012-P . . . . . . . . . . . . exempt The development of reliability contingencyplan(s) to address the potential retirement ofIndian Point Energy Center (IPEC).

To address the petition for rehearing andreconsideration/motion for clarification of theIPEC reliability contingency plan(s).

*PSC-52-13-00015-P . . . . . . . . . . . . exempt To enter into a loan agreement with the banksfor up to an amount of $94,000.

To consider allowing Knolls Water Company toenter into a long-term loan agreement.

*PSC-05-14-00010-P . . . . . . . . . . . . exempt The New York State Reliability Council’srevisions to its rules and measurements

To adopt revisions to various rules andmeasurements of the New York StateReliability Council

*PSC-07-14-00008-P . . . . . . . . . . . . exempt Petition for submetering of electricity To consider the request of Greater CentennialHomes HDFC, Inc. to submeter electricity at102, 103 and 106 W 5th Street, et al.

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



65


*PSC-08-14-00015-P . . . . . . . . . . . . exempt Verizon New York Inc.’s service quality andCustomer Trouble Report Rate (CTRR) levelsat certain central office entities

To improve Verizon New York Inc.’s servicequality andthe Customer Trouble Report Ratelevels at certain central office entities

*PSC-10-14-00006-P . . . . . . . . . . . . exempt Actions to facilitate the availability of ESCOvalue-added offerings, ESCO eligibility andESCO compliance

To facilitate ESCO value-added offerings and tomake changes to ESCO eligibility and toensure ESCO compliance

*PSC-11-14-00003-P . . . . . . . . . . . . exempt Provision for the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

To consider the recovery and allocation ofcosts of transmission projects that reducecongestion on certain interfaces

*PSC-16-14-00014-P . . . . . . . . . . . . exempt Whether to order NYSEG to provide gasservice to customers when an expandedCPCN is approved and impose PSL 25-apenalties.

To order gas service to customers in the Townof Plattsburgh after approval of a town wideCPCN and to impose penalties.

*PSC-16-14-00015-P . . . . . . . . . . . . exempt Whether Central Hudson should be permittedto defer obligations of the Order issued onOctober 18, 2013 in Case 13-G-0336.

Consideration of the petition by Central Hudsonto defer reporting obligations of the October 18,2013 Order in Case 13-G-0336

*PSC-17-14-00003-P . . . . . . . . . . . . exempt Con Edison’s Report on its 2013 performanceunder the Electric Service ReliabilityPerformance Mechanism

Con Edison’s Report on its 2013 performanceunder the Electric Service ReliabilityPerformance Mechanism

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

To consider certain portions of petitions forrehearing, reconsideration and/or clarification

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

To consider petitions for rehearing,reconsideration and/or clarification

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

To consider certain portions of petitions forrehearing, reconsideration and/or clarification

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

*PSC-19-14-00015-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusaccuWAVE for use in residential andcommercial gas meter applications

To permit gas utilities in New York State to usethe Sensus accuWAVE 415TC gas meter

*PSC-22-14-00013-P . . . . . . . . . . . . exempt Petition to transfer and merge systems,franchises and assets.

To consider the Comcast and Time WarnerCable merger and transfer of systems,franchises and assets.

*PSC-23-14-00010-P . . . . . . . . . . . . exempt Whether to permit the use of the GE DresserSeries B3-HPC 11M-1480 rotary gas met foruse in industrial gas meter applications

To permit gas utilities in New York State to usethe GE Dresser Series B3-HPC 11M-1480rotary gas meter

*PSC-23-14-00014-P . . . . . . . . . . . . exempt Waiver of the negative revenue adjustmentassociated with KEDLI’s 2013 CustomerSatisfaction Performance Metric

Consideration of KEDLI’s waiver requestpertaining to its 2013 performance under itsCustomer Satisfaction Metric

*PSC-24-14-00005-P . . . . . . . . . . . . exempt To examine LDC’s performance andperformance measures.

To improve gas safety performance.

*PSC-26-14-00013-P . . . . . . . . . . . . exempt Waiver of RG&E’s tariffed definition ofemergency generator.

To consider waiver of RG&E’s tariffed definitionof emergency generator.

*PSC-26-14-00020-P . . . . . . . . . . . . exempt New electric utility backup service tariffs andstandards for interconnection may beadopted.

To encourage development of microgrids thatenhance the efficiency, safety, reliability andresiliency of the electric grid.



66


*PSC-26-14-00021-P . . . . . . . . . . . . exempt Consumer protections, standards andprotocols pertaining to access to customerdata may be established.

To balance the need for the informationnecessary to support a robust market withcustomer privacy concerns.

*PSC-28-14-00014-P . . . . . . . . . . . . exempt Petition to transfer systems, franchises andassets.

To consider the Comcast and Charter transferof systems, franchise and assets.

*PSC-30-14-00023-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusiPERL Fire Flow Meter.

Pursuant to 16 NYCRR Part 500.3 , it isnecessary to permit the use of the SensusiPERL Fire Flow Meter.

*PSC-30-14-00026-P . . . . . . . . . . . . exempt Petition for a waiver to master meterelectricity.

Considering the request of RenaissanceCorporation of to master meter electricity at100 Union Drive,Albany, NY.

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

To transfer 100% of the issued and outstandingstock from Vincent Cross to Bonnie andMichael Cross

*PSC-32-14-00012-P . . . . . . . . . . . . exempt Whether to grant or deny, in whole or in part,the Connect New York Coalition’s petition

To consider the Connect New York Coalition’spetition seeking a formal investigation andhearings

*PSC-35-14-00004-P . . . . . . . . . . . . exempt Regulation of a proposed electricitygeneration facility located in the Town ofBrookhaven, NY

To consider regulation of a proposed electricitygeneration facility located in the Town ofBrookhaven, NY

*PSC-35-14-00005-P . . . . . . . . . . . . exempt Whether to permit the use of the SensusiConA electric meter

Pursuant to 16 NYCRR Parts 92 and 93,Commission approval is necessary to permitthe use of the Sensus iConA electric meter

*PSC-36-14-00009-P . . . . . . . . . . . . exempt Modification to the Commission’s ElectricSafety Standards.

To consider revisions to the Commission’sElectric Safety Standards.

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

Whether to approve, reject or modify, in wholeor in part a time-sensitive rate pilot program.

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

The study and petition of Con Edison regardinguse, accounting and ratemaking treatment for11-23 and 2-28 Hudson Ave. Brooklyn.

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

Action on the report and petition of Con Edisonregarding the Storm Hardening and ResiliencyCollaborative, Phase 2.

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

Whether to expand Con Edison’s low incomeprogram to include Medicaid recipients.

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

The study and petition of Con Edison regardinguse, accounting and ratemaking treatment for11-23 and 2-28 Hudson Ave. Brooklyn.

*PSC-38-14-00010-P . . . . . . . . . . . . exempt Inter-carrier telephone service qualitystandard and metrics and administrativechanges.

To review recommendations from the CarrierWorking Group and incorporate appropriatemodifications to the existing Guidelines.

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

Action on the report and petition of Con Edisonregarding the Storm Hardening and ResiliencyCollaborative, Phase 2.



67


*PSC-39-14-00020-P . . . . . . . . . . . . exempt Whether to permit the use of the MuellerSystems 400 Series and 500 Series of watermeters

Pursuant to 16 NYCRR section 500.3, whetherto permit the use of the Mueller Systems 400,and 500 Series of water meters

*PSC-40-14-00008-P . . . . . . . . . . . . exempt To consider granting authorization for BuyEnergy Direct to resume marketing toresidential customers.

To consider granting authorization for BuyEnergy Direct to resume marketing toresidential customers.

*PSC-40-14-00009-P . . . . . . . . . . . . exempt Whether to permit the use of the Itron OpenWay Centron Meter with Hardware 3.1 forAMR and AMI functionality.

Pursuant to 16 NYCRR Parts 93, is necessaryto permit the use of the Itron Open WayCentron Meter with Hardware 3.1.

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

*PSC-40-14-00013-P . . . . . . . . . . . . exempt Regulation of a proposed natural gas pipelineand related facilities located in the Town ofTiconderoga, NY.

To consider regulation of a proposed naturalgas pipeline and related facilities located in theTown of Ticonderoga, NY.

*PSC-40-14-00014-P . . . . . . . . . . . . exempt Waiver of 16 NYCRR Sections 894.1 through894.4(b)(2)

To allow the Town of Goshen, NY, to waivecertain preliminary franchising procedures toexpedite the franchising process.

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

*PSC-42-14-00003-P . . . . . . . . . . . . exempt Annual Reconciliation of Gas Expenses andGas Cost Recoveries

The filings of various LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries

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

*PSC-48-14-00014-P . . . . . . . . . . . . exempt Considering the recommendations containedin Staff’ s electric outage investigation reportfor MNRR, New Haven Line.

To consider the recommendations contained inStaff’s electric outage investigation report forMNRR, New Haven Line.

*PSC-52-14-00019-P . . . . . . . . . . . . exempt Petition for a waiver to master meterelectricity.

Considering the request of 614 South CrouseAvenue, LLC to master meter electricity at 614South Crouse Avenue, Syracuse, NY..

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

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

*PSC-08-15-00010-P . . . . . . . . . . . . exempt Request pertaining to the lawfulness ofNational Grid USA continuing its summarybilling program.

To grant, deny, or modify URAC RateConsultants’ request that National Grid ceaseits summary billing program.

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



68


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

Whether to waive Policy on Test Periods inMajor Rate Proceedings and provide authorityto file tariff changes

*PSC-13-15-00024-P . . . . . . . . . . . . exempt Whether Leatherstocking should be permittedto recover a shortfall in earnings

To decide whether to approveLeatherstocking’s request to recover a shortfallin earnings

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

To permit the use of the Sensus Smart PointGas AMR/AMI product

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

To permit the use of the Measurlogic DTS 310submeter

*PSC-13-15-00028-P . . . . . . . . . . . . exempt Whether to permit the use of the SATECEM920 electric meter

To permit necessary to permit the use of theSATEC EM920 electric meter

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

To permit the use of the Triacta submeters

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

To consider the petition of Leatherstocking GasCompany, LLC seeking authority to issue long-term debt of $2.75 million

*PSC-18-15-00005-P . . . . . . . . . . . . exempt Con Edison’s Report on its 2014 performanceunder the Electric Service ReliabilityPerformance Mechanism

Con Edison’s Report on its 2014 performanceunder the Electric Service ReliabilityPerformance Mechanism

*PSC-19-15-00011-P . . . . . . . . . . . . exempt Gas Safety Performance Measures andassociated negative revenue adjustments

To update the performance measuresapplicable to KeySpan Gas East Corporationd/b/a National Grid

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

To consider the request for waiver of theindividual residential unit meter requirementsand 16 NYCRR 96.1(a)

*PSC-23-15-00005-P . . . . . . . . . . . . exempt The modification of New York AmericanWater’s current rate plan

Whether to adopt the terms of the JointProposal submitted by NYAW and DPS Staff

*PSC-23-15-00006-P . . . . . . . . . . . . exempt The modification of New York AmericanWater’s current rate plan

Whether to adopt the terms of the JointProposal submitted by NYAW and DPS Staff

*PSC-25-15-00008-P . . . . . . . . . . . . exempt Notice of Intent to Submeter electricity. To consider the request of 165 E 66Residences, LLC to submeter electricity at 165East 66th Street, New York, New York.

*PSC-29-15-00025-P . . . . . . . . . . . . exempt Joint Petition for authority to transfer realproperty located at 624 West 132nd Street,New York, NY

Whether to authorize the proposed transfer ofreal property located at 624 West 132nd Street,New York, NY

*PSC-32-15-00006-P . . . . . . . . . . . . exempt Development of a Community SolarDemonstration Project.

To approve the development of a CommunitySolar Demonstration Project.

*PSC-33-15-00009-P . . . . . . . . . . . . exempt Remote net metering of a demonstrationcommunity net metering program.

To consider approval of remote net metering ofa demonstration community net meteringprogram.

*PSC-33-15-00012-P . . . . . . . . . . . . exempt Remote net metering of a Community SolarDemonstration Project.

To consider approval of remote net metering ofa Community Solar Demonstration Project.



69


*PSC-34-15-00021-P . . . . . . . . . . . . exempt Petition by NYCOM requesting assistancewith obtaining information on CLECs andESCOs

To consider the petition by NYCOM requestingassistance with obtaining information onCLECs and ESCOs

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

To consider consequences against Light Power& Gas, LLC for violations of the UBP

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

*PSC-40-15-00014-P . . . . . . . . . . . . exempt Whether to permit the use of the Open Way3.5 with cellular communications

To consider the use of the Open Way 3.5electric meter, pursuant to 16 NYCRR Parts 92and 93

*PSC-42-15-00006-P . . . . . . . . . . . . exempt Deferral of incremental expenses associatedwith NERC’s new Bulk Electric System (BES)compliance requirements approved by FERC.

Consideration of Central Hudson’s request todefer incremental expenses associated withnew BES compliance requirements.

*PSC-44-15-00028-P . . . . . . . . . . . . exempt Deferral of incremental expenses associatedwith new compliance requirements

Consideration of Central Hudson’s request todefer incremental expenses associated withnew compliance requirements

*PSC-47-15-00013-P . . . . . . . . . . . . exempt Whitepaper on Implementing LightenedRatemaking Regulation.

Consider Whitepaper on ImplementingLightened Ratemaking Regulation.

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

Consider the lightened and incidentalregulation of a 55 MW electric and steamgenerating facility.

*PSC-48-15-00011-P . . . . . . . . . . . . exempt Proposal to retire Huntley Units 67 and 68 onMarch 1, 2016.

Consider the proposed retirement of HuntleyUnits 67 and 68.

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

*PSC-50-15-00009-P . . . . . . . . . . . . exempt Notice of Intent to submeter electricity. To consider the request to submeter electricityat 31-33 Lincoln Road and 510 FlatbushAvenue, Brooklyn, New York.

*PSC-51-15-00010-P . . . . . . . . . . . . exempt Modification of the EDP To consider modifying the EDP

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

To consider amendment to Section 5,Attachment 1.A of the Uniform BusinessPractices

*PSC-04-16-00007-P . . . . . . . . . . . . exempt Whether Hamilton Municipal Utilities shouldbe permitted to construct and operate amunicipal gas distribution facility.

Consideration of the petition by HamiltonMunicipal Utilities to construct and operate amunicipal gas distribution facility.

*PSC-04-16-00012-P . . . . . . . . . . . . exempt Proposal to mothball three gas turbineslocated at the Astoria Gas Turbine GeneratingStation.

Consider the proposed mothball of three gasturbines located at the Astoria Gas TurbineGenerating Station.

*PSC-04-16-00013-P . . . . . . . . . . . . exempt Proposal to find that three gas turbineslocated at the Astoria Gas Turbine GeneratingStation are uneconomic.

Consider whether three gas turbines located atthe Astoria Gas Turbine Generating Station areuneconomic.

*PSC-06-16-00013-P . . . . . . . . . . . . exempt Continued deferral of approximately$16,000,000 in site investigation andremediation costs.

To consider the continued deferral ofapproximately $16,000,000 in site investigationand remediation costs.



70


*PSC-06-16-00014-P . . . . . . . . . . . . exempt MEGA’s proposed demonstration CCAprogram.

To consider MEGA’s proposed demonstrationCCA program.

*PSC-14-16-00008-P . . . . . . . . . . . . exempt Resetting retail markets for ESCO massmarket customers.

To ensure consumer protections with respect toresidential and small non-residential ESCOcustomers.

*PSC-18-16-00013-P . . . . . . . . . . . . exempt Amendments to the Uniform BusinessPractices of ESCOs.

To ensure consumer protection for ESCOcustomers.



*PSC-18-16-00015-P . . . . . . . . . . . . exempt Petitions for rehearing of the Order ResettingRetail Energy Markets and EstablishingFurther Process.

To ensure consumer protections for ESCOcustomers.





*PSC-20-16-00008-P . . . . . . . . . . . . exempt Consideration of consequences againstGlobal Energy Group, LLC for violations ofthe Uniform Business Practices (UBP).

To consider consequences against GlobalEnergy Group, LLC for violations of theUniform Business Practices (UBP).

*PSC-20-16-00010-P . . . . . . . . . . . . exempt Deferral and recovery of incrementalexpense.

To consider deferring costs of conducting leaksurvey and repairs for subsequent recovery.

*PSC-20-16-00011-P . . . . . . . . . . . . exempt Enetics LD-1120 Non-Intrusive LoadMonitoring Device in the StatewideResidential Appliance Metering Study.

To consider the use of the Enetics LD-1120Non-Intrusive Load Monitoring Device.

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

*PSC-25-16-00009-P . . . . . . . . . . . . exempt To delay Companies’ third-party assessmentsof customer personally identifiable informationuntil 2018.

To extend the time period between theCompanies’ third-party assessments ofcustomer personally identifiable information.

*PSC-25-16-00024-P . . . . . . . . . . . . exempt Pole Attachment Rules. To determine that the Commission’s existingpole attachment rules apply to wirelessproviders.

*PSC-25-16-00025-P . . . . . . . . . . . . exempt Acquisition of all water supply assets ofWoodbury Heights Estates Water Co., Inc. bythe Village of Kiryas Joel.

To consider acquisition of all water supplyassets of Woodbury Heights Estates WaterCo., Inc. by the Village of Kiryas Joel.

*PSC-25-16-00026-P . . . . . . . . . . . . exempt Use of the Badger E Series Ultrasonic ColdWater Stainless Steel Meter, in residential fireservice applications.

To consider the use of the Badger E SeriesUltrasonic Cold Water Stainless Steel Meter infire service applications.

*PSC-28-16-00017-P . . . . . . . . . . . . exempt A petition for rehearing of the Order Adoptinga Ratemaking and Utility Revenue ModelPolicy Framework.

To determine appropriate rules for andcalculation of the distributed generationreliability credit.

*PSC-29-16-00024-P . . . . . . . . . . . . exempt Participation of NYPA customers insurcharge-funded clean energy programs.

To consider participation of NYPA customers insurcharge-funded clean energy programs.



71


*PSC-32-16-00012-P . . . . . . . . . . . . exempt Benefit-Cost Analysis Handbooks. To evaluate proposed methodologies of benefit-cost evaluation.

*PSC-33-16-00001-EP . . . . . . . . . . . . exempt Use of escrow funds for repairs. To authorize the use of escrow account fundsfor repairs.

*PSC-33-16-00005-P . . . . . . . . . . . . exempt Exemption from certain charges for delivery ofelectricity to its Niagara Falls, New Yorkfacility.

Application of System Benefits Charges,Renewable Portfolio Standard charges andClean Energy Fund surcharges.

*PSC-35-16-00015-P . . . . . . . . . . . . exempt NYSRC’s revisions to its rules andmeasurements

To consider revisions to various rules andmeasurements of the NYSRC

*PSC-36-16-00004-P . . . . . . . . . . . . exempt Recovery of costs for installation of electricservice.

To consider the recovery of costs forinstallation of electric service.

*PSC-40-16-00025-P . . . . . . . . . . . . exempt Consequences pursuant to the Commission’sUniform Business Practices (UBP).

To consider whether to impose consequenceson Smart One for its apparent non-compliancewith Commission requirements.

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

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




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

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

*PSC-14-17-00017-P . . . . . . . . . . . . exempt Petition for Full-Scale Deployment of AMI andto Establish an AMI Surcharge.

To consider the petition for Full-ScaleDeployment of AMI and to Establish an AMISurcharge.

*PSC-18-17-00024-P . . . . . . . . . . . . exempt A petition for rehearing or reconsideration ofthe Order Addressing Public PolicyTransmission Need for AC TransmissionUpgrades

To determine whether Public PolicyTransmission Need/Public Policy Requirementscontinue to exist.

*PSC-18-17-00026-P . . . . . . . . . . . . exempt Revisions to the Dynamic Load Managementsurcharge.

To consider revisions to the Dynamic LoadManagement surcharge.

*PSC-19-17-00004-P . . . . . . . . . . . . exempt NYAW’s request to defer and amortize, forfuture rate recognition, pension settlementpayout losses incurred in 2016.

Consideration of NYAW’s petition to defer andamortize, for future rate recognition, pensionpayour losses incurred in 2016.

*PSC-20-17-00008-P . . . . . . . . . . . . exempt Compressed natural gas as a motor fuel fordiesel fueled vehicles.

To consider a report filed by National Grid NYregarding the potential for adoption ofcompressed natural gas as a motor fuel.



72


*PSC-20-17-00010-P . . . . . . . . . . . . exempt Compressed natural gas as a motor fuel fordiesel fueled vehicles.

To consider a report filed by National Gridregarding the potential for adoption ofcompressed natural gas as a motor fuel.

*PSC-21-17-00013-P . . . . . . . . . . . . exempt The establishment and implementation ofEarnings Adjustment Mechanisms.

To consider the establishment andimplementation of Earnings AdjustmentMechanisms.

*PSC-21-17-00018-P . . . . . . . . . . . . exempt Proposed agreement for the provision ofwater service by Saratoga Water Services,Inc.

To consider a waiver and approval of terms ofa service agreement.

*PSC-22-17-00004-P . . . . . . . . . . . . exempt Financial incentives to create customersavings and develop market-enabling tools,with a focus on outcomes and incentives

To consider the proposed InterconnectionSurvey Process and Earnings AdjustmentMechanisms

*PSC-23-17-00022-P . . . . . . . . . . . . exempt Changes in regulation of ESCOs, includingrestrictions on or prohibitions of marketing oroffering certain products or services.


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

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

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

*PSC-34-17-00011-P . . . . . . . . . . . . exempt Waiver to permit Energy Cooperative ofAmerica to serve low-income customers

To consider the petition for a waiver

*PSC-37-17-00005-P . . . . . . . . . . . . exempt Financial incentives to create customersavings and develop market-enabling tools,with a focus on outcomes and incentives.

To consider the revised Interconnection SurveyProcess and Earnings AdjustmentMechanisms.

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

*PSC-39-17-00009-P . . . . . . . . . . . . exempt Whether a proposed agreement for theprovision of water service by Saratoga WaterServices, Inc. is in the public interest.

To consider the terms of a service agreementand waiver.

*PSC-39-17-00011-P . . . . . . . . . . . . exempt Whether to direct New York State Electric &Gas to complete electric facility upgrades atno charge to Hanehan.

To determine financial responsibility betweenNYSEG and Hanehan for the electric serviceupgrades to Hanehan.

*PSC-40-17-00006-P . . . . . . . . . . . . exempt The aggregation of electric service for theEmpire State Plaza and the Sheridan AvenueSteam Plant

To consider a waiver of National Grid’s tariffprovision requiring all electric delivery points tobe on the same premises

*PSC-42-17-00010-P . . . . . . . . . . . . exempt Petition for rehearing of negative revenueadjustment and contents of annualPerformance Report.

To consider NFGD’s petition for rehearing.

*PSC-46-17-00013-P . . . . . . . . . . . . exempt Annual Reconciliation of Gas Expenses andGas Cost Recoveries

To consider filings of LDCs and municipalitiesregarding their Annual Reconciliation of GasExpenses and Gas Cost Recoveries



73


*PSC-48-17-00015-P . . . . . . . . . . . . exempt Low Income customer options for affordablewater bills.

To consider the Low Income Bill Discountand/or Energy Efficiency Rebate Programs.

*PSC-50-17-00017-P . . . . . . . . . . . . exempt New Wave Energy Corp.’s petition forrehearing.

To consider the petition for rehearing filed byNew Wave Energy Corp.

*PSC-50-17-00018-P . . . . . . . . . . . . exempt Application of the Public Service Law to DERsuppliers.

To determine the appropriate regulatoryframework for DER suppliers.

*PSC-50-17-00019-P . . . . . . . . . . . . exempt Transfer of utility property. To consider the transfer of utility property.

*PSC-50-17-00021-P . . . . . . . . . . . . exempt Disposition of tax refunds and other relatedmatters.

To consider the disposition of tax refunds andother related matters.

*PSC-50-17-00022-P . . . . . . . . . . . . exempt Data protection rules for DER suppliers. To determine the appropriate regulatoryframework for DER suppliers.

*PSC-51-17-00007-P . . . . . . . . . . . . exempt Opt-out tariff regarding installation ofadvanced digital metering devices in CentralHudson’s service territory.

To determine the appropriate opt-out provisionsfor Central Hudson customers regardingadvanced digital metering devices.

*PSC-51-17-00011-P . . . . . . . . . . . . exempt Petition for recovery of certain costs related tothe implementation of a Non-Wires AlternativeProject.

To consider Con Edison’s petition for therecovery of costs for implementing the JFKProject.

*PSC-51-17-00015-P . . . . . . . . . . . . exempt Opt-out tariff regarding installation ofadvanced digital metering devices in CentralHudson’s service territory.

To determine the appropriate opt-out provisionsfor Central Hudson customers regardingadvanced digital metering devices.

*PSC-52-17-00014-P . . . . . . . . . . . . exempt Oversight and support of Clean Energy Fundand related NYSERDA activities

To support and monitor the deployment ofclean energy technology

PSC-04-18-00005-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To consider the notice of intent of Montante/Morgan Gates Circle LLC to submeterelectricity.

PSC-05-18-00004-P . . . . . . . . . . . . exempt Lexington Power’s ZEC complianceobligation.

To promote and maintain renewable and zero-emission electric energy resources.

PSC-06-18-00012-P . . . . . . . . . . . . exempt To consider further proposed amendments tothe original criteria to grandfatheringestablished in the Transition Plan

To modify grandfathering criteria

PSC-06-18-00017-P . . . . . . . . . . . . exempt Merger of NYAW and Whitlock Farms WaterCorp.

To consider the merger of NYAW and WhitlockFarms Water Company into a single corporateentity

PSC-07-18-00015-P . . . . . . . . . . . . exempt The accuracy and reasonableness of NationalGrid’s billing for certain interconnectionupgrades.

To consider AEC’s petition requestingresolution of their billing dispute with NationalGrid.

PSC-11-18-00004-P . . . . . . . . . . . . exempt New York State Lifeline Program. To consider TracFone’s petition seekingapproval to participate in Lifeline.

PSC-13-18-00014-P . . . . . . . . . . . . exempt Commission oversight of distributed energyresource suppliers

To protect customers and utilities in the receiptof services from distributed energy resourcesuppliers

PSC-13-18-00015-P . . . . . . . . . . . . exempt Eligibility of an ESCO to market to and enrollresidential customers.

To consider whether Astral should be allowedto market to and enroll residential customersfollowing a suspension.



74


PSC-13-18-00023-P . . . . . . . . . . . . exempt Reconciliation of property taxes. To consider NYAW’s request to reconcileproperty taxes.

PSC-14-18-00006-P . . . . . . . . . . . . exempt Petition for abandonment To consider the abandonment of Willsboro BayWater Company’s water system

PSC-15-18-00008-P . . . . . . . . . . . . exempt Amendments to the Uniform BusinessPractices.

Consideration of revised consumer protectionsand business practices of energy servicecompanies.

PSC-17-18-00010-P . . . . . . . . . . . . exempt Petition for use of gas metering equipment. To ensure that consumer bills are based onaccurate measurements of gas usage.

PSC-18-18-00009-P . . . . . . . . . . . . exempt Transfer of control of Keene Valley Video Inc. To ensure performance in accordance withapplicable cable laws, regulations andstandards and the public interest

PSC-19-18-00005-P . . . . . . . . . . . . exempt Whether Flanders’ can market to and enrollnew customers.

To protect customers by enforcing compliancewith the Uniform Business Practices.

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

To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences

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

To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences

PSC-21-18-00044-P . . . . . . . . . . . . exempt Electric ratemaking policy for Direct CurrentFast Charging (DCFC) facilities used torecharge electric vehicles.

To ensure just and reasonable rates in thecontext of charging electric vehicles.

PSC-22-18-00007-P . . . . . . . . . . . . exempt Intent to submeter electricity To ensure adequate submetering equipmentand consumer protections are in place

PSC-22-18-00008-P . . . . . . . . . . . . exempt Intent to submeter electricity To ensure adequate submetering equipmentand consumer protections are in place

PSC-23-18-00006-P . . . . . . . . . . . . exempt Whether to impose consequences on Aspirityfor its non-compliance with Commissionrequirements.

To ensure the provision of safe and adequateenergy service at just and reasonable rates.

PSC-23-18-00010-P . . . . . . . . . . . . exempt Community Distributed Generation projectrules.

To ensure just and reasonable rates, includingcompensation, for distributed energy resources.

PSC-23-18-00014-P . . . . . . . . . . . . exempt Proposed major rate increase ofapproximately $11.7 million to cover itsFranklin and St. Lawrence Countiesexpansion project.

To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences.

PSC-24-18-00013-P . . . . . . . . . . . . exempt Implementation of program rules forRenewable Energy Standard and ZECrequirements.

To promote and maintain renewable and zero-emission electric energy resources.

PSC-24-18-00015-P . . . . . . . . . . . . exempt To determine the use of investments to bemade in lieu of a penalty action.

Commission oversight of electric and gasdistribution companies and safe and adequateservice.

PSC-26-18-00015-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To ensure adequate submetering equipmentand consumer protections.



75


PSC-28-18-00004-P . . . . . . . . . . . . exempt The 2017 Outcome-based EAM CollaborativeReport.

To ensure the establishment of fair andequitable metrics, targets and associatedincentive levels.

PSC-28-18-00005-P . . . . . . . . . . . . exempt Petition to submeter electricity. To ensure adequate submetering equipmentand energy efficiency protections are in place.

PSC-28-18-00011-P . . . . . . . . . . . . exempt Storm Hardening Collaborative Report. To ensure safe and adequate gas service.

PSC-28-18-00012-P . . . . . . . . . . . . exempt Transfer of certain street lighting facilities. To transfer street lighting facilities for thebenefit of ratepayers.

PSC-29-18-00008-P . . . . . . . . . . . . exempt Participation in Targeted Accessibility Fund To encourage enhanced services for low-income consumers

PSC-29-18-00009-P . . . . . . . . . . . . exempt Overvaluing real property tax expenserecovery in water rates

To prevent unjust and unreasonable waterrates

PSC-30-18-00004-P . . . . . . . . . . . . exempt Ownership of St. Lawrence Gas Company,Inc.

To consider whether a proposed transfer ofownership interests in St. Lawrence GasCompany, Inc. is in the public interest.

PSC-30-18-00005-P . . . . . . . . . . . . exempt Petition for use of gas metering equipment. To ensure that consumer bills are based onaccurate measurements of gas usage.

PSC-30-18-00006-P . . . . . . . . . . . . exempt Petition for use of electric meteringequipment.

To ensure that consumer bills are based onaccurate measurements of electric usage.

PSC-31-18-00011-P . . . . . . . . . . . . exempt Petition for the use of gas meteringequipment.

To ensure that consumer bills are based onaccurate measurements of gas usage.

PSC-31-18-00012-P . . . . . . . . . . . . exempt Petition to submeter electricity. To ensure adequate submetering equipmentand consumer protections are in place.

PSC-32-18-00014-P . . . . . . . . . . . . exempt Petition for clarification and rehearing of theRate Order.

To encourage energy efficiency measures andright of way maintenance and to ensure justand reasonable rates.

PSC-34-18-00011-P . . . . . . . . . . . . exempt Compensation of distributed energyresources.


PSC-34-18-00015-P . . . . . . . . . . . . exempt Petition to submeter electricity. To ensure adequate submetering equipmentand energy efficiency protections are in place.

PSC-34-18-00016-P . . . . . . . . . . . . exempt Deferral of pre-staging and mobilization stormcosts.

To ensure just and reasonable rates forratepayers and utility recovery of unexpected,prudently incurred costs.

PSC-35-18-00003-P . . . . . . . . . . . . exempt Con Edison’s 2018 DSIP and BCA HandbookUpdate.

To continue Con Edison’s transition to amodern utility serving as a Distributed SystemPlatform Provider.

PSC-35-18-00005-P . . . . . . . . . . . . exempt NYSEG and RG&E’s 2018 DSIP and BCAHandbook Update.

To continue NYSEG and RG&E’s transition tomodern utilities acting as Distributed SystemPlatform Providers.

PSC-35-18-00006-P . . . . . . . . . . . . exempt National Grid’s 2018 DSIP and BCAHandbook Update.

To continue National Grid’s transition to amodern utility serving as a Distributed SystemPlatform Provider.



76


PSC-35-18-00008-P . . . . . . . . . . . . exempt Central Hudson’s 2018 DSIP and BCAHandbook Update.

To continue Central Hudson’s transition to amodern utility serving as a Distributed SystemPlatform Provider.


PSC-35-18-00010-P . . . . . . . . . . . . exempt O&R’s 2018 DSIP and BCA HandbookUpdate.

To continue O&R’s transition to a modern utilityacting as a Distributed System PlatformProvider.

PSC-36-18-00005-P . . . . . . . . . . . . exempt Permanent operator of gas wells and certaingas facilities.

To resolve ownership of overlapping gasfacilities associated with wells transferred totwo gas companies.

PSC-37-18-00003-P . . . . . . . . . . . . exempt Service Classification No. 7 - Sale of StandbyService to Customers with On-SiteGeneration Facilities.

To expand eligibility to customers acrossmultiple buildings connected to a generatingfacility by a private thermal loop.

PSC-37-18-00005-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity andwaiver request.

To ensure adequate submetering equipment,consumer protections and energy efficiencyprotections are in place.

PSC-38-18-00001-P . . . . . . . . . . . . exempt Waiver request of Opinion No. 76-17 and 16NYCRR Part 96.

To consider not requiring living units of thefacility to be metered.

PSC-39-18-00004-P . . . . . . . . . . . . exempt To establish Rider J - Smart Home Rate. To provide residential customers theopportunity to better manage their energycosts.

PSC-39-18-00005-P . . . . . . . . . . . . exempt Participation in New York State LifelineProgram.

To encourage enhanced services for low-income customers.

PSC-39-18-00006-P . . . . . . . . . . . . exempt To establish Rider AB - Smart Home Rate. To provide residential customers theopportunity to better manage their energycosts.

PSC-39-18-00007-P . . . . . . . . . . . . exempt To implement enhanced safety pilot programsand energy efficiency initiatives.

To provide customers with enhanced safetyand environmental benefits.

PSC-40-18-00013-P . . . . . . . . . . . . exempt Commission programs for meter serviceproviders and meter data service providers.

To prevent confusion from maintainingunnecessary programs.

PSC-40-18-00014-P . . . . . . . . . . . . exempt Annual Reconciliation of Gas Expenses andGas Cost Recoveries.

To review the gas utilities’ reconciliation of GasExpenses and Gas Cost Recoveries for 2018.

PSC-40-18-00015-P . . . . . . . . . . . . exempt Proposed rate filing to increase annualrevenues.


PSC-40-18-00016-P . . . . . . . . . . . . exempt Proposed transfer of the Company’s assets tothe Town and dissolution of the Company.

To determine if transfer of the water system tothe Town of Delaware is in the public interest.

PSC-40-18-00018-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRSections 86.3(a)(2), (b)(2) and 88.4(a)(4).

To ensure that adequate maps and systemstudies support the application.

PSC-40-18-00019-P . . . . . . . . . . . . exempt Issuance of long-term debt securities. To provide funding for safety and reliabilitycapital projects, maturing debt, and refinancingvariable rate to fixed rate debt.



77


PSC-40-18-00020-P . . . . . . . . . . . . exempt Issuance of long-term debt securities. To provide funding for safety and reliabilitycapital projects, maturing debt, and refinancingvariable rate to fixed rate debt.

PSC-41-18-00003-P . . . . . . . . . . . . exempt Initial Tariff Schedule, P.S.C. No. 1 - Waterand waiver of rate setting authority

To provide the rates, rules, and regulationsunder which water service will be provided tothe customers of the system

PSC-41-18-00004-P . . . . . . . . . . . . exempt Internal reorganization and stock transfer To determine if the proposed reorganizationand stock transfer is in the public interest andbeneficial to ratepayers

PSC-41-18-00005-P . . . . . . . . . . . . exempt Authorization to enter into a long-term loanagreement

For system improvements and full repaymentof existing loan

PSC-42-18-00009-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity. To ensure adequate submetering equipmentand consumer protections are in place.

PSC-42-18-00010-P . . . . . . . . . . . . exempt Rehearing and/or reconsideration of the TaxCharges Rate Treatment Order.

To determine if the Commission was correct torequire small telecom utilities to defer ongoingtax savings.

PSC-42-18-00011-P . . . . . . . . . . . . exempt Voluntary residential beneficial electrificationrate design.

To provide efficient rate design for beneficialtechnologies in New York State that isequitable for all residential customers.


PSC-42-18-00013-P . . . . . . . . . . . . exempt Petition for clarification and rehearing of theSmart Solutions Program Order.

To address the increased demand for naturalgas in the Con Edison’s service territory andthe limited pipeline capacity.

PSC-42-18-00014-P . . . . . . . . . . . . exempt The disposition of a refund from NYPA to theVillage of Solvay of $733,000 for overchargefor electricity over several years.

To determine whether the proposed dispositionof the NYPA refund is just and reasonable.

PSC-44-18-00008-P . . . . . . . . . . . . exempt The New York State Reliability Council’srevisions to its rules and measurements.

To adopt revisions to various rules andmeasurements of the New York StateReliability Council.

PSC-44-18-00009-P . . . . . . . . . . . . exempt Water rates and charges. To shift fire protection costs from the Town toits residents’ water bills.

PSC-44-18-00010-P . . . . . . . . . . . . exempt Interruptible/Temperature Controlled gasservice Collaborative report recommendationsand tariff changes.

To consider the terms and conditionsapplicable to interruptible and temperaturecontrolled gas service.

PSC-44-18-00011-P . . . . . . . . . . . . exempt Modifications to electric supply reconciliationmechanism.

To improve the reconciliation of supply-relatedcosts for hourly-priced customers.

PSC-44-18-00012-P . . . . . . . . . . . . exempt Petition for approval of gas meteringequipment.

To ensure that customer bills are based onaccurate measurements of gas usage.



PSC-44-18-00014-P . . . . . . . . . . . . exempt Waiver of PSC regulations, 16 NYCRRsections 86.3(a)(1), (a)(2) and (b)(2).

To consider a waiver of certain regulationsrelating to the content of an application fortransmission line siting.



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PSC-44-18-00015-P . . . . . . . . . . . . exempt Con Edison’s petition for the Non-PipelineSolutions Portfolio and associated budget.

To pursue projects that continue servicereliability and meet customer energy needswhile aiding greenhouse gas reduction goals.



PSC-45-18-00003-P . . . . . . . . . . . . exempt Eliminating a financial incentive for utilityperformance, the interconnection earningsadjustment mechanism

To consider encouraging utility performancewhile creating customer savings

PSC-45-18-00004-P . . . . . . . . . . . . exempt Proposed transfer of two natural gas pipelineoperating companies, and for lightened andincidental regulation

To consider transfer if there is no market poweror ratepayer harm, incidental regulation, andcontinuing lightened regulation

PSC-45-18-00005-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity andwaiver of energy audit

To ensure adequate submetering equipment,consumer protections and energy efficiencyprotections are in place

PSC-46-18-00005-P . . . . . . . . . . . . exempt Proposed rate filing to increase annualrevenues.


PSC-46-18-00013-EP . . . . . . . . . . . . exempt Acquisition of cable television assets andfranchises.

To ensure continued service to HamiltonCounty Cable customers.

PSC-47-18-00004-P . . . . . . . . . . . . exempt Ampersand Cranberry Lake Hydro LLC’s500kw hydroelectric facility in the Town ofClifton, New York.

To promote and maintain renewable electricenergy resources.

PSC-47-18-00005-P . . . . . . . . . . . . exempt Waiver of certain rules pertaining to cabletelevision franchise.

To determine whether to waive any rules andregulations.

PSC-47-18-00006-P . . . . . . . . . . . . exempt Modification of NMPC Estimating Metricproject list.

To reflect an appropriate Estimating Metricproject list for NMPC.


PSC-47-18-00008-P . . . . . . . . . . . . exempt Proposed Public Policy Transmission Needs/Public Policy Requirements, as defined underthe NYISO tariff.

To identify any proposed Public PolicyTransmission Needs/Public PolicyRequirements for referral to the NYISO.

PSC-48-18-00005-P . . . . . . . . . . . . exempt Purchase of gas safety equipment forWestchester County fire departments

To provide Westchester County firedepartments gas safety equipment they statethey need to respond to odor reports

PSC-49-18-00006-EP . . . . . . . . . . . . exempt Appointment of a temporary operator. To determine if a temporary operator is neededto ensure the safe and adequate provision ofwater service.

PSC-50-18-00002-P . . . . . . . . . . . . exempt Waiver of tariff provision To determine if it is the public interest to waiveindividual metering requirements for theplanned senior housing

PSC-50-18-00003-P . . . . . . . . . . . . exempt Proposed transfer of interests in an electricgenerating facility and dedicated natural gaspipeline

To consider the transfer of generating facilityand dedicated gas pipeline if there is nomarket power or ratepayer harm

PSC-50-18-00004-P . . . . . . . . . . . . exempt Sale of street lighting facilities to the City ofAlbany

To determine whether to approve the transferof street lighting facilities in the City of Albany



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PSC-50-18-00005-P . . . . . . . . . . . . exempt Establishment of the regulatory regimeapplicable to an approximately 100 MWelectric generating facility

To ensure appropriate regulation of a newelectric corporation

PSC-51-18-00011-P . . . . . . . . . . . . exempt The 2018 Outcome-Based EAM CollaborativeReport.

To ensure the establishment of fair andequitable metrics, targets and associatedincentive levels.

PSC-51-18-00012-P . . . . . . . . . . . . exempt Petition for water metering equipment. To ensure that customer bills are based onaccurate measurements of water usage.


PSC-51-18-00014-P . . . . . . . . . . . . exempt Consideration for the use of the expired CDPfunds.

To provide potential customers affordableaccess to natural gas service.

PSC-52-18-00006-P . . . . . . . . . . . . exempt Standby Service Rates and Buyback ServiceRates.


PSC-52-18-00007-P . . . . . . . . . . . . exempt Transfer of certain street lighting facilities. To consider the transfer of certain streetlighting facilities located in the City ofCanandaigua.

PSC-52-18-00008-P . . . . . . . . . . . . exempt Minor rate filing. To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences.



PSC-52-18-00010-P . . . . . . . . . . . . exempt Installed Reserve Margin. To ensure adequate levels of InstalledCapacity.

PSC-52-18-00011-P . . . . . . . . . . . . exempt LED Street Lighting. To provide customers with more efficient, lowercost LED street lighting options.

PSC-52-18-00012-P . . . . . . . . . . . . exempt Minor rate filing. To ensure safe and adequate service at justand reasonable rates charged to customerswithout undue preferences.



PSC-01-19-00003-P . . . . . . . . . . . . exempt Proposed revisions to RG&E’s Dynamic LoadManagement Programs.

More efficient demand response programs togain operational efficiency and shave peakdemand.

PSC-01-19-00004-P . . . . . . . . . . . . exempt Advanced Metering Infrastructure. To determine whether Niagara Mohawk PowerCorporation d/b/a National Grid shouldimplement advanced metering infrastructure.

PSC-01-19-00005-P . . . . . . . . . . . . exempt Proposed revisions to O&R’s Dynamic LoadManagement Programs.


PSC-01-19-00006-P . . . . . . . . . . . . exempt Proposed revisions to NYSEG’s DynamicLoad Management Programs.




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PSC-01-19-00007-P . . . . . . . . . . . . exempt Northbrook Lyons Falls LLC’s 3 hydrofacilities with a combined capacity of 8.59MW located in Mill, Gouldtown, andKosterville.

To promote and maintain renewable electricenergy resources.

PSC-01-19-00008-P . . . . . . . . . . . . exempt Proposed revisions to Central Hudson’sDynamic Load Management Programs.


PSC-01-19-00009-P . . . . . . . . . . . . exempt Waiver of main extension rules, serviceterritory extension and agreement forprovision of service.

Whether a proposed agreement for theprovision of water service by Saratoga WaterServices, Inc. is in the public interest.


PSC-01-19-00011-P . . . . . . . . . . . . exempt Proposed revisions to National Grid’sDynamic Load Management Programs.


PSC-01-19-00012-P . . . . . . . . . . . . exempt National Grid’s electric EconomicDevelopment Programs.

To consider modifications to National Grid’seconomic development assistance programs.

PSC-01-19-00013-P . . . . . . . . . . . . exempt Order of the Commission related to caller IDunblocking.

To require telephone companies to unblockcaller ID on calls placed to the 311 municipalcall center in Suffolk County.

PSC-01-19-00014-P . . . . . . . . . . . . exempt To modify provisions for accepting new oradditional gas service applications when thereis inadequate supply or capacity.

To continue to provide safe and reliable serviceto existing customers.





PSC-02-19-00009-P . . . . . . . . . . . . exempt The 2018 Electric Emergency ResponsePlans for electric utilities.

To consider the adequacy of the 2018 ElectricEmergency Response Plans.

PSC-02-19-00010-P . . . . . . . . . . . . exempt Transfer of street lighting facilities to theVillage of Newark.

To consider whether the transfer of certainstreet lighting facilities to the Village of Newarkis in the public interest.


PSC-02-19-00012-P . . . . . . . . . . . . exempt Unspent settlement funds to be used forfuture gas safety programs.


PSC-02-19-00013-P . . . . . . . . . . . . exempt Capacity Release Program. To ensure safe and reliable service forcustomers at just and reasonable rates.

PSC-02-19-00014-P . . . . . . . . . . . . exempt Petition for use of electric meteringequipment.

To ensure that consumer bills are based onaccurate measurements of electric usage.

PSC-02-19-00015-P . . . . . . . . . . . . exempt Limited waiver of remote net metering rule. To address issues related to certaindevelopers/customers with two sites in differentload zones.



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PSC-03-19-00002-P . . . . . . . . . . . . exempt DPS Staff White Paper for who must betrained in 16 NYCRR Part 753 requirementsand how the Commission will approvetrainings.

To reduce damage to underground utilityfacilities by requiring certain training andapproving training curricula.


PSC-04-19-00004-P . . . . . . . . . . . . exempt Con Edison’s petition for the Gas InnovationProgram and associated budget.

To pursue programs that continue servicereliability and meet customer energy needswhile aiding greenhouse gas reduction goals.

PSC-04-19-00005-P . . . . . . . . . . . . exempt The request of Cross-Sound Cable Company,LLC and Cross-Sound Cable Company (NewYork) LLC to increase authorizedindebtedness.

To consider a petition to increase authorizedindebtedness.

PSC-04-19-00006-P . . . . . . . . . . . . exempt Residential meter reading. To establish provisions for a special meter readfor when service is discontinued to residentialcustomers.

PSC-04-19-00007-P . . . . . . . . . . . . exempt Minor rate filing. To increase authorized indebtedness to providefunds for working capital and operations andmaintenance.




PSC-04-19-00011-P . . . . . . . . . . . . exempt Update of revenue targets. To ensure NYAW’s rates are just andreasonable and accurately reflect the neededrevenues.

PSC-04-19-00012-P . . . . . . . . . . . . exempt Residential meter reading. To remove notice requirement for a specialmeter read for the discontinuation of service toresidential customers.







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PSC-04-19-00025-P . . . . . . . . . . . . exempt Customer Consent to Contact. To include a new provision establishingcustomer consent for the utility to contact themelectronically about utility service.




PSC-05-19-00009-P . . . . . . . . . . . . exempt Transfer of street lighting facilities To consider whether the transfer of certainstreet lighting facilities is in the public interest

PSC-05-19-00010-P . . . . . . . . . . . . exempt Waiver of certain rules, e.g.5-year buildoutand 7-day installation requirements pertainingto cable television franchise

To determine whether to waive any rules andregulations

PSC-05-19-00011-P . . . . . . . . . . . . exempt Notice of intent to submeter electricity To ensure adequate submetering equipmentand consumer protections are in place

PSC-05-19-00012-P . . . . . . . . . . . . exempt Waiver of certain rules, e.g.5-year buildoutand 7-day installation requirements pertainingto cable television franchise

To determine whether to waive any rules andregulations



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PSC-05-19-00013-P . . . . . . . . . . . . exempt Issuance of long-term debt securities To provide funding to reimburse the Company’streasury for moneys expended for capitalpurposes

PSC-05-19-00014-P . . . . . . . . . . . . exempt Transfer of natural gas pipeline and requestfor lightened and incidental regulation

To grant lightened and incidental regulation toSABIC Innovative Plastics, LLC and approvethe transfer of a gas pipeline

PSC-05-19-00015-P . . . . . . . . . . . . exempt Transfer of street lighting facilities to the Cityof Cortland

To determine whether to transfer street lightingfacilities located in the City of Cortland

STATE UNIVERSITY OF NEW YORK

SUN-44-18-00003-P . . . . . . . . . . . 10/31/19 Proposed amendments to the traffic andparking regulations at State UniversityCollege at Oneonta

Amend existing regulations to update trafficand parking regulations

SUN-49-18-00008-P . . . . . . . . . . . 12/05/19 University Faculty Senate To clarify that the vice-president/secretary ofthe University Faculty Senate (‘‘UFS’’) shall bea voting member of the UFS

TAXATION AND FINANCE, DEPARTMENT OF

TAF-48-18-00003-P . . . . . . . . . . . . exempt Fuel use tax on motor fuel and diesel motorfuel and the art. 13-A carrier tax jointlyadministered therewith

To set the sales tax component and thecomposite rate per gallon for the periodJanuary 1, 2019 through March 31, 2019

TAF-48-18-00004-EP . . . . . . . . . . . 11/28/19 Metropolitan Transportation Business TaxSurcharge

To provide metropolitan transportation businesstax rate for tax year 2019

TEMPORARY AND DISABILITY ASSISTANCE, OFFICE OF

TDA-49-18-00009-EP . . . . . . . . . . . 12/05/19 Outreach, Homeless Services Plans andOutcome Reporting

To promote effective planning and strategic useof resources by social service districts

TRANSPORTATION, DEPARTMENT OF

TRN-47-18-00001-P . . . . . . . . . . . 11/21/19 Regulation of transportation of hazardousmaterials by commercial motor carriers inNew York State

Corrects omissions in State regulationsassociated with Title 49 CFR provisions relatedto transport of hazardous materials

TRN-03-19-00001-EP . . . . . . . . . . . 01/16/20 Regulation of commercial motor carriers inNew York State.

The rule making updates Title 49 CFRprovisions incorporated by reference pursuantto regulation of commercial motor carriers.

TRIBOROUGH BRIDGE AND TUNNEL AUTHORITY

TBA-49-18-00011-P . . . . . . . . . . . . exempt A proposal to establish a new crossing chargeschedule for use of bridges and tunnelsoperated by TBTA

A proposal to raise additional revenue

WORKERS’ COMPENSATION BOARD

*WCB-52-17-00021-RP . . . . . . . . . . . 06/25/19 Establishment of Prescription Drug Formulary Establishment of a drug formulary that includeshigh-quality and cost-effective preauthorizedmedication



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WORKERS’ COMPENSATION BOARD

WCB-04-19-00029-P . . . . . . . . . . . 01/23/20 Fees for emergency room, rural areaoutpatient clinics, hospital based mentalhealth clinics and private psychiatric hospitals

Update and incorporate fees for medicalservices provided to injured workers



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REGULATORYAGENDA

Office of Children and Family Services

Pursuant to section 202-d of the State Administrative Procedure Act(SAPA), the Office of Children and Family Services (OCFS) isrequired to publish a regulatory agenda for those regulations it isconsidering for publication in the State Register. Set forth below is anagenda for 2019. OCFS reserves the right to add, delete or modify,without further notice, except as required by SAPA, any item or infor-mation presented herein as relating to its 2019 Regulatory Agenda.Section 202-d of SAPA does not preclude OCFS from proposing foradoption a regulation that is not described in this agenda, nor does itrequire OCFS to propose for adoption a regulation that is described inthis agenda.

Amendment of Parts 404, 413, 414, 415, 416, 417, 418-1 and 418-2of Title 18 of NYCRR to clarify and amend specific existing regula-tory citations, correct spelling and numbering issues, add neededhealth and safety requirements, rescind unnecessary regulations, andconform regulations that are inconsistent with external regulatory andstatutory requirements. A regulatory flexibility analysis and rural areaflexibility analysis may be required.

Amendment of Subpart 180-1 of Title 9 of the NYCRR regardinguniform standards and procedures for the operation of secure deten-tion facilities. A regulatory flexibility analysis and rural area flexibilityanalysis may be required.

Amendment of Subpart 180-2 of Title 9 of the NYCRR regardinguniform standards and procedures for the operation of non-securedetention facilities. A regulatory flexibility analysis and rural areaflexibility analysis may be required.

Amendment of Part 182 of Title 9 of the NYCRR regarding the ap-proval, certification and operation of runaway and homeless youthresidential programs. A regulatory flexibility analysis and rural areaflexibility analysis may be required.

Any questions, comments or requests for information concerningthe items listed in this agenda may be referred to Leslie Robinson,Senior Attorney, Office of Children and Family Services, 52 Washing-ton Street, Rensselaer, NY 12144, (518) 474-3333, e-mail:[email protected]. This regulatory agenda may also be ac-cessed on OCFS’ website at http://ocfs.ny.gov/main/legal/Regulatory/.


Pursuant to State Administrative Procedure Act (“SAPA”) Section202-d, the following Regulatory Agenda is a list of the regulatory ad-ditions and amendments to Titles 3, 11, and 23 of the NYCRR that theNew York State Department of Financial Services (“Department”) ispresently considering proposing during 2019. Some of these itemswere previously published in the January 2018 Regulatory Agenda.Items that have already been published in the State Register as“proposed” actions are not included on the list. The Department’sregulatory plans are subject to change, and the Department reservesthe right to add to, delete from, or modify items in the RegulatoryAgenda without further notice.

This notice also is intended to provide small businesses, localgovernments, and public and private interests in rural areas with the

opportunity to participate in the rule making process, as required bySections 202-b and 202-bb of SAPA.

I. Insurance Regulations

For inquiries about a specific item, please contact the person identi-fied in the item. For general inquiries about the Insurance Regulationsincluded in this Regulatory Agenda, or to obtain copies of current In-surance Regulations, please contact:Sally GeiselSupervising AttorneyNew York State Department of Financial ServicesOne State StreetNew York, NY 10004Telephone Number: (212) 480-7608

1. Summary description of proposal: Amendment of 11 NYCRR390 (Service Contracts) (Insurance Regulation 155) to conform itsprovisions to later-enacted amendments to the service contract lawand to strengthen consumer and financial protection provisions in theregulation. Agency contact: Barbara A. Kluger, Principal Attorney,Office of General Counsel – (212) 480- 7211.

2. Summary description of proposal: Adoption of a new Part 5 to 11NYCRR (Insurance Regulation 195) to implement the authority of theSuperintendent of Financial Services under Insurance Law Section316 to require an insurer or other person or entity making a filing orsubmission with the Superintendent to do so by electronic means, un-less the insurer or other person or entity applies for, and the Superin-tendent grants, an exemption from the electronic filing requirement.Agency contact: Joana Lucashuk, Supervising Attorney, Office ofGeneral Counsel – (212) 480-2125.

3. Summary description of proposal: Amendment of 11 NYCRR 82(Enterprise Risk Management and Own Risk and Solvency Assess-ment) (Insurance Regulation 203) to permit the Superintendent ofFinancial Services to act as group-wide supervisor for an internation-ally active insurance group. Agency contact: Joana Lucashuk,Supervising Attorney, Office of General Counsel – (212) 480-2125.

4. Summary description of proposal: Amendment of 11 NYCRR 25(Public Adjusters) (Insurance Regulation 10) to address amendmentsmade to the Insurance Law by Chapter 546 of the Laws of 2013.Agency contact: Joana Lucashuk, Supervising Attorney, Office ofGeneral Counsel – (212) 480-2125.

5. Summary description of proposal: Amendment of 11 NYCRR 82(Enterprise Risk Management and Own Risk and Solvency Assess-ment) (Insurance Regulation 203) to require a holding company andcertain domestic insurers to describe their enterprise risk managementfunctions in their enterprise risk reports and to clarify certain language.Agency contact: Joana Lucashuk, Supervising Attorney, Office ofGeneral Counsel – (212) 480-2125.

6. Summary description of proposal: Addition of a new subpart65-6 to 11 NYCRR (Insurance Regulation 65-F), amendment of 11NYCRR 65 (Regulations Implementing the Comprehensive MotorVehicle Insurance Reparations Act) (Insurance Regulation 68), andamendment of 11 NYCRR 68 (Charges for Professional Health Ser-vices) (Insurance Regulation 83) to implement an alternative disputeresolution process for disputes involving claims of independent livery

87

drivers that are processed pursuant to pre-authorization proceduresand medical treatment guidelines set forth in 12 NYCRR 324, andother applicable provisions of Article 2 of the Workers’ CompensationLaw. Agency contact: Camielle A. Barclay, Associate Attorney, Officeof General Counsel – (212) 480-5299.

7. Summary description of proposal: Adoption of a new Part 90 to11 NYCRR to require an insurer to adopt a corporate governance func-tion and submit to the Superintendent of Financial Services a corporategovernance annual disclosure. Agency contact: Joana Lucashuk,Supervising Attorney, Office of General Counsel – (212) 480-2125.

8. Summary description of proposal: Amendment of 11 NYCRR 89(Audited Financial Statements) (Insurance Regulation 118) to requirean internal audit function, conform to an amendment to InsuranceLaw Section 1202, and make other technical amendments. Agencycontact: Joana Lucashuk, Supervising Attorney, Office of GeneralCounsel – (212) 480-2125.

9. Summary description of proposal: Adoption of a new Part 11 to11 NYCRR to establish standards for insurers and certain otherregulated persons regarding disaster planning, preparedness, andresponse. Agency contact: Joana Lucashuk, Supervising Attorney, Of-fice of General Counsel – (212) 480-2125.

10. Summary description of proposal: Repeal of Part 4 of 11NYCRR (Rules Governing the Procedures for Adjudicatory Proceed-ings Before the Department of Financial Services) (Insurance Regula-tions 3 and 97), in connection with the proposed adoption of a newPart 2 to 23 NYCRR establishing uniform rules governing theprocedures for adjudicatory proceedings before the Department ofFinancial Services. Agency contact: Eamon Rock, Senior Attorney,Office of General Counsel – (518) 474-4567.

11. Summary description of proposal: Amendment of 11 NYCRR216 (Unfair Claims Settlement Practices and Claim Cost ControlMeasures) (Insurance Regulation 64) to update Section 216.7 to clarifycertain provisions in the regulation regarding motor vehicle physicaldamage claims. Agency contact: Hoda Nairooz, Supervising Insur-ance Examiner, Property Bureau – (212) 480-5595.

12. Summary description of proposal: Amendment of 11 NYCRR65-4 (Arbitration) (Insurance Regulation 68-D) to amend rules relatedto both the manner in which the first party motor vehicle insurancearbitration programs are administered and the manner in which thecosts of these programs are assessed to the insurance industry. Agencycontact: Hoda Nairooz, Supervising Insurance Examiner, PropertyBureau – (212) 480-5595.

13. Summary description of proposal: Amendment of 11 NYCRR30 (Producer Compensation Transparency) (Insurance Regulation194) to incorporate more detailed consumer disclosure of producercompensation and material conflicts of interest. Agency contact: JamesRegalbuto, Deputy Superintendent for Life Insurance, (212) 480-5027.

14. Summary description of proposal: Amendment of 11 NYCRR98 (Valuation of Life Insurance Reserves) (Insurance Regulation 147)to adopt the 2017 Commissioners Standard Guaranteed Issue Mortal-ity Table (2017 CSGI). Agency contact: Amanda Fenwick, AssistantChief Life Actuary, Life Bureau – (518) 474-7929.

15. Summary description of proposal: Amendment of 11 NYCRR53 (Life and Annuity Cost Disclosure and Sales Illustrations) (Insur-ance Regulation 74) to revise and clarify the delivery, signature andcertification form requirements for life insurance sales illustrations,including electronic delivery, for policies marketed with an illustra-tion; to modify the basis used for illustrations for life insurance poli-cies with non-guaranteed elements, including universal life; to add ad-ditional requirements on the disciplined current scale underlying theillustrations; and to require additional disclosures for such policies.Agency contact: Rebecca Bollam, Associate Insurance Attorney, LifeBureau – (518) 474-4552.

16. Summary description of proposal: Amendment of 11 NYCRR50 (Separate Accounts and Separate Account Annuities) (InsuranceRegulation 47) to establish revised standards for the operation of sep-arate accounts, contract provisions, and actuarial requirements toreflect statutory changes, recent innovations in product design, andchanges in contract administration of separate account and variableannuity products. Agency contact: Peter Dumar, Chief Insurance At-torney, Life Bureau – (518) 474-4552.

17. Summary description of proposal: Adoption of a new Part to 11NYCRR to establish Principle Based Reserving standards for life in-surance companies. Agency contact: Amanda Fenwick, AssistantChief Life Actuary, Life Bureau – (518) 474-7929.

18. Summary description of proposal: Amendment of 11 NYCRR45 (Applications for Life Insurance) (Insurance Regulation 19) toexpand Insurance Regulation 19 to apply to all life insurance policyforms containing any war or travel exclusion or restriction and toimplement the amendment to Insurance Law Section 3201(c)(4) byexpanding and describing the permissible formats for the disclosurerequired by Section 3201(c)(4) to appear on the face page of policyforms containing any war or travel exclusion or restriction. Agencycontact: Rebecca Bollam, Associate Insurance Attorney, Life Bureau –(518) 474-4552.

19. Summary description of proposal: Amendment of 11 NYCRR41 (Accelerated Payment of the Death Benefit Under a Life InsurancePolicy) (Insurance Regulation 143) to address amendments made tothe Insurance Law by Chapter 300 of the Laws of 2017 regarding ac-celerated payments of death benefits pursuant to Insurance Law§ 1113(a)(1)(D) and to establish standards for accelerated paymentspursuant to Insurance Law § 1113(a)(1)(E) and (F). Agency contact:Rebecca Bollam, Associate Insurance Attorney, Life Bureau – (518)474-4552.

20. Summary description of proposal: Amendment of 11 NYCRR51 (Replacement of Life Insurance Policies and Annuity Contracts)(Insurance Regulation 60) to amend the regulation and revise theexhibits contained therein to accommodate new products, features andsales processes. Agency contact: James Regalbuto, Deputy Superin-tendent for Life Insurance, (212) 480-5027.

21. Summary description of proposal: Amendment of 11 NYCRR52 (Minimum Standards for Form, Content and Sale of Health Insur-ance, Including Standards of Full and Fair Disclosure) (InsuranceRegulation 62) to establish minimum standards for the form, content,and sale of policies and contracts of accident and fixed indemnityinsurance. Agency contact: Jason St. James, Senior Attorney (FinancialServices), Health Bureau – (518) 486-7815.

22. Summary description of proposal: Adoption of a new Part 228to 11 NYCRR (Issuance of Stop-Loss and Health Insurance Policiesto Small Groups) to establish standards relating to the activities ofinsurers issuing stop-loss and health insurance policies to small groupsin order to preserve and maintain the small group health insurancemarket in New York. Agency contact: Jon Thayer, Associate Attorney,Health Bureau – (518) 486-9088.

23. Summary description of proposal: Amendment of 11 NYCRR52 (Minimum Standards for Form, Content and Sale of Health Insur-ance, Including Standards of Full and Fair Disclosure) (InsuranceRegulation 62) to establish minimum standards for the form, content,and sale of policies and contracts of dental insurance. Agency contact:Ryan Harrison, Senior Attorney (Financial Services), Health Bureau –(518) 486-7815.

24. Summary description of proposal: Amendment of 11 NYCRR58 (Insurance Regulation 193) to conform the minimum standards forthe form, content and sale of Medicare supplement insurance to federallaw. Agency contact: Jeremy O. Bollam, Senior Attorney (FinancialServices), Health Bureau – (518) 474-8975.

25. Summary description of proposal: Amendment of 11 NYCRR350 (Insurance Regulation 140) to broaden the range of permittedinvestments for Continuing Care Retirement Communities (CCRCs),clarify the oversight of numerous financial transactions betweenCCRCs and affiliated entities, add an annual financial reportingrequirement related to the transfer or sale of capital assets, and add anew type of optional contract, the continuing care at home contract.Agency contact: Martin J. Wojcik, Associate Attorney (Financial Ser-vices), Health Bureau – (518) 474- 8975.

26. Summary description of proposal: Amendment of 11 NYCRR86 (Fraud Prevention Plans and Special Investigations Unit) (Insur-ance Regulation 95) to establish a requirement that a licensee requiredto submit a fraud prevention plan must revise its fraud prevention planto reflect changes to the holding company, the lines of business thataffect the Special Investigations Unit (“SIU”), and changes to SIU

NYS Register/January 30, 2019Regulatory Agenda

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personnel or the provider of SIU services. Also, to revise Section86.6(d) to correct the due date of the filing of the annual report fromJanuary 15 to March 15, in compliance with Insurance Law Section409(g). Agency contact: Kathleen Grogan, Principal Examiner, Crimi-nal Investigations Unit – (212) 480-5683.

27. Summary description of proposal: Amendment of 11 NYCRR86 (Fraud Prevention Plans and Special Investigations Unit) (Insur-ance Regulation 95) to modify certain fraud warning requirements forhospital, medical and dental insurance claim forms that the Superin-tendent has established as standard forms under 11 NYCRR 17 (Insur-ance Regulation 88), to facilitate the usage of standard claims formsdeveloped by the Centers for Medicare and Medicaid Services and theAmerican Dental Association. Agency contact: Kathleen Grogan,Principal Examiner, Criminal Investigations Unit – (212) 480-5683.

II. Banking Regulations

For inquiries about the Banking Regulations included in thisRegulatory Agenda, or to obtain copies of current Banking Regula-tions, please contact:Christine M. TomczakAssistant CounselNew York State Department of Financial ServicesOne State StreetNew York, NY 10004Telephone Number: (212) 709-1642

1. Summary description of proposal: Adoption of new rules toimplement the provisions of legislation addressing the mortgageforeclosure-related issues in the state, including:

(a) rules governing the registration and financial responsibilityrequirements for mortgage loan servicers (rules on this subject wereadopted on an emergency basis most recently on October 5, 2018);and

(b) rules governing the business conduct of mortgage loan servicers(rules on this subject were adopted on an emergency basis mostrecently on October 15, 2018).

2. Summary description of proposal: Amendments of Part 38 of theGeneral Regulations of the Superintendent to enhance advertising,disclosure and conduct rules for mortgage bankers and brokers and toincorporate applicable changes under federal laws and regulations.

3. Summary description of proposal: Amendment of the Superinte-ndent’s Regulations regarding the Banking Development Districtprogram.

4. Summary description of proposal: Various amendments of theSuperintendent’s Regulations regarding check cashers, licensed lend-ers, money transmitters, sales finance companies, premium financeagencies and budget planners.

5. Summary description of proposal: Amendment of Part 41 of theGeneral Regulations of the Superintendent to address threshold limits,the impact of lender paid fees, and otherwise to conform to the require-ments of Section 6-l of the Banking Law.

6. Summary description of proposal: Amendment of Part 79 of theGeneral Regulations of the Superintendent to incorporate advertisingrequirements for reverse mortgage loans and clarify the applicabilityof disclosure and filing requirements for U.S. Department of Housingand Urban Development ‘s (“HUD’s”) Home Equity ConversionMortgage program.

7. Summary description of proposal: Amendment of Parts 410 and413 of the Superintendent’s Regulations and Supervisory Procedures101, 102, 103 and 104 to eliminate certain outdated regulatory require-ments and to clarify language, the minimum licensing standards, andother requirements in connection with mortgage banker and mortgagebroker applications.

8. Summary description of proposal: Adoption of new rules clarify-ing that when financial statements submitted to the Department arerequired by law or regulation to be audited, the external auditors whoprovide the audit opinion on the statements may not also performbookkeeping services for the audited entity.

9. Summary description of proposal: Amendment of SupervisoryProcedure CB 117 in connection with the Department’s consideration

of adopting the interagency change of control application used by thefederal financial institutions regulatory agencies.

10. Summary description of proposal: Adoption of a new regulationformalizing the assessment process for persons regulated under theBanking Law. (Rules on this subject were adopted on an emergencybasis most recently on November 8, 2018.)

11. Summary description of proposal: Amendment of Part 322.7 ofthe Superintendent’s Regulations in connection with the eliminationby the Federal Reserve System of the Strength of Support Assessment(SOSA) rating for all foreign banking organizations subject to the in-teragency program for supervising the U.S. operations of foreignbanking organizations.

12. Summary description of proposal: Repeal of Supervisory Proce-dure G 111 of 3 NYCRR (Administrative Adjudication Policy andPlan; Procedural Requirements), in connection with the proposedadoption of a new Part 2 to 23 NYCRR establishing uniform rulesgoverning the procedures for adjudicatory proceedings before theDepartment of Financial Services. Agency contact: Eamon Rock,Senior Attorney, Office of General Counsel – (518) 474-4567.

III. Financial Services Regulations

For specific inquiries about the Financial Services Regulationsincluded in this Regulatory Agenda, or to obtain copies of currentFinancial Services Regulations, please contact the person identified inthe item.

1. Summary description of proposal: Repeal of Supervisory Proce-dure G 111 of 3 NYCRR (Administrative Adjudication Policy andPlan; Procedural Requirements) and Part 4 of 11 NYCRR (RulesGoverning the Procedures for Adjudicatory Proceedings Before theDepartment of Financial Services) (Insurance Regulations 3 and 97),in connection with the adoption of a new Part 2 to 23 NYCRR to es-tablish uniform rules governing the procedures for adjudicatoryproceedings before the Department of Financial Services. Agencycontact: Eamon Rock, Senior Attorney, Office of General Counsel –(518) 474-4567.

Office of Mental Health

1. Part 512 of the Regulations of the Office of Mental Health relatedto Medicaid reimbursement for those receiving Clinical Treatment atan Article 31 Clinic. This amendment will remove restriction (identi-fied below with strike through) to allow PROS participants, if desired,to receive CT from Art. 31 Clinic operated by the same agency.

2. Part 551 of the Regulations of the Office of Mental Health relatedto OMHs Prior Approval Review process. This amendment willstreamline and modernize OMH’s Prior Approval Review (PAR) rulesand processes relative to certification and construction.

3. Part 587-588 of the Regulations of the Office of Mental Healthrelated to Partial Hospitalization Programs. This amendment willupdate and clarify NYS’s expectations relative to the delivery of andbilling for services provided by Partial Hospitalization Programs(PHPs).

4. Part 590 of the Regulations of the Office of Mental Health relatedto Comprehensive Psychiatric Emergency Programs. This amendmentwill update and clarify NYS’s expectations for the delivery of servicesby Comprehensive Psychiatric Emergency Programs (CPEPs).

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RULE

REVIEWOffice of Children and Family Services

Notice of Review of Existing Regulations Pursuant to StateAdministrative Procedure Act Section 207 (Calendar Years 2004, 2009and 2016)

In accordance with section 207 of SAPA, OCFS submits the fol-lowing rules that were adopted during calendar years 2004, 2009 and2016, and invites public comment on the continuation or modificationof such rules. All section and part references are to Title 18 of the Of-ficial Compilation of the Codes, Rules and Regulations of the State ofNew York (NYCRR) unless otherwise indicated

Comments regarding these rules should be sent to the attention ofthe following agency contact: Senior Attorney, Leslie Robinson, NewYork State Office of Children and Family Services, 52 WashingtonStreet, Rensselaer, New York 12144. Email:[email protected]. Comments must be received within 60days of the date of publication of this Notice. Please reference RuleReview in the subject line of the email.

2004

1. CFS-21-03-00011-A Subsidized Child Care Services

Action taken: Amendment of Part 415, Sub-parts 358-2, 358-3 andsections 403.1, 404.1, 404.5, 404.6, 404.8, 405.1, 405.2, 405.3 and628.3

Analysis of need: This rule is necessary to establish standards forthe provision of subsidized child care services by social servicesdistricts.

Legal basis: Social Services Law, sections 20(3)(d), 410(1) and410-u through 410-z

2. CFS-30-03-0003-A Administration of Medication to Children inDay Care

Action taken: Amendment of sections 413.2, 414.11, 415.4, 416.11,417.11, 418-1.11 and 418-2.11

Analysis of need: This rule is necessary to maintain and regulate theability of the child day care providers licensed or otherwise regulatedby OCFS to administer medications to children in child day caresettings.

Legal basis: Social Services Law, sections 20(3)(d), 34(3)(f) and390; L. 2002, ch. 253; L. 2003, ch. 160; and L. 2004, ch. 20

2009

3. CFS-30-09-00007-A Child Support Requirements for LowIncome Child Care Recipients

Action taken: Amendment of section 415.3

Analysis of need: This rule is necessary to eliminate the require-ment that recipients of low income child care subsidies pursue childsupport.

Legal basis: Social Services Law, sections 20(3)(d), 410 and Title5-C

2016

4. CFS-07-16-00014-A Casework Contacts for Foster Children

Action taken: Amendment of sections 428.3, 430.11, 430.12 and441.21

Analysis of need: This rule is necessary to implement federal stan-dards which require monthly face-to-face casework contact with fos-ter children.

Legal basis: Social Services Law, sections 20(3)(d), 34(3)(f) and398(6)(a)

5. CFS-07-16-00012-A Eligibility of Successor Guardians for Kin-ship Guardianship Assistance Payments

Action taken: Amendment of sections 436.1, 436.3, 436.4, 436.5,436.6, 436.8 and 436.10

Analysis of need: This rule is necessary to enact standards for theappointment and approval of a successor guardian upon the death orincapacity of a relative guardian.

Legal basis: Social Services Law, sections 20(3)(d), 34(3)(f), 458-a,458-b, 458-d and 458-f

6. CFS-30-16-0001-A Child Day Care Safety Enforcement andAdministrative Hearings Regulations

Action taken: Amendment of sections 413.3 and 413.5

Analysis of need: This rule is necessary to amend child day caresafety regulations and administrative hearing regulations pertaining tochild day care safety enforcement.

Legal basis: Social Services Law, sections 20(3)(d), 34(3)(f),390(2)(d) and (2-a)

7. CFS-49-15-00005-A Youth Development Program Funding andImplementation

Action taken: Repeal of Subparts 165-1 and 165-2; and addition ofnew Subpart 165-1 of Title 9 NYCRR

Analysis of need: This rule is necessary to implement statutorychanges regarding youth development program funding andimplementation.

Legal basis: Social Services Law, sections 20(3)(d) and 34(3)(f);and Executive Law, sections 419 and 501(5); L. 2013, ch. 57, part G

8. CFS-23-16-00004-A Requirements Regarding the Cooperationof School Districts with Investigations of Suspected Child Abuse orMaltreatment


Analysis of need: This rule is necessary to clarify requirements forcooperation of local school districts with investigations of suspectedchild abuse and maltreatment.

Legal basis: Social Services Law, sections 20(3)(d), 34(3)(f),421(3), 423(6) and 425(1)

9. CFS-39-16-00002 Provisions Relating to the Revocation,Suspension, Limitation or Denial of Operating Certificate for an AdultCare Facility


Analysis of need: This rule is necessary to conform the provisionsfor actions taken on operating certificates for adult care facilities toState Law.

Legal basis: Social Services Law, sections 20(3)(d), 34(3)(f), 460and 460-b

91

Department of Civil Service

Five Year Review of Existing RegulationsPursuant to section 207 of the State Administrative Procedure Act

(SAPA), notice is hereby provided of rules adopted by the New YorkState Civil Service Commission and the President of the New YorkState Civil Service Commission for the calendar years 1999, 2004,2009 and 2014.

Contained below is a brief description of each rule, including thestatutory authority therefor; a statement setting forth the justificationfor the ongoing need for each rule; and the Department’s recommenda-tions for continuation without modification.

1999

Amendments to Chapter II of Title 4 of NYCRR (Attendance Rulesfor Employees in New York State Departments and Institutions)

Statutory Authority: Civil Service Law section 6

Description of the Regulations:

The resolutions added new sections and amended existing sectionsof the Attendance Rules for non-managerial/confidential (Part 21 of 4NYCRR) and managerial/confidential (Part 28 of 4 NYCRR) employ-ees in New York State Departments and Institutions.

Sections 21.16 and 28-1.18 of the Attendance Rules were adoptedto permit appointing authorities to grant overtime ineligible employ-ees who have exhausted military leave with pay provided pursuant tothe New York State Military Law, further leave with pay withoutcharge to accruals for any period[s] of less than a workweek duringwhich such employees are ordered to temporary military duty.

Section 21.9 and 28-1.9 of the Attendance Rules were amended topermit agencies to grant overtime ineligible employees leave with paywithout charge to accruals for any absence[s] of less than a workweekduring which such employees are required to appear as a witness pur-suant to a subpoena or other order of court, regardless of whether anemployee is a party to the action.

These rules ensure that the Attendance Rules will be applied to em-ployees serving in overtime ineligible positions consistent with rele-vant provisions of the federal Fair Labor Standards Act (FLSA).

Action: The rules have functioned consistent with the purposesunderlying their adoption and the Department recommends continua-tion without modification.

Amendments to Chapter V of 4 NYCRR (Regulations of the Depart-ment of Civil Service [President’s Regulations])

Statutory Authority: Chapter 534 of the Laws of 1998, amendingsection 167(2) of the Civil Service Law.

Description of the Regulations:

Chapter 534 of the Laws of 1998 amended section 167(2) of theCivil Service Law to provide that unpaid board members of publicauthorities shall be eligible to participate in the New York State Em-ployee Health Insurance Program (NYSHIP) after six months ofservice.

The regulation added a new subparagraph (iv) to section 73.1(c)(1)and a new paragraph (5) to section 73.1(e) of the President’s Regula-tions providing that unpaid board members of public authorities mayparticipate in NYSHIP after six months of service and may alsocontinue their NYSHIP enrollment upon leaving public service with20 years or more of service in such positions.

Action: The regulations have functioned consistent with thepurposes underlying their adoption and the Department recommendscontinuation without modification.

Amendment to Chapter V of 4 NYCRR (Regulations of the Depart-ment of Civil Service [President’s Regulations])

Statutory Authority: Civil Service Law, Article XI

Description of the Regulation:

Section 73.3(b)(1) of the President’s Regulations was amended toenable participating agencies (PAs) and participating employers (PEs)in the New York State Health Insurance Program (NYSHIP) to con-tribute towards health insurance premiums on behalf of employees onleave without pay, provided such benefit is accorded to all employees

within a class or category. The amendment provides that upon sixty(60) days prior notice to the Department of Civil Service, PAs and PEsmay provide such benefit to an eligible employee for a period of twoyears. This authorization may be extended for one additional two-yearperiod by the State Civil Service Commission for good cause shownand where the interests of government would be served. The amend-ment further provides that where contributions have been made onbehalf of an employee on leave without pay for a two-year period, or afour-year period where authorized by the State Civil Service Commis-sion, no further extensions may be granted unless the employee returnsto his or her position and serves continuously therein for the six-monthperiod immediately preceding a subsequent leave of absence.

This regulation extends an additional potential benefit to eligibleemployees and forms a part of the overall “benefit package” thatemployers may consider when electing to adopt NYSHIP as a healthinsurance offering.

Action: The regulation has functioned consistent with the purposesunderlying its adoption and the Department recommends continuationwithout modification.

2004

Amendment to Chapter IV of 4 NYCRR (Regulations of theRegulations of the State Civil Service Commission [Commission’sRegulations])

Statutory Authority: Civil Service Law section 6

Description of the Regulation:

The resolution amended Part 55.2 to provide that a committee onappeals of the State Civil Service Commission shall not consider anexamination appeal from a candidate whose score at time of establish-ment of the eligible list is immediately reachable for appointment asprovided in section 61 of the Civil Service Law. However, a commit-tee on appeals will consider timely appeals where a candidate’s reach-ability for appointment is affected by the committee’s determinationof another appeal.

This resolution eliminates the need to consider examination appealsfrom candidates who are already eligible for immediate appointmentpursuant to the Civil Service Law “rule of three.”

Action: The regulation has functioned consistent with the purposesunderlying its adoption and the Department recommends continuationwithout modification.

2009

No current amendments to 4 NYCRR were adopted during 2009.

2014

No current amendments to 4 NYCRR were adopted during 2014.

Various amendments to the Appendices to the Rules for the Classi-fied Service (1999, 2004, 2009 and 2014)

Appendix 1 (Exempt Class)

Appendix 2 (Non-Competitive Class)

Statutory Authority:

Appendix 1: Civil Service Law, sections 6 and 41; 4 NYCRR 2.1

Appendix 2: Civil Service Law, sections 6 and 42; 4 NYCRR 2.2

Description of the regulations:

Civil Service Commission rules relating to the jurisdictional clas-sification of positions were specifically exempted from review underExecutive Order 20 by the former Governor’s Office for RegulatoryReform (GORR), upon a finding by GORR that review of such ruleslacked substantial benefit. Based upon this determination, and pursu-ant to SAPA section 207(5), a recitation of amendments to Appendices1 and 2 to Title 4 of NYCRR adopted during calendar years 1999,2004, 2009 and 2014 is hereby omitted.

Public Comments

There will be a forty-five (45) day public comment period follow-ing publication of this notice. Requests for information and publiccomments regarding the foregoing may be directed to:

J. Marc Hannibal, Special Counsel

NYS Department of Civil Service

Empire State Plaza, Albany, NY 12239

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Telephone: (518) 473-2624

E-mail address: [email protected]


INTRODUCTIONPursuant to Section 207 of the State Administrative Procedure Act,

Review of Existing Rules, the Department of Financial Services (the“Department”) must review, after five years and at five-year intervalsthereafter, rulemakings adopted on or after January 1, 1998. In addi-tion, effective January 1, 2013, for any rule that requires a regulatoryflexibility analysis, rural area flexibility analysis, or job impact state-ment, the Department must initially review that rule in the thirdcalendar year after the year the rule first was adopted. The purpose ofthe review is to analyze the need for and legal basis of the adoptedrulemakings. Please note that all references to the “Department” andthe “Superintendent” prior to October 3, 2011 mean, respectively, theformer Insurance Department or Banking Department and the formerSuperintendent of Insurance or Superintendent of Banking, as ap-propriate to the context, and that the references to laws cited are as ofthe date of the amendment to the regulations.

PART 1. INSURANCE REGULATIONS

Notice is hereby given of the following rules relating to insurancethat the Department will review this year to determine whether theyshould be continued or modified. These rules were adopted in 2016,2014, 2009, 2004, and 1999. These rules as published in the StateRegister (“Register”) contain a regulatory flexibility analysis, a ruralarea flexibility analysis and/or a job impact statement. If no such anal-ysis was filed, a statement setting forth why one or all of those analyseswas unnecessary was published in the Register. Public comment onthe continuation or modification of the following rules is invited. Com-ments must be received within 60 days of the date of publication ofthis notice. Comments should be submitted to:

Camielle Barclay

Associate Attorney

New York State Department of Financial Services

One State Street

New York, NY 10004

Email: [email protected]

Unless otherwise noted, the Department intends to continue therules discussed herein without modification, while continually moni-toring the regulations to ensure that the provisions remain consistentwith related statutory and regulatory requirements.

The following rulemakings were adopted in 2016:

D Amendment to Part 52 (Insurance Regulation 62) (Minimum Stan-dards for Form, Content, and Sale of Health Insurance, Including Stan-dards for Full and Fair Disclosure) of Title 11 NYCRR, effectiveSeptember 18, 2016.

Statutory Authority: Financial Services Law Sections 202 and 302and Insurance Law Sections 301 and 3201(c).

This amendment to Insurance Regulation 62 prohibits any insurerfrom providing coverage in any insurance policy or contract deliveredor issued for delivery in New York for conversion therapy for any in-dividual under the age of 18 years. Conversion therapy refers to anypractice by a mental health professional that seeks to change an indi-vidual’s sexual orientation or gender identity, including efforts tochange behaviors or gender expressions, or to eliminate or reducesexual or romantic attractions or feelings toward individuals of thesame sex.

D Amendment to Part 52 (Insurance Regulation 62) (Minimum Stan-dards for Form, Content, and Sale of Health Insurance, Including Stan-dards for Full and Fair Disclosure) of Title 11 NYCRR, effectiveNovember 16, 2016.

Statutory Authority: Financial Services Law Sections 202 and 302,and Insurance Law Sections 301, 3201, 3217, 3221, and 4237.

This amendment to Insurance Regulation 62 allows a blanket ac-cident insurance policy that is issued in accordance with N.Y. GeneralBusiness Law (“GBL”) § 1015.11 to contain a provision that its

benefits are excess or always secondary to any plan. GBL § 1015.11requires every licensed promoter of authorized combative sports andprofessional wrestling to provide accident insurance for the protectionof licensed professionals and wrestlers appearing in authorizedcombative sports matches or professional wrestling exhibitions on andafter September 1, 2016, and authorizes the State Athletic Commis-sion (“SAC”) to promulgate regulations necessary to implement thislegislation. In 2016, the SAC repealed and promulgated a new 19NYCRR 208, which, among other things, provides that the accidentinsurance policy may be either primary or secondary to any other ap-plicable insurance coverage held by the licensed professional orwrestler participant.

D Addition of new Subpart 151-7 (Insurance Regulation 119)(Workers’ Compensation Safe Patient Handling Program) of Title 11NYCRR, effective November 23, 2016.

Statutory Authority: Financial Services Law Sections 202 and 302and Insurance Law Sections 301 and 2304(j).

This new Subpart fulfills statutory mandates by requiring an insurerto provide a credit on each workers’ compensation insurance policy is-sued or renewed in New York State to a health care facility that imple-ments and maintains a safe patient handling program pursuant to therequirements prescribed in the Public Health Law. The rule alsorequires every workers’ compensation rate service organization to filecertain information with the Superintendent by June 1 of each year sothat the Superintendent may collect information for the reports due tothe Legislature in 2018 and 2020. The rule was effective as of July 1,2016.

D Addition of new Part 76 (Insurance Regulation 209) (CommercialCrime Coverage Exclusions) of Title 11 NYCRR, effective July 21,2017.

Statutory Authority: Financial Services Law Sections 202 and 302,and Insurance Law Sections 301 and 2307 and Articles 23, 24, and 34.

This new Part 76 furthers New York State’s public policy byprohibiting commercial crime policy exclusions for loss or damagecaused by an employee who had been convicted of a criminal offenseprior to employment by the employer when the employer hired suchemployee using the factors set forth in Correction Law Article 23-A.Correction Law Article 23-A establishes New York State’s publicpolicy encouraging licensure and employment of persons previouslyconvicted of a criminal offense. The law prohibits discriminationagainst such persons, unless there is a direct relationship between theprevious offense and the employment sought or held, or if the grantingor continuation of employment would involve an unreasonable risk toproperty or personal safety or welfare. However, commercial crimeinsurance policies often exclude coverage for loss or damage causedby an employee who was previously convicted of a criminal offense,where the employer knew about the conviction prior to the loss ordamage. This placed an employer in the position of being unable toobtain insurance or violating the Correction Law by not hiring the in-dividual, even though a review of the Correction Law factors weighsin favor of employment.


D Amendment to Part 226 (Insurance Regulation 200) (UnclaimedLife Insurance Benefits and Policy Identification) of Title 11 NYCRR,effective February 12, 2014.

Statutory Authority: Financial Services Law Sections 202 and 302,and Insurance Law Sections 301, 316, 1102, 1104, 2601, 3240(Unclaimed benefits), 4521, and 4525 and Article 24.

This amendment to Insurance Regulation 200 ensures that policyowners and beneficiaries are provided with all the benefits for whichthey have paid and to which they are entitled, by requiring insurers toimplement reasonable procedures to identify unclaimed death benefits,locate beneficiaries, and make prompt payments. This rulemaking alsorequires insurers to respond to requests from the Superintendent tosearch for policies insuring the life of, or owned by, decedents, and toinitiate the claims process for any death benefits that are identifiedbecause of those requests.

D Addition of new Part 244 (Insurance Regulation 168) (Confidenti-ality Protocols for Victims of Domestic Violence and EndangeredIndividuals) of Title 11 NYCRR, effective April 9, 2014.

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Statutory Authority: Financial Services Law Sections 202 and 302,and Insurance Law Sections 301 and 2612.

This new Part 244 implements the requirement contained in Insur-ance Law § 2612 that the Superintendent, in consultation with theCommissioner of Health, the Office of Children and Family Services,and the Office for the Prevention of Domestic Violence, promulgaterules to guide and enable insurers to guard against the disclosure ofconfidential information relating to victims of domestic violence andendangered individuals protected by Insurance Law § 2612.

D Amendment to Part 97 (Insurance Regulation 128) (Market ValueSeparate Accounts Funding Guaranteed Benefits; Separate AccountOperations and Reserve Requirements) of Title 11 NYCRR, effectiveJune 25, 2014.

Statutory Authority: Financial Services Law Sections 202 and 302and Insurance Law Sections 301, 1403, 1405, 1414, 4217, and 4240.

This amendment to Insurance Regulation 128 prescribes minimumand maximum rates for discounting guaranteed benefit cash flows toensure that life insurers maintain prudent levels of reserves. Thisamendment also changed the filing due date of the actuarial memoran-dum that life insurers are required to file with the Department, pursu-ant to Section 97.6 of this rule, between March 1 and March 15 to al-low insurers adequate time to prepare their filings (several otherstatutory filings are due by March 1).

D Addition of new Part 82 (Insurance Regulation 203) (EnterpriseRisk Management and Own Risk and Solvency Assessment) of Title11 NYCRR, effective June 25, 2014.

Statutory Authority: Financial Services Law Sections 202 and 302and Insurance Law Sections 110, 301, 309, 316, 1115, 1501, 1503,1504(c), 1604, 1702, and 1717, and Articles 15, 16, and 17.

In 2010, the National Association of Insurance Commissioners(“NAIC”) amended its model Insurance Holding Company SystemRegulatory Act (“model Holding Company Act”) and Insurance Hold-ing Company System Model Regulation to require a holding companyto adopt a formal enterprise risk management (“ERM”) function andfile an enterprise risk report. The NAIC also adopted a new RiskManagement and Own Risk and Solvency Assessment Model Act(“model ORSA Act”) and an accompanying ORSA guidance manual,which requires a domestic insurer (or its holding company system) tocomplete a self-assessment of its risk management, stress tests, andcapital adequacy annually. Chapter 238 of the Laws of 2013 incorpo-rated the model Holding Company Act’s requirement that a holdingcompany or domestic insurer with subsidiaries adopt a formal ERMfunction and file an enterprise risk report. This new Part 82 prescribesspecific requirements for an ERM function and enterprise risk report,and requires certain domestic insurers to conduct an assessment oftheir risk management and file an ORSA summary report to minimizethe potential for specific harm to the insurers and their policyholders.

The Department is considering amending Insurance Regulation 203to permit the Superintendent to act as group-wide supervisor for aninternationally active insurance group, as well as to require a holdingcompany and certain domestic insurers to describe their enterpriserisk management functions in their enterprise risk reports and to clarifycertain language.

D Amendment to Part 99 (Insurance Regulation 151) (Valuation ofAnnuity, Single Premium Life Insurance, Guaranteed Interest Con-tract, and Other Deposit Reserves) of Title 11 NYCRR, effectiveAugust 27, 2014.

Statutory Authority: Financial Services Law Sections 202 and 302and Insurance Law Sections 301, 1304, 4217, and 4517.

This amendment to Insurance Regulation 151 incorporated a newindividual annuity mortality table (which was adopted by the NAIC),to be used to calculate reserves on individual annuities and pureendowments issued or purchased on or after January 1, 2015. Thetable includes projection scales to reflect mortality improvement.

D Amendment to Part 27 (Insurance Regulation 41) (Excess LinePlacements Governing Standards) of Title 11 NYCRR, effectiveOctober 8, 2014.

Statutory Authority: Financial Services Law Sections 202 and 302,Insurance Law Sections 301, 316, 1213, 2101, 2104, 2105, 2110, 2116,

2117, 2118, 2121, 2122, 2130, 3103, 5907, 5909, 5911, and 9102 andArticles 21 and 59; Chapter 225 of the Laws of 1997, Chapter 587 ofthe Laws of 2002, and Chapter 61 of the Laws of 2011.

This amendment to Insurance Regulation 41 implemented the pro-visions and purposes of Chapter 61 of the Laws of 2011, whichamended the Insurance Law to conform to the Non-admitted and Re-insurance Reform Act (“NRRA”), a portion of the Dodd-Frank Act.The NRRA and Chapter 61 took effect on July 21, 2011.

D Amendment to Part 80-1 (Insurance Regulation 52) (HoldingCompanies) of Title 11 NYCRR, effective November 12, 2014.

Statutory Authority: Financial Services Law Sections 202 and 302and Insurance Law Sections 301, 1504, and 1506.

This amendment to Insurance Regulation 52 added new require-ments and advised applicants that, in determining whether an acquisi-tion may be harmful to the people of this state, the Superintendentmay require additional information or impose certain additional condi-tions to help ensure that an acquisition does not financially harm aNew York domestic insurer and is not likely to be hazardous or preju-dicial to the insurer’s policyholders or shareholders. The amendmentalso clarified that the submission to the Superintendent of a detailedplan of operations, including five-year financial projections, is manda-tory because in practice, the Superintendent always has required, andapplicants always have submitted, a detailed plan of operations,together with financial projections.

D Consolidated Amendment to Part 98 (Insurance Regulation 147)and Part 100 (Insurance Regulation 179) (Valuation of Life InsuranceReserves and Recognition of the 2001 CSO Mortality Table for Use inDetermining Minimum Reserve Liabilities and Nonforfeiture Benefitsand Recognition and Application of Preferred Mortality Tables forUse in Determining Minimum Reserve Liabilities) of Title 11NYCRR, effective December 10, 2014.

Statutory Authority: Financial Services Law Section 202 and 302and Insurance Law Sections 301, 1304, 1308, 4217, 4218, 4221, 4240,and 4517.

This amendment to Insurance Regulation 147 replaced the previousone-year full preliminary term (“FPT”) with a two-year FPT for termlife insurance. A two-year FPT will result in a lower proportion of thefirst and second year premiums being held to pay claims that will notarise until well into the future, leading to a buildup in reserves afterthe second, rather than first, policy year.

This amendment to Insurance Regulation 179 is consistent withmortality improvement. Because insureds are generally living longer,the amendment applied a one percent mortality improvement factor tothe current mortality table (2001 CSO) for rates associated withcalendar years 2008-2047, and applied a 0.5 percent mortalityimprovement factor for each year thereafter. These factors apply dur-ing the initial level premium period.

Insurance Regulations 147 and 179 subsequently were amended ef-fective April 1, 2015. Insurance Regulation 147 was amended to rec-ognize mortality improvement beyond the valuation date for universallife policies issued on or after January 1, 2015, which guarantees thatcoverage remains in force if the accumulation of premiums paid satis-fies the secondary guarantee requirement. Additionally, a lapse rate oftwo percent may be used for the first five years, followed by a rate ofno more than one percent for the remaining life of the policy. Insur-ance Regulation 179 was amended to make it consistent with mortal-ity improvement.

The Department is considering amending Insurance Regulation 147to adopt the 2017 Commissioners Standard Guaranteed Issue Mortal-ity Table (2017 CSGI).


D Consolidated Amendment to Part 52 (Insurance Regulation 62)(Minimum Standards for the Form, Content and Sale of Health Insur-ance, including Standards of Full and Fair Disclosure) and Part 217(Insurance Regulation 178) (Processing of Health Insurance Claims)of Title 11 NYCRR, effective July 15, 2009.

Statutory Authority: Insurance Law Sections 201, 301, 1109, 2403,3216, 3221, 3224-a, 3224-b, 4304, and 4305 and Article 43.

These amendments to Insurance Regulation 62 and Insurance


94

Regulation 178 established guidelines for the timely processing ofhealthcare claims for persons covered by more than one health insur-ance policy. Insurance Regulation 178 establishes procedures that aninsurer, a health maintenance organization (“HMO”), or a privatehealth services plan must follow when it is determined that othercoverage may exist. This rule also established requirements for theprovider if the provider wishes to seek payment from the other insurer,and the time in which the provider must act. These procedures includeguidelines for those cases when the claim already has been paid beforethe existence of other coverage is established, as well as when the ex-istence of other coverage is established before any claim payment ismade. The guidelines also change the timely filing requirements forthose cases where other coverage exists. The time begins to run fromthe date of notification of other coverage, not from the date of service.Ultimately, these procedures prevent providers from being left withunpaid claims when an insurer recoups payment and the other plandenies the claim for late filing. The amendment to Insurance Regula-tion 62 cross-references the two regulations.

D Amendment to Part 25 (Insurance Regulation 41) (Excess LinesPlacements Governing Standards) of Title 11 NYCRR, effectiveSeptember 2, 2009.

Statutory Authority: Insurance Law Sections 201, 301, 2101, 2104,2105, 2110, 2116, 2117, 2118, 2121, 2130, 3103, and 9102 and Article59.

This amendment to Insurance Regulation 41 added additionalcoverages to the “export” list and reduces the requisite declinationsfor several other coverages. Insurance Regulation 41 governs theplacement of excess lines insurance. The purpose of the excess linelaw is to enable consumers who are unable to obtain insurance fromauthorized insurers to obtain coverage from eligible excess lineinsurers. An excess line broker is generally required to obtain declina-tions from authorized insurers before placing the business with anexcess line broker. However, the broker does not have to obtain thedeclinations for certain hard-to-place risks that have been placed onan “export” list. Adding to the ‘‘export’’ list coverages that are hard toplace and whose declinations become pro forma (since New York au-thorized companies are not writing adequate coverage) facilitatesplacement by excess line brokers of coverage with an eligible excessline insurer.

Insurance Regulation 41 again was amended effective April 10,2013 to update the “export” list of coverages pursuant to InsuranceLaw section 2118(b)(4).

D Addition of Part 102 (Insurance Regulation 192) (Minimum Stan-dards for Determining Reserve Liabilities and Nonforfeiture Valuesfor Preneed Life Insurance) of Title 11 NYCRR, effective October 28,2009.

Statutory Authority: Insurance Law Sections 201, 301, 1304, 1308,4217, 4218, 4221, 4240, and 4517.

This new Part 102 established minimum standards for determiningreserve liabilities and nonforfeiture values for preneed life insurancein accordance with statutory reserve formulae.

D Amendment to Part 52 (Insurance Regulation 62) (Minimum Stan-dards for the Form, Content, and Sale of Health Insurance, IncludingStandards of Full and Fair Disclosure) of Title 11 NYCRR, effectiveDecember 9, 2009.

Statutory authority: Insurance Law Sections 201, 301, 1009, and3234.

Insurance Regulation 62 was amended to conform with the decisionby the New York Court of Appeals in Benesowitz v. Metropolitan LifeInsurance Company, 8 N.Y.3d 661 (2007). In Benesowitz, the Courtof Appeals unanimously construed Insurance Law Section 3234(a)(2)to establish a waiting period, rather than a total bar, for coverage ofdisabilities due to a pre-existing condition that manifests itself withinthe first 12 months after an insured’s effective date of coverage. In soholding, however, the Court noted that neither its decision nor Section3234(b) of the Insurance Law prevents insurers from excluding orlimiting disability coverage based on an individual’s prior medicalhistory other than, or in addition to, a pre-existing condition.


D Amendment to Parts 140, 141, 142, 143, and 144 (InsuranceRegulation 32-A) (Private Passenger and Commercial AutomobileStatistical Plans) of Title 11 NYCRR, effective February 4, 2004.

Statutory Authority: Insurance Law Sections 201, 301, 2304, 2315,2331, 2332, 2333, and 2334.

This amendment to Insurance Regulation 32-A removed obsoletereferences and provided a simplified framework for approval andimplementation of revisions to statistical plans as market conditionswarrant. By eliminating the specific statistical codes from the regula-tion and by clarifying that the Department must approve all statisticalplans, the amendment benefits industry by giving it the flexibility toappropriately modify the plans as market conditions warrant while be-ing in conformity with the revised wording of the regulation.

D Amendment to Part 362 (Insurance Regulation 171) (The HealthyNew York Program and The Direct Payment Stop Loss Relief Pro-gram) of Title 11 NYCRR, effective February 11, 2004.

Statutory Authority: Insurance Law Sections 201, 301, 1109, 3201,3216, 3217, 3221, 4235, 4303, 4304, 4305, 4318, 4326, and 4327.

The Legislature enacted Chapter 1 of the Laws of 1999 to providefor the Healthy New York Program, an initiative designed to encour-age small employers that do not currently provide health insurancecoverage to their employees to offer such coverage, as well as to makecoverage available to uninsured employees whose employers do notprovide group health insurance coverage. In 2001 the Departmentadopted Regulation 171 to establish certain procedures and require-ments necessary for effective implementation of the legislation.

This amendment to Insurance Regulation 171 clarified eligibilityfor the Healthy New York Program and simplified the application andadministrative process for both enrollees and providers. Clarifyingwhich persons are to be considered household members eliminates theuncertainty involved in determining household income levels. Thecorrect calculation of household income is crucial because it is a ma-jor component in determining eligibility for the Healthy NY Program.Additionally, a simplified standardized application form streamlinesthe eligibility and administrative process, thereby facilitatingenrollment.

The amendment enhanced the implementation and operation of theHealthy NY Program while improving the efficiency that individualsand small employers enjoy in accessing comprehensive health insur-ance, since the standard application form is made available from manysources.

Insurance Regulation 171 also was amended, effective April 25,2007, to establish a second Healthy New York benefit package at areduced premium rate. The second benefit package provided for alower-cost alternative and permits individuals and small businesses tochoose a benefit package that meets their needs. The amendment alsoeliminated the well-child copayment applicable to the Healthy NewYork Program to enhance access to preventive and primary care forchildren, and permitted the Healthy New York Program to be consid-ered qualifying health insurance under the Federal Trade Act of 2002to allow those qualifying for a federal tax credit to benefit from thatcredit. This amendment also revised the eligibility requirements relat-ing to employment to lessen complexity and enhance access.

Insurance Regulation 171 again was amended, effective November7, 2007, to require HMOs and participating insurers to offer high de-ductible health plans using the Healthy New York small employer andindividual programs. This new option provided New Yorkers with ac-cess to a tax-advantaged method of purchasing health insurance. Theamendment also provided for prostate cancer screening and a limitedhome health care and physical therapy benefit.

In response to an increase in enrollment and claims in the HealthyNew York Program, which resulted in health plans applying for signif-icant rate increases to the detriment of the Program’s low incomeenrollees and applicants, the Department promulgated another amend-ment to Insurance Regulation 171, effective November 28, 2012, tolimit new applicants for coverage effective January 1, 2012 or later, toHealthy New York’s high deductible health plans only. The Depart-ment believed this approach would strike a balance between protect-ing existing enrollees from unaffordable rate increases and maintain-ing an affordable option for those purchasing coverage.


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D Adoption of new Part 100 (Insurance Regulation 179) (Recogni-tion of the 2001 CSO Mortality Tables for Use in Determining Mini-mum Reserve Liabilities and Nonforfeiture Benefits) of Title 11NYCRR, effective June 23, 2004.

Statutory Authority: Insurance Law Sections 201, 301, 1304, 4217,4218, 4221, 4224, 4240 and 4517 and Articles 24 and 26.

Insurance Regulation 179 was adopted to recognize, permit, andprescribe the use of the 2001 commissioners standard ordinary(“CSO”) mortality table for life insurance in accordance with Sections4217, 4221, and 4517 of the Insurance Law. The 2001 CSO table isbased on mortality experience from the 1990s supplied by insurersthat participated in a Society of Actuaries study on mortality. Thistable replaces the existing 1980 CSO table for valuing the minimumstandards for ordinary life insurance. According to the American Acad-emy of Actuaries Task Force Report, it was expected that the 2001CSO table would produce overall reserves (excluding deficiencyreserves) that would be approximately 20 percent lower than thoseproduced by the 1980 CSO table. Since the use of this table lowers thereserves on ordinary life business, insurers may use the 2001 CSOtable only if they provide an Actuarial Opinion based on asset ade-quacy analysis that complies with 11 NYCRR 95. This adoption of In-surance Regulation 179 gave domestic insurance companies andforeign insurance companies authorized to do business in New YorkState the ability to compete effectively with companies doing businessin other states.

Insurance Regulation 179 was amended, effective December 26,2007, to recognize and permit the use of the 2001 CSO Preferred ClassStructure Mortality Table for preferred lives for individual life insur-ance and group life insurance products sold to individuals by certifi-cate with premium rates guaranteed from issue for at least two yearsin accordance with sections 4217 and 4517 of the Insurance Law.

Insurance Regulation 179 again was amended, effective March 16,2011, to extend the use of the 2001 CSO Preferred Structure MortalityTable to policies issued on or after January 1, 2004. Use of this tableallows for the reserves to better match the risks associated with differ-ent underwriting classifications. The regulation also was amended, ef-fective December 10, 2014, and April 1, 2015, as discussed earlier.

Insurance Regulation 179 also was amended as part of a consoli-dated amendment with Insurance Regulation 147 as discussed earlier.

D Amendment to Part 68 (Insurance Regulation 83) (Charges forProfessional Health Services) of Title 11 NYCRR, effective October6, 2004.

Statutory Authority: Insurance Law Sections 201, 301, 2601, and5221 and Article 51.

This amendment to Insurance Regulation 83 adopted the fee sched-ule set forth in the New York State Medicaid Management Informa-tion System Provider Manual for durable medical equipment, medical/surgical supplies, orthopedic footwear, and orthotic and prostheticappliances as the schedule that would be used for fees payable for thepurchase and rental of durable medical equipment, medical/surgicalsupplies, orthotic footwear, and orthotic and prosthetic appliances inno-fault.

The regulation also provided that the Workers’ Compensation feeschedule ground rules shall control when determining the properreimbursement amount when a licensed non-physician is providingcare under the supervision of a licensed health provider. This wouldapply in any instance where a ground rule permits a licensed non-physician to bill at the supervising licensed health provider’s rate,such as in the case of a Physical or Occupation Therapist (PT/OT)working under the supervision of a physician. In all other instances, ifnot specifically controlled by the Workers’ Compensation fee sched-ule, the fee payable is based on the fee schedule of the treatingprovider. The regulation does not apply reimbursement rates for aphysician when the physician personally performs the service.

D Amendment to Part 52 (Insurance Regulation 62) (Minimum Stan-dards for the Form, Content, and Sale of Health Insurance, IncludingStandards for Full and Fair Disclosure) of Title 11 NYCRR, effectiveOctober 27, 2004.

Statutory Authority: Insurance Law Sections 201, 301, 1109, 3201,3217, 3221, and 4303; and Chapter 82 of the Laws of 2002.

Chapter 82 of the Laws of 2002 enhanced Insurance Law Sections3221(k)(6) and 4303(s) by adding coverage for procedures used to di-agnose and treat infertility when certain conditions are met, and byadding a prescription drug benefit for coverage of prescription drugsapproved by the Food and Drug Administration for use in the diagno-sis and treatment of infertility. The law directed the Superintendent, inconsultation with the Commissioner of Health, to promulgate regula-tions that would stipulate the guidelines and standards to be used incarrying out the mandates of the legislation.

This amendment to Insurance Regulation 62 directs insurers to usestandards and guidelines no less favorable than those established andadopted by the American Society for Reproductive Medicine in rela-tion to the determination of infertility, the identification of experimen-tal procedures and treatments not covered for the diagnosis and treat-ment of infertility, the identification of the required training,experience and other standards for health care providers for the provi-sion of procedures and treatments for the diagnosis and treatment ofinfertility, and the determination of appropriate medical candidates bythe treating physician. This amendment also provides insurers withguidance in interpreting the mandates of Chapter 82 of the Laws of2002.


D Amendment to Part 70 (Insurance Regulation 101) (Medical Mal-practice Insurance: Required Notices and Rate Modification) of Title11 NYCRR, effective April 7, 1999.

Statutory Authority: Insurance Law Sections 201, 301, 1113(a)(13)and (14), 3426, 3436, 5504, 5907, 6302, and 6303 and Article 23; andChapter 639 of the Laws of 1996.

Chapter 639 of the Laws of 1996 authorized the Superintendent toestablish rates and surcharges for policies of primary and excess medi-cal malpractice insurance to maintain stability and availability of thisinsurance in the voluntary market. Part 70 established the frameworkfor the rates and forms of policies of physicians’ medical malpracticeinsurance. This amendment to Insurance Regulation 101 permits insur-ers to use rates established by the Superintendent for Medical LiabilityMutual Insurance Company (“MLMIC”) modified by any differencesin expenses incurred by the insurer, as opposed to those incurred byMLMIC. Prior to the amendment, insurers were required to use therates established for MLMIC without any such modification.

Insurance Regulation 101 was amended after it was determined thatthe marketplace for medical malpractice insurance had been stable forsome time, and as such, that competitive forces should be allowed agreater role in determining rates.

Insurance Regulation 101 also was amended, effective July 12,2000, to establish physicians and surgeons’ medical malpractice insur-ance rates and appropriate surcharges for the policy year July 1, 1999through June 30, 2000, and to establish rules to collect and allocatesurcharges to recover deficits based on past experience.

Insurance Regulation 101 again was amended, effective June 20,2001, to establish rates and surcharges for primary policies for physi-cians and surgeons’ medical malpractice insurance effective July 1,2000.

D Amendment of Subpart 60-2 (Insurance Regulation 35-D) (Sup-plementary Uninsured/Underinsured Motorists Insurance) of Title 11NYCRR, effective January 27, 1999.

Statutory Authority: Insurance Law Sections 201, 301, and 3420;and Chapter 568 of the Laws of 1997.

This amendment to Insurance Regulation 35-D, which implementedChapter 568 of the Laws of 1997, increased the amounts of supple-mentary uninsured/underinsured motorists (“SUM”) coverage thatmust be offered to an insured. The amendment also revised the specificinformation that must be included in the mandatory availability no-tices and retitled the mandatory SUM coverage endorsement.

Insurance Regulation 35-D also was amended, effective September25, 2013, to implement Chapter 11 of the Laws of 2013, whichrequires SUM coverage for employees of fire departments andambulance services.

Insurance Regulation 35-D again was amended, effective August 1,2017, to clarify an inadvertent misinterpretation to ensure that the


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SUM coverage would not provide less benefits than the mandatoryuninsured/underinsured motorist coverage. In addition, this amend-ment amended the rules related to the manner in which the organiza-tion designated by the Superintendent to administer the SUM arbitra-tion program assesses the cost of the program to the insurance industry,in accordance with the recommendation and authorization of the Sup-plementary Uninsured Motorist Optional Arbitration Advisory Com-mittee, and amends all references in Sections 60-2.3 and 60-2.4 to“AAA/American Arbitration Association” to read “designatedorganization.” Furthermore, this amendment incorporated variouseditorial revisions to the prescribed endorsement and other portions ofthe regulation to clarify the intent and application of the coverage.

Insurance Regulation 35-D again was amended, effective November28, 2018, in order for Subpart 60-2 to comply with Chapter 490 of theLaws of 2017 and Chapter 15 of the Laws of 2018. Chapter 490 addeda new Insurance Law Section 3420(f)(2-a) and Chapter 15 madeamendments thereto. Insurance Law Section 3420(f)(2-a) requires aninsurer that issues a motor vehicle liability insurance policy originallyentered into on or after June 16, 2018, other than a commercial risk in-surance policy, to provide SUM insurance coverage for bodily injury,in an amount equal to the bodily injury liability insurance limits ofcoverage provided under the motor vehicle liability insurance policy,unless the first-named insured declines the SUM insurance or selects alower amount of coverage through a written, signed waiver. The rulealso clarifies which policies are commercial risk policies and whichare not, as well as how the law applies to transportation networkcompany policies.

D Repeal of Part 53 of, and addition of a new Part 53 (InsuranceRegulation 74) (Life and Annuity Cost Disclosure and Sales Illustra-tions) to, Title 11 NYCRR, effective February 2, 1999.

Statutory Authority: Insurance Law Sections 201, 301, 308, 1313,2123, 2208, 2405, 3201, 3203, 3209, 3219, 3222, 4221, 4223, 4226,4231, 4232, 4240, 4510, 4511, 4513, and 4518; and Banking LawSection 263.

Insurance Regulation 74, as promulgated in 1999, established newrules for the form and content of the preliminary information docu-ments, policy summaries, and sales illustrations for life insurancepolicies and annuity contracts as required by Chapter 616 of the Lawsof 1997.

The Department is considering amending Insurance Regulation 74to revise and clarify the delivery, signature, and certification formrequirements for life insurance sales illustrations, including electronicdelivery, for policies marketed with an illustration, to modify the basisused for illustrations for life insurance policies with non-guaranteedelements, including universal life; to add additional requirements onthe disciplined current scale underlying the illustrations; and to requireadditional disclosures for such policies.

D Addition of Part 74 (Insurance Regulation 159) (Homeowner’sInsurance Disclosure Information) to Title 11 NYCRR, effectiveMarch 31, 1999.

Statutory Authority: Insurance Law Sections 201, 301, and 3445.

Chapter 44 of the Laws of 1998 added a new Section 3445 to theInsurance Law requiring the Superintendent to establish – by regula-tion – disclosure requirements with respect to the operation of any de-ductible in a homeowner’s insurance policy or a dwelling fire personallines policy that applies as the result of a windstorm.

Insurance Regulation 159 prescribes standards for the uniformdisplay of windstorm deductibles, which consists of hurricane andnon-hurricane deductibles, in policy declarations. It also set forth theminimum provisions to be contained in the policyholder disclosurenotice, which explains the purpose and operation of a hurricane de-ductible, and which must accompany new and renewal policiescontaining such deductibles.

Insurance Regulation 159 was amended, effective August 8, 2007,to implement Chapter 162 of the Laws of 2006, which required thatwhen a policyholder received a notice of cancellation, nonrenewal, orconditional renewal for a homeowner’s insurance policy with respectto property located in an area served by a market assistance programestablished by the Superintendent for the purpose of facilitating place-ment of homeowners insurance, the policyholder must also receive

notice from the insurer of possible eligibility for coverage through amarket assistance program or through the New York Property Insur-ance Underwriting Association (“NYPIUA”). This amendmentestablished certain minimum notification requirements to ensure thatpolicyholders that may be eligible for a market assistance program orNYPIUA receive proper notice of their options, including informationnecessary to apply for coverage.

D Repeal of Part 185 of, and addition of a new Part 185 (InsuranceRegulation 27A) (Policy Provision and Rating Standards for CreditLife and Credit Disability Insurance) to, Title 11 NYCRR, effectiveMay 12, 1999.

Statutory Authority: Insurance Law Sections 201, 301, 3201, 4205,4216, 4224, and 4235.

Insurance Law Sections 4216 and 4235 authorized credit life insur-ance and credit accident and health insurance as permitted coveragesin this state. Insurance Regulation 27A, as promulgated in 1999,streamlined some of the requirements applicable to insurers autho-rized to offer credit life insurance and credit accident and health insur-ance, and generally provided for modest increases in rates with aresultant increase in the expense margins. The regulation also bal-anced the dual legislative objectives of having the product availablewhile ensuring that insured parties receive fair value for their premiumdollar.

Insurance Regulation 27A was amended, effective May 30, 2001, topermit rates for blocks of vendor business to be based on actualexperience. The amendment also balanced the legislative objective ofhaving the product available with the legislative objective thatinsureds receive fair value for their premium dollar.

D Amendment of Part 27 (Insurance Regulation 41) (Excess LinePlacements Governing Standards) of Title 11 NYCRR, effective May19, 1999.

Statutory Authority: Insurance Law Sections 201, 301, 2101, 2104,2105, 2110, 2116, 2117, 2118, 2121, 2122, 2130, 3103, 5907, 5911,and 9102; Chapter 225 of the Laws of 1997, and Chapter 282 of theLaws of 1998.

Chapter 225 of the Laws of 1997 amended Insurance Law Sections2117 and 2118 to provide that a licensed excess line broker mayexercise binding authority and execute an authority to bind coverageon behalf of an insurer not licensed or authorized to do business in thisState. The law required brokers to file binding agreements with theExcess Line Association of New York (“ELANY”).

This amendment to Insurance Regulation 41 clarified the informa-tion that must be included in a broker’s filing with ELANY, andrequired ELANY to file with the Superintendent monthly reports thatcontain information on excess line brokers’ binding authorityagreements. The amendment also permitted the Superintendent tolower a syndicate’s trusteed account requirements, subject to certainfactors.

Insurance Regulation 41 also was amended, effective June 2, 1999,to implement Chapter 498 of the Laws of 1996, which eliminated therequirement that both the excess line broker and the insured mustcomplete an affidavit affirming that the broker had advised the insuredthat coverage had been placed with an unauthorized insurer. Theamendment prescribed specific requirements concerning informationthat the broker must disclose to the insured prior to making a place-ment with an unauthorized insurer. It also adopted trust depositrequirements for alien insurers that were adopted by the National As-sociation of Insurance Commissioners (“NAIC”) in 1998.

Regulation 41 again was amended, effective December 19, 2007, tochange the amount of funds required to be held in trust by alien excessline insurers and associations of insurance underwriters (“associa-tions”), and resolved the existing inequity in the trust fund obligationsimposed upon alien excess line insurers, as compared to the obliga-tions imposed upon associations. Specifically, the amount of funds tobe held in trust by alien excess line insurers increased, and the amountof funds to be held in trust by associations decreased.

The Department adopted another amendment to Insurance Regula-tion 41 in 2011, effective May 4, 2011, which increased the minimumsurplus to policyholders required to be maintained by new and current


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excess line insurers. The regulation also was amended, effectiveOctober 4, 2014, as discussed earlier.

D Addition of Part 220 (Insurance Regulation 160) (HolocaustVictims Insurance Claims and Reports) to Title 11 NYCRR, effectiveJune 2, 1999.

Statutory Authority: Insurance Law Sections 201, 301, 2701(d),2703(a)(2), 2710, and Article 27; and Chapter 259 of the Laws of 1998.

Insurance Regulation 160 implements the provisions of Chapter259 of the Laws of 1998, which added a new Article 27 to the Insur-ance Law to provide a framework for the expeditious and equitableresolution of insurance claims by Holocaust victims as defined in In-surance Law section 2701(a).

D Amendment of Part 216 (Insurance Regulation 64) (Unfair ClaimsSettlement Practices and Claim Cost Control Measures) of Title 11NYCRR, effective September 15, 1999.

Statutory Authority: Insurance Law Sections 201, 301, 2601, 3411,and 3412.

Chapter 360 of the Laws of 1997 amended Vehicle and Traffic LawSection 429 to require full disclosure of the applicable status of a mo-tor vehicle to a potential purchaser of that vehicle – specifically, itmust be disclosed when a vehicle being transferred is rebuilt salvage –and imposed a civil penalty on any person who knowingly andintentionally defrauded a purchaser by failing to make such disclosure.This amendment to Insurance Regulation 64 required that in certaininstances, the insurer, when authorizing repair of a vehicle after acovered loss, must obtain the vehicle title from the owner and forwardit to the Department of Motor Vehicles so that it may be branded as“rebuilt salvage” and then returned to the vehicle’s owner.

The Department is considering amending Insurance Regulation 64to update Section 216.7 to clarify certain provisions in the regulationregarding motor vehicle physical damage claims.

D Amendment of Subpart 62-4 (Insurance Regulation 96) (Anti-Arson Application) of Title 11 NYCRR, effective September 15, 1999.

Statutory Authority: Insurance Law Sections 201, 301, and 3403.

Insurance Regulation 96 implemented a new two-tier anti-arson ap-plication that included questions to be answered by applicants for newor renewal policies or binders covering the perils of fire or explosion.Since the regulation was first adopted in 1981, other sections of lawapplicable to such coverage had been amended, and certain require-ments in Insurance Regulation 96 became inconsistent with the re-lated provisions. This amendment brought the regulation into confor-mity with other applicable statutes and regulations.

Insurance Regulation 96 was amended, effective September 27,2000, to implement Chapter 456 of the Laws of 1999, which enacted anew subsection (h) to Insurance Law section 3403 that required theSuperintendent to establish procedures by which an insurer maysuspend or waive the requirement that the insurer use the anti-arsonapplication upon renewal of policies, provided that the insurer candemonstrate that substantially equivalent information may be obtainedthrough other means.

D Amendment to Part 52 (Insurance Regulation 62) (MedicareSupplement Insurance) of Title 11 NYCRR, effective December 8,1999.

Statutory Authority: Insurance Law Sections 201, 301, 3201, 3216,3217, 3218, 3221, 3231, 3232, 4235, 4237, and Article 43.

This amendment to Insurance Regulation 62 revises the minimumstandards for the form, content, and sale of Medicare supplement in-surance to conform with, inter alia, the enactment of the BalancedBudget Act of 1997 (Public Law 105-33), which changed the federalminimum standards for Medicare supplement insurance.

The Department amended Insurance Regulation 62, effective March21, 2001, to revise the minimum standards for the form, content, andsale of Medicare supplement insurance to conform with the enactmentof the Balanced Budget Act of 1997, the Balanced Budget RefinementAct of 1999 (Public Law 106-170), and the Ticket to Work and WorkIncentives Improvement Act of 1999 (Public Law 106-113), whichchanged the federal minimum standards for Medicare supplementinsurance.

Insurance Regulation 62 also was amended, effective June 19, 2002,

to revise the minimum standards for the form, content, and sale ofMedicare supplement insurance to conform with changes to the federalminimum standards for Medicare supplement insurance.

In 2010, Insurance Regulation 62 again was amended, effectiveMay 5, 2010, to comply with federal requirements as prescribed in therevised NAIC Medicare Supplement Insurance Minimum StandardsModel Act.

D Amendment of Part 52 (Insurance Regulation 62) (MinimumStandards for the Form, Content, and Sale of Health Insurance; DentalCare Exclusion) to Title 11 NYCRR, effective December 8, 1999.

Statutory Authority: Insurance Law Sections 201, 301, 3201, 3216,3217, 3221, 4235, and 4237 and Article 43.

This amendment to Insurance Regulation 62 clarified that the dentalexclusion permitted in health insurance policies did not extend todental care or treatment necessary due to congenital disease oranomaly.

The Department is considering amending Insurance Regulation 62to establish minimum standards for the form, content, and sale of poli-cies and contracts of dental insurance.

PART 2. BANKING REGULATIONS

Notice is hereby given of the following rules relating to bankingthat the Department will review this year to determine whether theyshould be continued or modified. These rules were adopted in 2016,2014, 2009, 2004, and 1999. These rules as published in the Registercontain a regulatory flexibility analysis, a rural area flexibility analy-sis, and/or a job impact statement. If no such analysis was filed, astatement setting forth why one or all of those analyses was unneces-sary was published in the Register. Public comment on the continua-tion or modification of the above rules is invited. Comments must bereceived within 60 days of the date of publication of this notice. Com-ments should be submitted to:

Christine M. Tomczak

Assistant Counsel


One State Street

New York, NY 10004

Telephone: (212) 709-1642



D New Part 421 (Financial Aid Award Information Sheet)

a. Description of rule: The rule pertains to the standard financial aidaward letter required by Banking Law Section 9-w.

b. Legal basis for the rule: Banking Law Section 9-w.

c. Need for the rule: The rule is necessary to set forth the contentand delivery requirements of the Financial Aid Award InformationSheet.

D New Part 422 (Inspecting, Securing and Maintaining Vacant andAbandoned Residential Real Property)

a. Description of rule: This rule establishes rules necessary to imple-ment Real Property Actions and Proceedings Law Section 1308.

b. Legal basis for the rule: Real Property Actions and ProceedingsLaw Sections 1306, 1308, 1310.

c. Need for the rule: The rule is necessary to outline the informa-tional and timing requirements for vacant and abandoned propertyreports required by Real Property Actions and Proceedings Law Sec-tion 1308.

D New Part 504 (Banking Division Transaction Monitoring andFiltering Program Requirements and Certifications)

a. Description of rule: The rule describes the transaction monitoringand filtering program requirements.

b. Legal basis for the rule: Banking Law Sections 37.3, 37.4, and17; Financial Services Law Section 302.

c. Need for the rule: The rule is necessary to outline the Transactionmonitoring and filtering program requirements.


D Amendments to Part 420 (Mortgage Loan Originators; Licensing;Education Requirements)


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a. Description of rule: The rule pertains to the licensing and educa-tion requirements for mortgage loan originators.

b. Legal basis for the rule: Banking Law Sections: 39, 44; Articles:12-D and 12-E.

c. Need for the rule: This rule is necessary to implement the Superi-ntendent’s authority to license mortgage loan originators and sets forththe educational requirements to obtain a mortgage loan originatorlicense.


D Amendments to Part 38.1 of the General Regulations of the Bank-ing Board (Definitions of Terms; Advertising; Application and Com-mitment Disclosures and Procedures; Improper Conduct under Article12-D: Definitions)

a. Description of rule: The rule pertains to various mortgage loanrequirements regarding advertising, application and commitmentdisclosures and procedures and improper conduct under Banking LawArticle 12-D.

b. Legal basis for the rule: Banking Law Sections 6-l, 14, 590(3),595-a.

c. Need for the rule: The rule is necessary to clarify and definecertain mortgage loan terms.

D Amendments to Part 38.3 of the General Regulations of the Bank-ing Board (Definitions of Terms; Advertising; Application and Com-mitment Disclosures and Procedures; Improper Conduct under Article12-D: Applications Disclosures and Procedures)

a. Description of rule: The rule pertains to various mortgage loanrequirements regarding application and commitment disclosures andprocedures.


c. Need for the rule: The rule is necessary to clarify and define theapplication disclosures and procedures with respect to mortgage loanapplications.

D Amendments to Part 38.11 of the General Regulations of theBanking Board (now Superintendent) (Definitions of Terms; Advertis-ing; Application and Commitment Disclosures and Procedures;Improper Conduct under Article 12-D: Requirements for Branches)

a. Description of rule: The rule pertains to the various requirementsfor the establishment and operation of branch offices by mortgagebankers or mortgage brokers.


c. Need for the rule: The rule is necessary to describe and clarify therequirements of the establishment and operation of branch offices ofmortgage bankers and mortgage brokers.

D Amendments to Part 410.5 of the Superintendent’s Regulations(Mortgage Bankers: Licensing Requirements; Mortgage Brokers:Registration Requirements; Branch Applications: Notifications: Booksand Records; Annual Reports: Surety Bonds; and Consultants ofLicensed Mortgage Bankers and Registered Mortgage Brokers:Branch Application; investigation fees)

a. Description of rule: The rule outlines the specific branch applica-tion and investigation fees.

b. Legal basis for the rule: Banking Law Section 12.

c. Need for the rule: This rule is necessary because it clarifies whereone may locate a mortgage banker or mortgage broker branch applica-tion and the fees for each application.

D Amendments to Part 413.3 of the Superintendent’s Regulations(Procedures and Requirements for Mortgage Brokers to Act as FHAMortgage Loan Correspondents: Minimum Standards required forApproval)

a. Description of rule: The rule outlines the minimum standardsrequired to be approved to make FHA insured mortgage loans.

b. Legal basis for the rule: Banking Law Section 590.

c. Need for the rule: The rule is necessary because it explains how amortgage broker may obtain the approval of the Superintendent tomake FHA insured mortgage loans.

D Amendments to Supervisory Procedure MB 106 (Application toAct as an FHA Mortgage Loan Correspondent: Information and Docu-ments required to be Submitted)

a. Description of rule: The rule pertains to the informational require-ments for an application to act as an FHA Mortgage LoanCorrespondent.

b. Legal basis for the rule: Banking Law Sections: 10, 37(3), 39, 44,371, 646, 649.

c. Need for the rule: The rule is necessary because it outlines the in-formational requirements for an FHA Mortgage Loan Correspondentapplication.

D Amendments to Supervisory Policy G 8 (Registration of Domes-tic Representative Offices)

a. Description of rule: This rule pertains to the informationalrequirements for a banking institution seeking to establish or maintaina representative office in New York.

b. Legal basis for the rule: Banking Law Sections 39, 44.

c. Need for the rule: The rule is necessary because it outlines the in-formational requirements for an out-of-state banking institution seek-ing approval from the Department to establish or maintain a represen-tative office in New York.


D Amendments to Part 400.12 of the Superintendent’s Regulations(Agents of Money Transmitters)

a. Description of rule: This rule pertains to the licensing and theconduct of agents of money transmitters.

b. Legal Basis for the rule: Banking Law Sections 12, 37(3), 367,369, 371, 372.

c. Need for rule: This rule is necessary because it describes the ap-plication process to obtain approval to engage in money transmissionactivities as an agent of a licensed money transmitter and the rules ofconduct thereof.

D Amendments to Part 402 of the Superintendent’s Regulations(Budget Planners)

a. Description of rule: This rule implemented new statutory require-ments relating to budget planners operating in New York.

b. Legal Basis for the rule: Banking Law Sections 12, 587.

c. Need for rule: This rule is necessary as it sets forth and clarifiesthe requirements for a budget planner to be licensed and operate inNew York.

D Amendments to Part 410 of the Superintendent’s Regulations ofthe Banking Board (Mortgage Bankers: Licensing Requirements;Mortgage Brokers: Registration Requirements; Branch Applications:Notifications: Books and Records; Annual Reports; Surety Bonds; andConsultants of Licensed Mortgage Bankers and Registered MortgageBrokers)

a. Description of rule: This rule outlines the various requirementsproscribed for mortgage bankers and mortgage brokers in New York.

b. Legal Basis for the rule: Banking Law Section 12, Article 12-D.

c. Need for rule: The rule is necessary to implement legislationregarding surety bond requirements for mortgage bankers, mortgagebrokers and consultants by establishing a schedule of bond amountsand imposes more stringent recordkeeping requirements on mortgagebankers.

D Amendments to Supervisory Policy G 8 (Registration of Domes-tic Representative Offices)

a. Description of rule: This rule describes the registration processfor a banking institution to register a domestic representative office.

b. Legal Basis for the rule: Banking Law Sections 14(1), 132, 258.

c. Need for rule: The Department has adopted further amendmentsto this rule.

D Amendments to Supervisory Policy G 106 (Public Access toBanking Department Records)

a. Description of rule: This rule explains the Department’s Freedomof Information Law procedures.

b. Legal Basis for the rule: Banking Law Sections 1, 36.10; PublicOfficers Law Sections 87, 89.


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c. Need for rule: This rule is necessary because it outlines theDepartment’s Freedom of Information Law procedures and clarifiesthe times and places when records are available, persons from whomrecords are available, payment of fees, denial of access to records,right of appeal and confidential communications.


D Amendments to Part 6.5 of the General Regulations of the Super-intendent (Investments in Community Development Entities or Proj-ects)

a. Description of rule: This rule pertains to equity investments madeby banks or trust companies in community development entities orprojects.

b. Legal Basis for the rule: Banking Law Sections 13.4, 14, 14-g,14-h.

c. Need for rule: This rule is necessary because it provides NewYork state-chartered banks parity with national banks to self-certifyequity investments that are designed primarily to promote the publicwelfare, including the welfare of low- and moderate- income areas orindividuals.

D Amendments to Part 14.3 of the General Regulations of the Su-perintendent (Investment Procedures for Operating Subsidiaries andEdge Act Subsidiaries)

a. Description of rule: This rule pertains to the specific capital, ex-amination rating, and supervisory characteristics of a bank or trustcompany in order for it to acquire, establish or invest in an operatingsubsidiary using after-the-fact notice.

b. Legal Basis for the rule: Banking Law Sections 14, 97(4-a).

c. Need for rule: This rule is necessary because it provides NewYork state-chartered bank parity with national banks in that itstreamlines New York’s application and review process with respectto investments in operating subsidiaries.

D Amendments to Part 14.4 of the General Regulations of the Su-perintendent (Investment Procedures for Other Stock Investments)

a. Description of rule: This rule pertains to additional investmentsby a bank or trust company in corporations where the initial invest-ments were already approved by the Superintendent.

b. Legal Basis for the rule: Banking Law Sections 14, 97(4-a).

c. Need for rule: This rule is necessary because it permits a bank ortrust company to make additional investments in a corporation forwhich it already has received Superintendent approval using the 30-day advance notice provisions of section 14.3(a).

D Amendments to Part 32.4 of the General Regulations of the Su-perintendent (Required Disclosures)

a. Description of rule: This rule pertains to the required disclosuresfor maximum charges for payments made against insufficient funds,uncollected balances and return items.

b. Legal Basis for the rule: Banking Law Sections 14.1, 108.8, 202,235-c, 383.13.

c. Need for rule: This rule is necessary because it requires banks todisclose in writing to its depositors the order in which it pays itemsdrawn against a depositor’s account.

PART 3. FINANCIAL SERVICES REGULATIONS

Notice is hereby given of the following rules relating to financialservices that the Department will review this year to determinewhether they should be continued or modified. These rules as pub-lished in the Register contain a regulatory flexibility analysis, a ruralarea flexibility analysis, and/or a job impact statement. If no suchanalysis was filed, a statement setting forth why one or all of thoseanalyses was unnecessary was published in the Register. Public com-ment on the continuation or modification of these rules is invited.Comments must be received within 60 days of the date of publicationof this notice. Comments should be submitted as indicated in the sum-maries below.

No rulemakings were adopted in 2016.

The following rulemaking was adopted in 2014:

Adoption of new Part 1 (Debt Collection by Third-Party Debt Col-lectors and Debt Buyers) of Title 23, NYCRR, effective December 3,2014.

Part 1 was adopted to establish the Department’s oversight of debtcollectors and sets basic rules for debt collection in New York, includ-ing disclosures that must be provided to consumers and informationthat must be provided when a debt is disputed. The statutory authorityallows for regulation of debt collection, but provides little guidancefor debt collectors. Part 1 clarifies for debt collectors and consumerswhat are required practices for debt collection in New York. Withoutthese regulations, the statutory authority would have little impact onthe marketplace and would not allow for sufficient oversight of debtcollection practices in New York. This rule also is intended to providea safe and sound financial market in New York, ensuring that debt col-lectors pursue the correct debtor for the correct debt and that consum-ers are aware of their rights when being solicited for payments.

Comments should be submitted to:

Nancy Ruskin

Executive Deputy Superintendent


One State Street

New York, NY 10004

Telephone: (212) 480-2299


Office of Temporary and Disability Assistance

Pursuant to the State Administrative Procedure Act (SAPA) § 207,the Office of Temporary and Disability Assistance (OTDA) mustreview at regular intervals those regulations that were adopted on orafter January 1, 1997. The purpose of the review is to determinewhether the regulations should be retained as written or modified. OnJanuary 31, 2018, OTDA published in the New York State Register alist of regulations from Title 18 of the New York Codes, Rules andRegulations (NYCRR) that OTDA adopted in 2015, 2013, 2008, 2003and 1998. Those regulations are set forth below:

Rules adopted in 2015

1. TDA-49-14-00003 Public Assistance (PA) Schedules*

Amended 18 NYCRR §§ 352.1 and 352.2 to update certain PAschedules to comply with the schedules in Social Services Law (SSL)§ 131-a.

Analysis of the need for the rule: The amendments were required inorder to conform certain PA schedules set forth in 18 NYCRR§§ 352.1(a) and 352.2(d) to the non-discretionary provisions set forthin amended SSL § 131-a.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 131(1), 131-a(2)(a-1)-(a-4),and 131-a(3)(a-1)-(a-4)

2. TDA-23-15-00004 Emergency Shelter Allowances (ESA)*

Amended 18 NYCRR § 352.3(k) to update provisions for ESA forpersons with AIDS or HIV-related illness to reflect statutory authority,

Analysis of the need for the rule: The amendments were needed toconform to State laws requiring social services districts (districts) todisregard the Supplemental Security Income and needs of anyhousehold member who is not the sole household member medicallydiagnosed with AIDS or HIV-related illness and to help ensure thatdistricts, including New York City, are able to continue to provide thesame level of housing for these individuals in need as they have in thepast.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 131(1); L. 2008,ch. 53; L. 2009, ch. 53; L. 2010, chs. 58, 110; L. 2011, ch. 53; L. 2012,ch. 53; L. 2013, ch. 53; L. 2014, ch. 53; L. 2015, ch. 53

3. TDA-38-15-00005 Standard Utility Allowances for SupplementalNutrition Assistance Program (SNAP)*

Amended 18 NYCRR § 387.12 to set forth the federally approvedstandard utility allowances as of October 1, 2015.

Analysis of the need for the rule: It was of great importance that thefederally approved standard utility allowances for SNAP were appliedto SNAP benefit calculations effective October 1, 2015. If the stan-dard utility allowances were not updated on October 1, 2015, it couldhave resulted in thousands of SNAP dependent households receiving


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overpayments each month. Households receiving such overpaymentscould be subject to an extended period of SNAP recoupments at therate of 10% of their monthly SNAP benefits to recover the resultingoverpayments of SNAP benefits. Thus, the rule was necessary for thepreservation of the public health and general welfare of SNAP depen-dent households.

Legal basis for the rule: SSL §§ 20(3)(d) and 95; 7 USC§ 2014(e)(6)(C); 7 CFR § 273.9(d)(6)(iii)

4. TDA-15-15-00003 Video Hearings*

Added 18 NYCRR § 358-5.13 to specifically allow OTDA’s Officeof Administrative Hearings (OAH) to conduct fair hearings by meansof video equipment.

Analysis of the need for the rule: Video hearings allow the Office ofAdministrative Hearings (OAH) to hold more hearings by assigningindividual hearing officers to hold fair hearings for multiple locationsthroughout the State on the same day.

Legal basis for the rule: SSL §§ 20(3)(d) and 22(8)


5. TDA-36-12-00001 Fair Hearings Process for Home Energy As-sistance Program (HEAP)*

Amended 18 NYCRR §§ 358-3.5(b)(4) and 393.5(e) to eliminatethe requirement that a fair hearing request concerning HEAP must bemade within 105 days of the social services district’s termination ofthe receipt of HEAP applications for the program year.

Analysis of the need for the rule: These amendments were neededdue to the court order and stipulation of settlement in Pedersen v.Hansell which ordered OTDA to commence rule making proceedingsto eliminate the 105 day statute of limitations imposed on individualsrequesting a HEAP fair hearing and clarify that federal HEAP fundsare available for a finite period of time.

Legal basis: SSL §§ 20(3)(d), 22(8) and 97; 42 USC § 8621, et seq.

6. TDA-49-12-00014 Child Support*

Amended 18 NYCRR §§ 346.2 and 347.17 to address child supportservices applications and notification requirements and the impositionof an annual service fee; and to set forth requirements concerning theprovision of legal services and the recovery of associated costs.

Analysis of the need for the rule: The amendment of § 346.2 wasmade to help ensure the state’s compliance with federal child supportapplication and notification requirements pursuant to 45 CFR§ 302.33, which requires that states must make available all servicesto any individual who files an application with the child supportagency, and must provide information describing available services,the individual’s rights and responsibilities, the state’s fees, costrecovery, and distribution policies that must accompany all applica-tions for services, and be provided to all applicants/recipients ofMedicaid and assistance programs. In addition, the amendment to§ 347.17 was made as a result of federal changes requiring the imposi-tion of an annual service fee of $25 for families who have neverreceived assistance.

Legal basis: 42 USC § 654(6)(B)(ii); 45 CFR §§ 302.33 and 303.2;SSL §§ 20(3)(d), 111-a, 111-c(4)(a), 111-g(3)(a) and (b); and FamilyCourt Act § 453(a)

7. TDA-22-12-00021 Limits on Administrative Expenses and Exec-utive Compensation

Added 18 NYCRR Part 315 to establish limits on the use of Statefunds or State-authorized payments for administrative costs and exec-utive compensation by covered providers.

Analysis of the need for the rule: The regulations, which wererequired by Executive Order No. 38, were needed to prevent certainproviders from using State funds or State-authorized payments to sup-port excessive compensation or unnecessary administrative costs.

Legal basis: SSL § 20(3)(d); and Not-For-Profit Corporation Law§ 508

8. TDA-38-13-00008 Standard Utility Allowances for the SNAP*

Amended 18 NYCRR § 387.12 to update the standard utility allow-ances for SNAP to the federally approved levels as of October 1, 2013.

Analysis of the need for the rule: It was of great importance that the

federally approved standard utility allowances for SNAP were appliedto SNAP benefit calculations effective October 1, 2013. If the stan-dard utility allowances were not updated on October 1, 2013, it couldhave resulted in thousands of SNAP dependent households receivingunderpayments each month. Thus, the rule was necessary for the pres-ervation of the public health and general welfare of SNAP dependenthouseholds.

Legal basis: SSL §§ 20(3)(d) and 95; 7 USC § 2014(e)(6)(C); and 7CFR § 273.9(d)(6)(iii)


9. TDA-02-08-00002 Recertification of Public Assistance Recipi-ents*

Amended 18 NYCRR § 351.21(b), (c) and (f)(5) and 351.22(a), (b),(c)(1), and (f), and added 18 NYCRR § 351.22(b)(3) to provide for awaiver, by the social services districts (Districts), of face-to-facerecertification requirements, subject to OTDA approval.

Analysis of the need for the rule: The amendments were developedto provide Districts the opportunity to request waivers from the OTDAof certain face-to-face recertification interviews for public assistancerecipients.

Legal basis for the rule: Social Services Law (SSL) §§ 20(3)(d),34(3)(f), 131(1), 134-a

(3), and 355 (3).

10. TDA-28-08-00002 HEAP*

Amended 18 NYCRR § 393.4(c)(3), (5); renumbered 18 NYCRR§ 393.4(c)(4) to be § 393.4(c)(5) and added 18 NYCRR § 393.4(c)(4)to establish a new HEAP benefit level for low-income households incertain living arrangements.

Analysis of the need for the rule: The amendments were developedto establish a new HEAP benefit level for low-income households incertain living arrangements in order to enhance participation andbenefits for certain Food Stamp Program applicants and recipients. Byfederal regulation, receipt of a HEAP benefit enables food stamp ap-plicants or recipients to maximize the Food Stamp Standard UtilityAllowance. (Note: the Food Stamp Program was renamed the “Supple-mental Nutrition Assistance Program” [SNAP] on August 29, 2012.

Legal basis for the rule: Chapter 94 of Title 42 of the United StatesCode (U.S.C.); 42 U.S.C. § 8624(c), (b)(12); SSL § 97(1), (2).

11. TDA-28-08-00003 Food Stamp Program*

Amended 18 NYCRR § 387.16(e) and (f) and added 18 NYCRR§ 387.16(e)(1)-(2) and (f)(1)-(2) to establish a new food stamp budget-ing methodology for certain residents in group living arrangements.

Analysis of the need for the rule: The amendments were developedto establish a new, equitable method of calculating the food stampbenefits for residents of group living facilities and drug or alcoholictreatment facilities. It eliminated the differences between the foodstamp benefit calculations done for residents who receive public assis-tance and those who receive Supplemental Security Income (SSI) bybasing the calculations on the pertinent SSI rates.

Legal basis for the rule: Chapter 51 of Title 7 of the USC; 7 USC§§ 2011 and 2013; SSL §§ 95 and 95-a.

Rules Adopted in 2003

12. TDA-32-02-00004 Shelter Allowance*

Amended 18 NYCRR Part 352 and § 381.3(c) to establish new pro-visions concerning the shelter allowance.

Analysis of the need for the rule: The amendments were developedin order to provide a shelter allowance that reflected the cost of ac-ceptable quality housing; provide for a supplement to ensure that fam-ily units facing special circumstances may be kept together in a home-type setting; maintain strong incentives to work; increase fairness andequity in the provision of public benefits; affect household composi-tion; and simplify grant administration.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 131(1), 131-a(2), 158, 349,and 355(3).

13. TDA-49-02-00006 Adjustment of Public Assistance Grants*

Amended 18 NYCRR § 352.17(e), which established that when areport of a new or increased earned income is made timely by the re-


101

cipient, the district must adjust the grant or calculate the amount ofany overpayment only after a reasonable administrative processingperiod has passed.

Analysis of the need for the rule: The amendments were developedto: encourage public assistance recipients to obtain employment andbecome self-sufficient; permit public assistance recipients to pay foremployment-related expenses before their benefit levels are reduced;and allow Districts to adjust benefit levels without also having tocalculate an overpayment of assistance.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 131(1), 131-a,and 355(3).

14. TDA-49-02-00007 Public Assistance and Food Stamps*

Amended 18 NYCRR §§ 350.3(a), 387.1(e)(1), and 387.5(j) and(k) limit the use of an authorized representative to persons who estab-lish a good cause reason that prevents them from applying for publicassistance or food stamps.

Analysis of the need for the rule: The amendments were developedto help ensure that the information given to a case worker by an autho-rized representative concerning a person’s eligibility for public assis-tance or food stamps is accurate and reflects existing householdcircumstances. The amendments affecting the Food Stamp Programimplement federal regulations.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 95, 131(1), and 355(3); Title7, Part 273, § 2, subdivision (n) of the CFR.

15. TDA-49-02-00008 Vehicle Resource Level*

Amended 18 NYCRR § 352.23(b) to establish resource exemptionlevels for vehicles owned by public assistance recipients and autho-rize Districts to exempt, as a resource, funds deposited in a bank ac-count by such recipients if the account did not exceed a certain leveland if the funds were used to purchase a first or used vehicle to enablethe recipients to seek, obtain, or maintain employment.

Analysis of the need for the rule: The amendments were developedto implement legislative changes to the SSL at that time.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 131(1), 131-n, and 355(3).

16. TDA-49-02-00009 Eligibility for Emergency Assistance toNeedy Families with Children (EAF)*

Amended 18 NYCRR §§ 369.1, 372.2 and 372.4 to conform theEAF regulations to federal laws and regulations; eliminate thepotential for federal penalties for incorrect use of funds in the EAFprogram; and remove unnecessary and restrictive limits on the amountof EAF benefits that can be provided to repair an EAF recipient’shome.

Analysis of the need for the rule: The amendments were developedto: eliminate the potential for federal penalties; conform the regula-tions to federal law and regulations; and remove an unnecessary limiton the amount of EAF benefits that can be used to repair an EAF re-cipient’s home.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 350-j, 355(3) and 410-u;Social Security Act §§ 404(a)(2), 408(a)(1)(A), and 409(a)(1)(A) and(B). The referenced SSL sections required OTDA to promulgateregulations necessary for the implementation of the provisions of theEAF program.

17. TDA-49-02-00010 Food Stamp Certification Periods*

Amended 18 NYCRR § 387.17(a) to extend, from 12 months to 24months, the food stamp certification period for households in whichall adult members are elderly or disabled.

Analysis of the need for the rule: The amendments were developedto: implement federal requirements concerning food stamp certifica-tion periods; significantly ease and streamline the processing proce-dures for Districts; and enhance access to food stamps for elderly ordisabled persons.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 95; Title 7, Part 273,§ 10, subdivision (f) of the CFR.

18. TDA-49-02-00011 Eligibility for Food Stamps*

Amended 18 NYCRR §§ 358-2.28, 358-2.29, 358-3.1(f), 387.7(a)and (g), 387.14(g)(1)(ii) and 387.17 to implement federal require-ments concerning the food stamp application and certification process-ing requirements.

Analysis of the need for the rule: The amendments were developedto: implement federal requirements concerning the food stamp ap-plication and certification processing requirements; significantly easeand streamline the processing procedures for Districts; and enhanceaccess to food stamps for eligible households.

Legal basis: SSL §§ 20(3)(d), 34(3)(f) and 95; Title 7, Part 273,§§ 2, 10, and 12 of the CFR.

19. TDA-19-03-00008 Eligibility for Food Stamps*

Amended 18 NYCRR § 387.14(a)(5)(i) and (ii) to extend categori-cal eligibility for food stamps to recipients of Safety Net Assistance(SNA).

Analysis of the need for the rule: The amendments were developedto extend categorical eligibility for food stamps to recipients of SNA.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 95.

20. TDA-19-03-00009 Eligibility for SNA*

Amended 18 NYCRR § 352.20(c) to allow for the percentageearned income disregard to be provided to all SNA cases eligible forfamily assistance (FA) except for the imposition of the 60-month Statelimit on the receipt of FA.

Analysis of the need for the rule: The amendments were developedto allow for the percentage earned income disregard to be provided toall SNA cases eligible for FA except for the imposition of the 60-monthState limit on the receipt of FA.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 131-a(1), 131-a(8)(a)(iii),158, 349, and 355(3).

21. TDA-19-03-00010 Fair Hearings*

Amended 18 NYCRR Part 358 to make technical changes that wereprimarily needed to conform the regulations concerning fair hearingsto the Welfare Reform Act of 1997.

Analysis of the need for the rule: The changes, in part, reflected thefollowing: the creation of OTDA and the Office of Children and Fam-ily Services (OCFS); the responsibility of the Department of Healthfor the medical assistance program; the responsibility of the Depart-ment of Labor for the public assistance employment programs(subsequently repealed); the responsibility of OCFS for certain ser-vices programs; and the responsibility of the Office of AdministrativeHearings within OTDA for conducting hearings on behalf of suchagencies. The addition of § 358-5.9(e) concerned the issuance ofsubpoenas in fair hearings.

Legal basis: Chapter 436 of the Laws of 1997, constituting theWelfare Reform Act of 1997; SSL §§ 20(3)(d), 22(8), and 34(3)(f).

22. TDA-20-03-00001 Trust Assets*

Amended 18 NYCRR § 352.22(e)(1) and repealed 18 NYCRR§ 352.22(e)(2) to clarify the regulations concerning the treatment oftrust funds and the eligibility for public assistance.

Analysis of the need for the rule: The amendments revised theregulations concerning the treatment of trust assets for purposes ofdetermining whether such assets can be used to provide for the basicmaintenance needs of the trust beneficiary when such beneficiary wasin receipt of or applied for public assistance.


23. TDA-23-03-00002 Food Stamp Reporting*

Amended 18 NYCRR §§ 358-3.3(e)(3), 387.14(a)(5)(ii)(b), and387.17 to establish new requirements for reporting information toDistricts concerning eligibility for food stamps.

Analysis of the need for the rule: The amendments were developedto: implement federal regulations concerning the food stamp applica-tion and certification processing requirements; and simplify the report-ing requirements for food stamp recipients with earnings.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 95; Title 7, Part 273,§§ 10 and 12 of the CFR.

Rules Adopted in 1998

24. TDA-49-97-00007 Food Assistance Program*

Amended the Title of 18 NYCRR Part 358 and 18 NYCRR § 358-1.1, and added 18 NYCRR Part 388 and § 358-2.27 to implement theFood Assistance Program, consistent with State law at that time.

Analysis of the need for the rule: The amendments were developedto implement the Food Assistance Program.


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Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 95(10).

25. TDA-02-98-00003 Child Assistance Program (CAP)

Added 18 NYCRR Part 366 to implement provisions of Chapter436 of the Laws of 1997 concerning the CAP.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997 concern-ing the CAP, which was a district optional component of the FAprogram designed to encourage FA recipients to take steps towardsfinancial self-sufficiency.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 131-z.

26. TDA-02-98-00004 Law Enforcement Cooperation*

Amended 18 NYCRR § 357.3 to implement provisions of Chapter436 of the Laws of 1997 concerning law enforcement cooperation.

Analysis of the need for the rule: The amendments, permitting socialservices officials to contact law enforcement officials under certaincircumstances, were developed to implement SSL § 136, as amendedby Chapter 436 of the Laws of 1997, and to implement mandatoryprovisions of § 408 (a)(9)(B) of the Personal Responsibility and WorkOpportunity Reconciliation Act of 1996 (Public Law 104-193).

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 136.

27. TDA-02-98-00005 Earned Income Disregards for Recipients ofPublic Assistance

Repealed 18 NYCRR § 352.17(b)(1)(iii) and amended 18 NYCRR§§ 352.18, 352.19, and 352.20 to implement provisions of Chapter436 of the Laws of 1997 concerning the calculation of earned incomedisregards for recipients of public assistance.

Analysis of the need for the rule: The amendments were developedto implement Chapter 436 of the Laws of 1997, which revised certainincome disregards used in calculating eligibility for public assistance.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 131-a; Chapter 436 ofthe Laws of 1997.

28. TDA-02-98-00006 Sanctions for Non-Compliance

Amended 18 NYCRR § 352.30 to provide sanctions for noncompli-ance with work rules and drug or alcohol screening.

Analysis of the need for the rule: The amendments were developedto implement Chapter 436 of the Laws of 1997, which changed thesanction from an incremental reduction of benefits to a pro rata reduc-tion of benefits for a failure to comply with the work requirements of18 NYCRR Part 385. A similar sanction was imposed by Chapter 436of the Laws of 1997 on persons who failed to participate in a drug oralcohol screening program.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 132(4)(f), and 342; Chapter436 of the Laws of 1997.

29. TDA-02-98-00007 Local Flexibility Incentive Pilot Programs

Added 18 NYCRR § 300.9 to implement provisions of Chapter 436of the Laws of 1997 concerning local flexibility incentive pilotprograms.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997 concern-ing local flexibility incentive pilot programs to enable Districts todevelop and implement innovative, flexible and efficient human ser-vice programs.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 36-b; Chapter 436 ofthe Laws of 1997.

30. TDA-02-98-00008 Intentional Program Violations

Amended 18 NYCRR § 352.30 and Part 359 to impose sanctionsfor intentional program violations in the FA and SNA Programs.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997 concern-ing the imposition of sanctions for intentional program violations inthe FA and SNA Programs.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 145-c; Chapter 436 ofthe Laws of 1997.

31. TDA-02-98-00009 SNA Program*

Amended 18 NYCRR Part 370 to provide the standards for the SNAProgram.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichincluded the replacement of the term ‘‘home relief’’ with ‘‘safety netassistance’’ throughout the Part. Many of the requirements for homerelief remained under the SNA Program; however, the amendmentsadded several new provisions for eligibility for, and the provision of,SNA.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 157 -159; Chapter 436of the Laws of 1997.

32. TDA-02-98-00010 Replacement of Identification Cards*

Amended 18 NYCRR §§ 383.1 and 383.3 to implement provisionsconcerning when the identification card of a PA recipient should bereplaced.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichrequired Districts to provide a recipient of PA with a replacementidentification card within a certain time period.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 131(19); Chapter 436 ofthe Laws of 1997.

33. TDA-02-98-00011 Electronic Benefit Transfer System

Amended 18 NYCRR §§ 381.1 and 381.2 to implement the State-wide electronic benefit transfer system.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997 concern-ing the establishment of a Statewide electronic benefit transfer system,which provides recipients increased security and convenience in ac-cessing their benefits, while also reducing benefit fraud.

Legal basis: SSL §§ 20(3)(d), 21-a, and 34(3)(f).

34. TDA-02-98-00012 Eligibility for FA*

Amended 18 NYCRR Part 369 to implement provisions of Chapter436 of the Laws of 1997 concerning eligibility for FA.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichincluded replacing the term ‘‘aid to dependent children’’ with the term‘‘family assistance’’ throughout the Part. Many of the requirements foraid to dependent children remained under the FA program; however,the amendments added several new provisions for eligibility for, andthe provision of, FA.

Legal basis: SSL §§ 2(18), 20(3)(d), 34(3)(f), 131(6), 344, 349, and350(c)(2); Chapter 436 of the Laws of 1997.

35. TDA-02-98-00013 Screening for Alcohol and/or Drug Abuse*

Added 18 NYCRR § 351.2(i), requiring that applicants for orrecipients of public assistance be screened for alcohol and/or drugabuse and attend appropriate treatment programs as necessary.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichrequired screening for alcohol and/or substance abuse of all heads ofhouseholds and adult applicants for public assistance.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 132; Chapter 436 of theLaws of 1997.

36. TDA-02-98-00014 Exemption of Income and Resources forPublic Assistance

Amended 18 NYCRR § 352.23(a), (b), and (d) to provide for theexemption of certain income and resources for public assistanceeligibility.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichamended the provisions for the exemption of certain income and re-sources when determining public assistance eligibility in order to moreclosely align the public assistance resource policy with that of theFood Stamp Program.

Legal basis: SSL §§ 20(3)(d), 34(3)(f) and 131-n; Chapter 436 ofthe Laws of 1997.

37. TDA-02-98-00015 Recovery of Assistance for Basic Needs

Amended 18 NYCRR § 353.2(a) and (b) to clarify that interim as-sistance that is subject to recovery may include FA, if paid exclusivelyfrom State and local funds.


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Analysis of the need for the rule: The amendments were developedto implement Chapter 436 of the Laws of 1997, which renamed theprograms for which interim assistance may be recovered, and clarifiedthat interim assistance could be recovered from non-federally fundedFA provided to persons, or households containing such persons, whoare permanently disabled and awaiting determinations of eligibilityfor federal SSI benefits.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 349(B)(2); Chapter 436of the Laws of 1997.

38. TDA-02-98-00016 Individual Development Accounts

Added 18 NYCRR § 352.21 to implement the establishment of in-dividual development accounts.

Analysis of the need for the rule: The amendments were developedto implement Chapter 436 of the Laws of 1997, which permittedindividuals who are receiving FA to accumulate funds in certain indi-vidual development accounts.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 358(5); Chapter 436 ofthe Laws of 1997.

39. TDA-02-98-00017 Standards for Ineligibility for Public Assis-tance

Amended 18 NYCRR §§ 351.1(b)(2)(iv), 352.30(d)(2)-(4), and387.1(w) and added 18 NYCRR § 351.2(k) concerning standards forineligibility for public assistance.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichprohibited the following persons from receiving assistance: unmarriedpersons under 18 years old who are with a child and who have notcompleted or are not attending high school; fugitive felons and proba-tion and parole violators; persons convicted of illegally receivingduplicate benefits; and minors absent from their homes.


40. TDA-02-98-00018 FA and SNA

Added 18 NYCRR § 350.1(d) to provide technical consistency andclarify the regulatory language relative to the PA Program.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichestablished the FA Program and the SNA Program. The amendmentsstated that references to ‘‘aid to dependent children’’ refer to ‘‘familyassistance’’ and that references to ‘‘home relief’’ refer to ‘‘safety netassistance.’’ The amendment defined ‘‘public assistance’’ as referringto FA, SNA, and veteran assistance.

Legal basis: SSL §§ 2, 20(3)(d), and 34(3)(f); Chapter 436 of theLaws of 1997.

41. TDA-02-98-00019 Eligibility of Non-Citizens for FA

Repealed 18 NYCRR §§ 349.3 and 352.33 and added new 18NYCRR §§ 349.3 and 352.33 to: conform the State’s eligibilityrequirements for federally funded assistance to federal law; exercisefederal options for the eligibility of certain persons; and set forth therequirements for eligibility for State funded programs.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichaddressed the eligibility of non-citizens for FA, SNA, food stamps,Title XX benefits, and additional State payments in the SSI Program.The amendments established requirements for deeming the income ofan alien’s sponsor available to the alien for purposes of eligibility forvarious programs.


42. TDA-02-98-00036 Finger Imaging

Amended 18 NYCRR §§ 351.2, 384.1, 384.2(b) and (c), and384.3(a)(3), and added 18 NYCRR §§ 387.9(c) and 388.8 to extendthe scope of the automated finger imaging system.

Analysis of the need for the rule: The amendments were developedto implement provisions of Chapter 436 of the Laws of 1997, whichrequired Districts to obtain finger images of applicants for andrecipients of SNA, emergency SNA, EAF, public institutional care

adults, FA, food stamps, or food assistance benefits. (Note: effectiveNovember 1, 2012, finger imaging was eliminated for purposes ofadministering SNAP).

Legal basis: SSL §§ 17, 20(3)(d), 34(3)(f), 131(1), 134-a, 139-a,158, and 355(3); Chapter 436 of the Laws of 1997.

43. TDA-12-98-00018 Repayment of Grants for Energy Arrears

Amended 18 NYCRR § 352.5(e) to revise the regulations concern-ing who must sign an agreement to repay emergency assistanceprovided to pay utility arrears.

Analysis of the need for the rule: The amendments were developedto clarify the regulations concerning who must sign an agreement torepay emergency assistance provided to pay utility arrears.

Legal basis: SSL §§ 17, 20(3)(d), 34(3)(f), 131(1), 131-s, 158, and355(3).

44. TDA-15-98-00002 Nazi Persecution Payments

Added 18 NYCRR § 352.22(aa) to exempt payments to victims ofNazi persecution in determining eligibility for public assistance.

Analysis of the need for the rule: The amendments were developedto exclude reparation payments made to victims of Nazi persecutionfrom consideration in determining eligibility for and the amount ofbenefits to be paid under certain public assistance programs.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 131-n(2) .

45. TDA-15-98-00003 Immunizations*

Added 18 NYCRR § 355.1(c) to require Districts to provide infor-mation and a schedule regarding age-appropriate immunizations tocertain applicants for and recipients of public assistance.

Analysis of the need for the rule: The amendments were developedto require that Districts provide all applicants for and recipients ofpublic assistance whose households include a child five years of ageor younger with information and a schedule regarding age-appropriateimmunizations. The amendments also required that Districts mustprovide such applicants and recipients with information about eligibil-ity for free vaccinations for children.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 131(13).

46. TDA-19-98-00016 Recoveries of Public Assistance

Amended 18 NYCRR § 352.31(d)(5) to raise the threshold amountof public assistance to be recovered from an individual no longerreceiving assistance, from $35 to $125.

Analysis of the need for the rule: The amendments were developedto relieve Districts from the administrative burden of collecting over-payment amounts which are so small that collection is not costeffective.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 106-b.

47. TDA-25-98-00006 Domestic Violence Protection*

Amended §§ 347.5 (g) and (h), 351.2(l), 357.3(i), 358-3.1(b), 358-3.3, and 369.2(b)(1)(iv) to implement procedures for domesticviolence screening, assessment, and referral programs for applicantsfor and recipients of public assistance.

Analysis of the need for the rule: The amendments were developedto establish the procedures for the State’s domestic violence screen-ing, assessment, and referral program in order to provide care, sup-port, and protection to those applicants for and recipients of public as-sistance who are victims of domestic violence.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 349-a.

OTDA received one set of public comments regarding its RuleReview published in the New York State Register on January 31, 2018.The comments addressed several entries.

Two comments related to amendments to 18 NYCRR § 387.12(Standard Utility Allowances for the SNAP), and suggested thatOTDA “reconsider the historic basis for computing” SNAP standardutility allowances, particularly regarding the amounts factored in forwater, sewer and trash collection components of the SNAP standardutility allowances. OTDA disagrees with these comments. Thebaseline OTDA uses to configure the Statewide standard utility allow-ance allotments are tied to the Consumer Price Index (CPI) andincludes water, sewer and trash components. The allotments areadjusted yearly and approved by the United States Department ofAgriculture (USDA).


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One comment related to amendments to 18 NYCRR § 358-5.13(Video Hearings), and suggested that OTDA address its ongoing“monitoring and evaluation of video hearings” and the results thereofin this Rule Review. OTDA has monitored the video hearings processand continues to do so, thereby safeguarding the parties’ due processrights.

One comment related to amendments to 18 NYCRR Part 352 and§ 381(c) (Shelter Allowance), and suggested that OTDA “undertake acomprehensive evaluation of the cost of housing in each of the 58social services districts across the state and … propose and adopt sig-nificant increases in the shelter allowances.” OTDA considered thiscomment. Shelter allowance rates are set at a level to advance thepolicy that publicly-provided cash benefits should be adequate to meetbasic needs, and that recipients should be encouraged through workincentives to purchase higher quality housing if desired. It is importantto note that increases in the shelter allowance cause a decrease inSNAP benefits due to the increase in the public assistance (PA) stan-dard of need. This results in a reduction in essential benefits for theclients while allowing landlords to profit. OTDA acknowledges thatsome social services districts (districts) have extraordinary housingsituations, including high rates of homelessness, evictions and rentalcosts. In 2003, when the current shelter allowance was enacted, it wasrecognized that not all PA recipients would have rents at or below theshelter allowance. Therefore, districts were provided with the abilityto request State approval for a shelter allowance supplement, whichwould allow districts to provide additional rental assistance to PArecipients without affecting their SNAP benefits. The rent supplementprovides a flexible, cost-effective means for districts to supplementthe shelter allowance and to respond to the housing problems of par-ticular individuals and families as needed, rather than implementing acostly across-the-board increase in the shelter allowance for allrecipients. The rent supplement also provides the means for a districtto respond to district-specific housing issues that may affect housingaccess. For these reasons, it is imperative that each district have theoption to implement its own rent supplement program in order todesign a program that meets the particular needs of the locality, whichoften vary widely between rural and urban districts. Generally, rentsupplements are disbursed only to homeless households, so they cantransition into permanent housing, and to those households having dif-ficulty meeting their rent payments and, consequently, are at high riskof becoming homeless. As with any PA benefit, rent supplements aredesigned to provide temporary assistance to recipients until they canobtain a level of self-sufficiency which allows them to transition offPA and to afford to make their rent payments on their own. Currently,17 districts offer approved shelter supplement plans for single adultsand childless couples, and 6 districts offer approved shelter supple-ment plans for families.

One comment related to amendments to 18 NYCRR § 352.17(e)(Adjustment of PA Grants), and suggested that OTDA increase theminimum threshold for recoveries of PA payments to $1,000, consis-tent with the Social Security Administration’s (SSA’s) policy relativeto Supplemental Security Income (SSI) overpayments. OTDA dis-agrees with this comment. 18 NYCRR § 352.31(d)(5) provides adistrict the ability to determine if recovery of an overpayment on aclosed PA case is cost effective, regardless of the $125 threshold:

When the overpayment is $125 or more and does not involve fraud,social services districts may elect to discontinue collection procedureswhen it is determined that the cost of recovery is greater than the costof collection and reasonable efforts to recover the overpayment havebeen made. Reasonable efforts must include notification of the amountof and reason for the overpayment and that repayment is required(emphasis original).

Increasing the threshold for recovery would impair the ability ofdistricts to recover significant amounts of benefits that were improp-erly received – including those received under Safety-Net Assistance(SNA), for which districts pay 71 percent of the costs.

One comment related to amendments to 18 NYCRR §§ 369.1,372.2, and 372.4 (Eligibility for Emergency Assistance to Needy Fam-ilies with Children [EAF]), and suggested that OTDA amend 18NYCRR § 372.4(a) to include language permitting the use of EAFfunds for medical services. OTDA disagrees with this comment.

Federal law prohibits Temporary Assistance for Needy Families(TANF) funds from being used for medical services (42 United StatesCode Annotated [USCA] § 608[a][6]), and, consistent therewith,OTDA amended State regulations in 1999 to also preclude the use ofEAF funds for medical services. OTDA also notes that, per Social Ser-vices Law (SSL) § 350-j(1), “Any inconsistent provisions of thischapter or any other law notwithstanding, so long as federal aid isavailable therefor, a social services district shall provide emergencyassistance….” Insofar as federal law prohibits the use of federal mon-ies for medical services, the use of EAF funds for medical serviceswould be inconsistent with federal law.

One comment related to amendments to 18 NYCRR § 387.17(a)(Food Stamp Certification Periods), and suggested that OTDA “amend18 NYCRR § 387.17(a)(2) … to reflect the 48 month certification pe-riod authorized under the federally-approved New York State Nutri-tion Improvement Project (NYSNIP).” OTDA is presently consider-ing this suggestion.

One comment related to amendments to 18 NYCRR§ 387.14(a)(5)(i)–(ii) (Eligibility for Food Stamps), and suggestedthat OTDA “amend 18 NYCRR § 387.14(a)(5) to incorporate SNAP’sexpanded categorical eligibility provisions.” OTDA notes that amend-ments to 18 NYCRR § 387.14(a)(5), incorporating expanded categori-cal eligibility provisions for the SNAP, were previously adopted inSeptember 2017.

One comment related to amendments to 18 NYCRR § 352.30(Sanctions for Non-Compliance), and suggested that OTDA amend 18NYCRR §§ 385.11 and 385.12 to reflect statutory changes to SSL§§ 341-a and 342-a, respectively, regarding Temporary Assistance(TA) conciliation and sanctions. OTDA has published a Notice ofProposed Rule Making that addresses this comment, and OTDA is as-sessing the public comments received.

One comment related to amendments to 18 NYCRR § 300.9 (LocalFlexibility Incentive Pilot Program [Program]), and suggested thatOTDA amend 18 NYCRR § 300.9 to remove references to the NewYork State Department of Labor (DOL), and to establish precondi-tions for OTDA approval of districts’ pilot programs, including: (1)district solicitation of public comment on the proposed pilot program;(2) posting the proposed pilot program’s rules on district websites andproviding copies of such rules to all program participants; and (3), rel-ative to proposed pilot programs in New York City, mandated compli-ance with the New York City Administrative Procedure Act (CAPA).OTDA disagrees with this comment. OTDA counters that removal ofregulatory references to the DOL is unnecessary, given that the currentregulatory language of 18 NYCRR § 300.9(a) references OTDAestablishment of the Program in cooperation with the DOL (emphasissupplied). OTDA also asserts that the suggested preconditions forOTDA approval of such programs are recommendations devoid ofstatutory support. Moreover, such strictures would impair the abilitiesof the districts and OTDA to effectively oversee discretionary spend-ing and implement meritorious programs.

OTDA is considering amendments that may impact the regulatorychanges that were adopted in 2015, 2013, 2008, 2003, and 1998.OTDA is considering the following regulatory amendments: amendregulations to clarify the requirements for income withholding forpersons served by the Title IV-D child support program (IV-D) toconform with changes to the federal IV-D Income Withholding Order/Notice for Support (IWO) form; amend regulation to update andclarify standards pertaining to hotels and motels used as placementsfor recipients of temporary housing assistance; revise regulation toclarify that disqualification consent agreements are reviewable at afair hearing to ensure compliance with procedural requirements; reviseregulations to raise the level of the minimum annual HEAP or otherenergy assistance benefit required to confer eligibility for the SNAPHeating and Cooling Standard Utility Allowance (HCSUA) from$1.00 to $21.00; delete SNAP monthly reporting/retrospective budget-ing references and add provisions for change reporting; amend SNAPcertification period to reflect the 48-month certification period autho-rized under NYSNIP; and update regulations to reflect the currentpolicy that standard allowances for heating/air conditioning, utilityand telephone costs are used in calculating shelter expenses for SNAP.At this time, OTDA has determined that no additional modifications,


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other than those set forth above, need to be made to its regulationsadopted in 2015, 2013, 2008, 2003, and 1998, as amended or otherwisemodified.

OTDA has determined that in the ensuing calendar year, it shouldreview certain regulations from Title 18 NYCRR adopted in 2016,2014, 2009, 2004 and 1999. These regulations, listed below, aresubject to the provisions of SAPA § 207. The regulations must bereviewed to determine whether they should be retained as written ormodified. OTDA invites written comments on the continuation ormodification of these regulations in order to assist in the requiredreview. We will consider only those comments that are received byApril 30, 2019.


A. TDA-03-16-00001 Referrals of Human Trafficking Victims fromEstablished Providers of Social or Legal Services*

Amended 18 NYCRR 765.1 and 765.2 to clearly define the partici-pant agencies that are statutorily authorized to participate in the refer-ral process.

Analysis for the need for the rule: These amendments were neededto conform State regulations with Chapter 368 of the Laws of 2015.

Legal basis for the rule: SSL § 20(3)(d); L. 2015, ch. 368; L. 2011,ch.24; L. 2007, ch. 74; SSL Article 10-D

B. TDA-45-15-00012 Public Assistance (PA) Resources Exemptionfor Four-Year Accredited Post-Secondary Educational Institutions

Amended 18 NYCRR 352.23(b)(4) to exempt up to $1,400 forfunds in a separate bank account for the sole purpose of paying tuitionat two-year or four-year accredited post-secondary educational institu-tions, so long as the funds are not used for any other purpose.

Analysis for the need for the rule: By allowing PA recipients to uti-lize the exempt resources amount for either a two-year or four-yearaccredited educational institution, the regulatory amendment offersPA recipients enhanced educational options to advance their workforcereadiness and financial earning capabilities through the pursuit ofhigher education.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 131(1) and131-n; L. 2014, ch. 58, part J, § 5

C. TDA-45-15-00011 Burden of Proof at Fair Hearings Challeng-ing Interim Assistance Reimbursement (IAR) Amounts

Amended 18 NYCRR 358-5.9(a) to clarify the burden of proof forfair hearings concerning Interim Assistance reimbursement (IAR).The amendments provided that a social services district must establishthat its actions were correct at a fair hearing concerning the amountdeducted from the initial payment of supplemental security income asreimbursement of PA.

Analysis for the need for the rule: The amendments rendered Stateregulations consistent with case precedents set by the New York Statecourts.

Legal basis for the rule: SSL §§ 20(3)(d), 22(8) and 95; L. 2012, ch.41

D. TDA-47-15-00004 Child Support Program*

Amended 18 NYCRR §§ 346.2, 347.12, 341.17, 347.25, 352.15,352.22, 352.31, and 369.1; repealed and added new 347.2 and 347.13,and added § 300.13 to amend regulatory requirements concerning thedistribution and disbursement of child support collections.

Analysis of the need for the rule: These amendments were requiredto comply with federal statutes and requirements.

Legal basis for the rule: SSL §§ 17(a)-(b), (i), 20(2)-(3), 34, 111-a,111-c(2)(a), (d), 131-a(8)(a)(v), 158(5)-(6)(i), 348(2)-(3); FederalSocial Security Act, §§ 408(a)(3), 457; 45 CFR §§ 302.32, 302.50-302.52, 303.72 Federal Deficit Reduction Act of 2005 (P.L. 109-171)

E. TDA-20-15-00001 Information Appropriate for Victims ofSexual Assault*

Added 18 NYCRR § 351.2(m) to require districts to make all ap-plicants for and recipients of public assistance aware of their option toreceive information appropriate for victims of sexual assault

Analysis of the need for the rule: The amendment increasedoutreach to victims of sexual assault and promoted access to essential

services necessary for victims of sexual assault to overcome the phys-ical, mental and emotional trauma associated from such abuse.

Legal basis for the rule: SSL §§ 17(a)-(b), (i), 20(2)-(3)(d), 34(3)(f)and 131(20); L. 2009, ch. 427

F. TDA-27-15-00002 Child Support Federal Incentive Payments*

Amended 18 NYCRR Part 347.16 in order to establish the proce-dures by which the State distributes child support incentives receivedfrom the U.S. Department of Health and Human Services and allocateportions of those incentives to districts.

Analysis of the need for the rule: The amendment complied withchanges to the federal incentive payment process under the Child Sup-port Performance and Incentive Act (CSPIA).

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 111-a; 42 USC§ 658a; 45 CFR, §§ 302.55, 303.52, 305.2, 305.31, 305.33

G. TDA-37-15-00005 Monthly Shelter Supplements*

Amended 18 NYCRR § 352.3(a)(3)(i) in order to update Stateregulations to reflect current State law by extending the authority toprovide additional monthly shelter supplements to eligible public as-sistance applicants and recipients, including single adults and child-less couples.

Analysis of the need for the rule: For homeless households that aremoving from temporary housing to permanent housing, public assis-tance can be a stabilizing factor allowing households to begin workingor increase earnings as they receive assistance to help pay bills,purchase food and meet their monthly rent. When necessary, rentsupplements are also a stabilizing factor to help pay for some of therent until the households become self-sufficient.

Legal basis for the rule: SSL §§ 20(3)(d), 34(3)(f), 131(1); L. 2009,2011-2015, Ch. 53; L. 2010, chs. 58, 110

H. TDA-39-15-00016 Temporary Housing Placements*

Amended 18 NYCRR §§ 352.8(b)(1) and 352.3(h) and added§ 352.3(m) to adjust the rate approval process for temporary housingplacements and expand the scope of inspections for such placements.

Analysis of the need for the rule: OTDA’s review and approval ofthe room and board rates help ensure that rates for temporary housingnegotiated between districts and temporary housing providers are fairand affordable, and that they include services necessary to assistvulnerable families and individuals in their transitions out ofhomelessness. The expansion of inspections promotes greater account-ability by districts for the quality of the temporary housing that isutilized.

Legal basis for the rule: SSL §§ 20(2), (3)(d), 34 and, 131-v(4)

I. TDA-06-16-00016 Emergency Shelters for the Homeless*

Added 18 NYCRR § 352.37 to allow OTDA full authority to takeimmediate emergency action against facilities and districts that are notproviding emergency shelter that comports with prescribed standards.

Analysis of the need for the rule: The regulation helps ensure thatemergency shelters are maintained in safer, more sanitary conditions,and that the welfare of residents is better protected.

Legal basis for the rule: SSL §§ 17(a)-(b), (i), 20(2)- (3), 34, 460-cand 460-d; Executive Law § 43(1); General Municipal Law § 34; StateFinance Law § 109(4); New York City Charter § 93; Buffalo CityCharter, ch. C, art. 7, § 7-4

J. TDA-19-16-00007 SNAP

Amended 18 NYCRR § 387.9(a)(7)(ii)(a)-(b)(2)-(3); and added 18NYCRR § 387.9(a)(7)(ii)(c) to provide that in the event one or morehousehold members no longer reside with a household terminated forrefusal to cooperate, the penalty for refusal to cooperate will attach tothe household of the person(s) refusing to cooperate.

Analysis of the need for the rule: The amendments are necessary tobring the State regulations concerning household cooperation withquality control reviews into compliance with federal statutes andregulations.

Legal basis for the rule: 7 USC, ch. 51 (generally) and §§ 2011 and2013; 7 CFR § 273.2(d); SSL §§ 17(a)-(b) and (j), 20(3)(d), 34(3)(f)and 95; L. 2012, ch. 41

K. TDA-21-16-00005 Income Withholding of Child or CombinedChild and Spousal Support


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Amended Part 344 of 18 NYCRR and § 347.9 in order to updateState regulations related to income withholding of child support orcombined child and spousal support for persons who are not served byPart D of Title IV of the federal Social Security Act and for personswho are in receipt of Title IV-D services, respectively.

Analysis of the need for the rule: The regulatory amendments werenecessary to render the State regulations consistent with Civil PracticeLaw and Rules (CPLR) §§ 5241 and 5242, SSL § 111-b(14), andfederal law.

Legal basis for the rule: 42 USC §§ 651, 654b, 666(a)(8)(B)(iii) and(b)(6); CPLR §§ 5241 and 5242; SSL §§ 17(a)-(b), (j), 20(3)(d),34(3)(f), 111-a and 111-b(14)

L. TDA-25-16-00002 Emergency Shelters*

Added 18 NYCRR 352.38 to address security measures and incidentreporting in shelters for the homeless. The regulatory amendmentsrequired the operator of each emergency shelter to submit to OTDAand the district in which the emergency shelter is located an annual se-curity plan for the emergency shelter. In addition, each district shallsubmit an annual plan to OTDA to help ensure that emergency sheltersoperating within the district are providing security and taking ap-propriate measures to protect the physical safety of emergency shelterresidents and staff. Additionally, the regulatory amendments wouldclarify not only that reports of all serious incidents impacting upon thesafety and well-being of shelter residents or staff must be documentedand timely submitted to OTDA, but also OTDA’s authority to direct adistrict or emergency shelter operator to take additional securitymeasures where an incident is reported.

Analysis of the need for the rule: The regulations help ensure thatreasonable security measures are implemented at emergency sheltersand that the safety of emergency shelter residents and staff is protected.

Legal basis for the rule: Social Services Law, §§ 17(a)-(b), (j),20(2)-(3), 34, 460-c and 460-d

M. TDA-22-15-00005 SNAP*

Amended 18 NYCRR § 387.1, and added § 387.25 to update regula-tions for the Transitional Benefits Alternative (TBA) program, whichprovides additional federally funded SNAP benefits to certain house-holds with children that are leaving cash assistance programs. Theseadditional benefits help families meet their nutritional needs whilemaking the transition from cash assistance to employment.

Analysis of the need for the rule: Both social services districts andrecipients benefitted from having the requirements of the TBAprogram set forth in State regulations.

Legal basis for the rule: 7 USC § 2020(s); Social Services Law§ 20(3)(d) and 95

N. TDA-39-16-00010 Standard Utility Allowances for SNAP*

Amended 18 NYCRR § 387.12 to set forth the federally approvedstandard utility allowances as of October 1, 2016.

Analysis of the need for the rule: It is of great importance that thefederally approved standard utility allowances for SNAP were appliedto SNAP benefit calculations effective October 1, 2016. If post stan-dard utility allowances were not updated on October 1, 2016, it couldhave resulted in thousands of SNAP dependent households receivingSNAP overpayments each month. Households receiving such overpay-ments could be subject to an extended period of SNAP recoupments atthe rate of 10% of their monthly SNAP benefits to recover the result-ing overpayments of SNAP benefits. Thus, the rule was necessary forthe preservation of the public health and the general welfare of SNAPdependent households.

Legal basis for the rule: SSL §§ 17(a)-(b), (j), 20(3)(d) and 95; 7USC § 2014(e)(6)(C); 7 CFR § 273.9(d)(6)(iii)

O. TDA-37-16-00004 PA Use of Resources - General Policy

Amended 18 NYCRR 352.23(b)(2) to update PA resource exemp-tions related to automobiles. Prior to this amendment, PA applicantsand recipients were allowed to exempt one automobile, up to $4,650fair market value. The amendment raised the fair market value of theexempt automobile on the following time line: one automobile, up to$10,000 fair market value, through March 31, 2017; one automobile,up to $11,000 fair market value, from April 1, 2017 through March 31,

2018; and one automobile, up to $12,000 fair market value, beginningApril 1, 2018 and thereafter, or such other higher dollar value as thedistrict may elect to adopt. However, if the automobile is especiallyequipped with apparatus for individuals with a disability, the appara-tus must not increase the value of the automobile.

Analysis of the need for the rule: This amendment was needed tomake State regulations consistent with § 1 of Part X of Chapter 54 ofthe Laws of 2016.

Legal basis for the rule: SSL §§ 17(a)-(b), (j), 20(3)(d), 34(3)(f),131(1) and 131-n; L. 2016, ch. 54, part X, section 1

P. TDA-36-16-00006 SNAP*

Amended 18 NYCRR § 387.1 to update State regulations by addingthe definitions of “eligible food” and “trafficking of SNAP benefits” toreflect federal requirements regarding the trafficking of SNAP benefits.

Analysis of the need for the rule: The regulatory amendments werenecessary to bring the State regulations into compliance with federalrequirements and State practices.

Legal basis for the rule: 7 USC Ch. 51 and §§ 2011, 2013 and 2024;7 CFR §§ 271.2 and 273.16; SSL §§ 17(a)-(b), (j), 20(3)(d) and 95; L.2012, ch. 41


Q. TDA-14-14-00014 State Supplement Program (SSP)*

Repeal of 18 NYCRR Part 398; addition of a new Part 398 and§ 358-5.12 to set forth the process for OTDA’s administration of theSSP and allow for telephone hearings to challenge SSP determinations.

Analysis of the need for the rule: These regulations provide theframework for OTDA’s administration of the SSP. The regulationsprovide the initial and continuing eligibility requirements for ad-ditional State payments. They set forth the reporting responsibilitiesof applicants and recipients of the SSP benefits and the ramifications ifthey fail to comply with the requirements. The regulations address theissuance of notices of action and provide for administrative fairhearings. They also address when OTDA will replace additional Statepayments for recipients and when underpayments of such benefits willbe corrected. Conversely, the regulations also provide when OTDAwill recover overpayments and equivalent benefits from recipients.The regulations address OTDA’s administrative responsibilitiesincluding confidentiality and document retention requirements. Lastly,the regulations allow telephone hearings for applicants and recipientsof additional State payments.

Legal basis for the rule: SSL §§ 20(3)(d), 22(3)(f), (4), (8), 207, 211and 212

R. TDA-36-14-00014 Noncompliance with SNAP Work Require-ments; SNAP Conciliation Process*

Amended 18 NYCRR §§ 385.11 and 385.12 to render State regula-tions governing noncompliance and the conciliation process consis-tent with federal requirements.

Analysis of the need for the rule: These regulations were developedto make OTDA regulations pertaining to noncompliance and noticerequirements consistent with federal regulations and policy. Theregulations, in part, provide that SNAP applicants who fail to complywith work requirements without good cause are no longer subject to adurational sanction, and SNAP recipients will have the opportunity toavoid the imposition of a SNAP sanction by timely demonstratingcompliance with the work requirements of the employment and train-ing program as assigned by the District.

Legal basis for the rule: SSL § 95(1)(b); 7 USC §§ 2011, 2013 and2029

S. TDA-38-14-00023 Standard Utility Allowances for SNAP*

Amended 18 NYCRR § 387.12 to update the standard utility allow-ances for SNAP to the federally approved levels as of October 1, 2014.

Analysis of the need for the rule: It was of great importance that thefederally approved standard utility allowances for the SNAP were ap-plied to SNAP benefit calculations effective October 1, 2014. If thestandard utility allowances were not updated on October 1, 2014, itcould have resulted in thousands of SNAP dependent householdsreceiving underpayments each month. Thus, the rule was necessaryfor the preservation of the public health and general welfare of SNAPdependent households.


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Legal basis for the rule: SSL §§ 20(3)(d) and 95; 7 USC§ 2014(e)(6)(C); 7 CFR § 273.9(d)(6)(iii).


T. TDA-17-08-00032 State-Confirmed Human Trafficking Victims*

Added Part 765 of Subchapter K to Title 18 NYCRR to govern theprocess and protocols for confirming an individual as a human traf-ficking victim in New York State.

Analysis of the need for the rule: The amendments provide moredetailed instruction on protocols and procedures relating to theconfirmation of human trafficking victims and the OTDAresponsibilities. The need for the amendments is derived from the ne-cessity to clearly define the participant agencies, the victim, and theterms describing the process of referral; to clearly describe the natureof OTDA’s consultative role in the confirmation process; and to clearlydescribe the process for required notifications to the prescribed parties.

Legal basis: SSL Art. 10-D.

U. TDA-04-09-00011 Educational Activities*

Amended §§ 385.6(a) and (b), 385.7(a) and (b), and 385.9(c) ofTitle 18 NYCRR to provide additional opportunities to participate ineducation and other skill development activities.

Analysis of the need for the rule: The amendments were developedto increase the skills of individuals receiving public assistance throughthe provision of additional opportunities to participate in educationand other skill development activities.

Legal basis: 42 United States Code (U.S.C.) §§ 601(a) and 607;SSL Art. 5, Title 9-B.

V. TDA-07-09-00014 Utility Service*

Amended § 352.5(e) of Title 18 NYCRR to suspend the enforce-ment of utility repayment agreements during periods of cold weather.

Analysis of the need for the rule: The amendment was developed tobetter enable districts to help protect the health and safety of house-holds if they suffer utility shutoffs during a cold weather period as aresult of high energy costs.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 131(1), and 131-s.

W. TDA-09-09-00007 Recovery of Overpayments*

Amended § 352.31(d)(1) of Title 18 NYCRR to delete the regula-tory requirement to recoup/recover overpayments from all membersof an assistance unit regardless of their ages at the time ofoverpayment.

Analysis of the need for the rule: This amendment was developed tobenefit children by relieving them of the financial responsibility of anoverpayment incurred when they were children in the assistance unit.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 106-b.


X. TDA-03-04-00003 Supplemental Security Income (SSI) Ben-efits*

Repealed § 352.2(b) and added new § 352.2(b); amended§§ 352.3(k)(3), (i), 352.30(a) and (f), and 352.31(a)(2); and added§ 352.3(l) to Title 18 NYCRR, to require districts to consider the pres-ence in the household of an adult or child receiving SSI who would,except for the receipt of SSI, be required to be included in the publicassistance household when determining the household’s standard ofneed.

Analysis of the need for the rule: The amendments were developedto eliminate different budgeting methods required to be used for vari-ous family circumstances, and, with the exception of budgeting forhouseholds requesting and eligible to receive an emergency shelter al-lowance under § 352.3(k), to establish one budgeting method fordetermining the needs standard for a household that is applying forbenefits.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 158, 349, and 355(3).

Y. TDA-28-03-00008 Eligibility of Refugees, Asylees, and Aliensfor Public Assistance*

Amended §§ 349.3(a)(1)(iv), (vii), (2), (b), and 352.33; and added§ 349.3(c) to Title 18 NYCRR to implement changes to the public as-sistance eligibility requirements for refugees, asylees, and aliens as setforth in Chapter 214 of the Laws of 1998.

Analysis of the need for the rule: The amendments were developedto implement provisions in Chapter 214 of the Laws of 1998, and toincorporate federal clarification of certain definitions related to citizen-ship and alien status.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 122, 131(1), and 355(3).

Z. TDA-13-04-00002 Cash Management Subsystem*

Amended § 600.6 of Title 18 NYCRR requiring districts to use thecash management subsystem of the welfare management system.

Analysis of the need for the rule: The amendment was developed tostandardize local cash processing systems by requiring districts to usethe cash management subsystem of the welfare management systemfor receipt of cash and for refunds and recoveries of past expendituresand the collection and tracking of overpayments; to reduce the numberof systems used by districts to establish and collect recoveries andoverpayments on a timely basis; to identify claims on collection cases;and to encourage more orderly claims processing.

Legal basis: SSL §§ 20(3)(d), 21, 21(2), 34(3)(f), and 82.

AA. TDA-17-04-00016 Exemption of Earned Income*

Amended § 352.20(a) and (b) of Title 18 NYCRR concerning theexemption of the earned income of full-time and part-time studentswhen determining eligibility for public assistance.

Analysis of the need for the rule: The amendment was developed toimplement Chapter 246 of the Laws of 2002, which amended theregulations to provide that all income earned by a dependent childreceiving public assistance or for whom an application for such assis-tance has been made, who is a full-time or part-time student attendinga school, college, or university or a course of vocational or technicaltraining designed to fit him or her for gainful employment, is exemptwhen determining eligibility for public assistance.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 131-a(8), 158, 349, and355(3).


BB. TDA-30-98-00005 Child Support Cooperation Requirements*

Amended §§ 347.5, 360-3.2, 369.1, 369.2, 369.7, 370.2, and 370.9of Title 18 NYCRR to require the local child support enforcementunit, instead of local public assistance or medical assistance unit, todetermine whether an applicant/recipient has cooperated in establish-ing paternity and in establishing, modifying, and enforcing a supportorder for the child (for medical assistance, a medical support orderonly).

Analysis of the need for the rule: These amendments implementedPublic Law 104-193, regarding cooperation in establishing paternityand establishing, modifying, or enforcing a support order for the childby applicants for and recipients of public assistance and medical assis-tance, and Chapter 398 of the Laws of 1997, requiring applicants forand recipients of medical assistance to cooperate in establishingpaternity or establishing, modifying, or enforcing a medical supportorder for the child.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 111-a, and 364; Chapter 474of the Laws of 1996.

CC. TDA-39-98-00067 Child Support Cooperation and Reductionof Benefits

Amended § 352.30 (d) of Title 18 NYCRR to implement provisionsof Public Law 104-193 and Chapter 214 of the Laws of 1998.

Analysis of the need for the rule: This amendment conformed theregulations to changes in federal and State law, so that instead of anindividual being ineligible for public assistance when the individualfailed to cooperate in establishing paternity or in establishing, modify-ing, or enforcing a support order for the child (absent good cause forsuch failure or other exception from so cooperating), the public assis-tance otherwise available to the individual’s household will be reducedby 25 percent.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 131 (16).

DD. TDA-46-98-00015 Emergency Assistance to Families (EAF)

Amended §§ 372.1, 372.2, 372.4, and 372.6 of Title 18 NYCRR, inpart, to implement provisions of § 38 of Part B of Chapter 436 of theLaws of 1997.


108

Analysis of the need for the rule: The amendments were developedto implement Chapter 436 of the laws of 1997, which amended § 350-jof the SSL concerning the types of care that EAF can pay for, eliminat-ing the maximum time period for EAF eligibility, and setting forthother EAF eligibility requirements.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 350-j; § 38 of Part B ofChapter 436 of the Laws of 1997.

EE. TDA-47-98-00002 Tier II Family Shelters

Amended Part 900 of Title 18 NYCRR to conform the regulationsgoverning the operation of shelters for homeless families to § 352.35of Title 18 NYCRR.

Analysis of the need for the rule: The amendments were developedto update Part 900 of Title 18 of the NYCRR to conform to the regula-tions governing the provision of temporary housing assistance topersons that are homeless as set forth in 18 NYCRR § 352.35.

Legal basis: SSL §§ 20(3)(d) and 34(3)(f); Chapter 562 of the Lawsof 1953.

FF. TDA-52-98-00007 Lottery Intercept

Added Part 396 to Title 18 NYCRR concerning the interception oflottery awards to repay public assistance received.

Analysis of the need for the rule: The amendment was developed toimplement provisions of § 131-r of the SSL which authorized OTDAto recoup any public assistance paid over the prior 10 years fromrecipients of such assistance who won lottery prizes of $600 or more.The amount of assistance to be recovered could not exceed 50% of thelottery prize.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), and 131-r.

GG. TDA-07-99-00002 Child Assistance Program (CAP) Partici-pants

Amended § 366.4(c)(2)(ii) and added § 366.7(o) to clarify theeligibility requirements for a family in receipt of Family Assistance(FA) to participate in the CAP and to add the repair of heating equip-ment, cooking stoves, and refrigerators to the list of special allow-ances to which CAP recipients could be entitled.

Analysis of the need for the rule: The amendments were developedto conform the State regulation to current practices by districts rela-tive to the eligibility prerequisites that must be met by a family receiv-ing FA to enroll in the CAP, and to remedy an administrative oversightin the original Part 366 of Title 18 NYCRR which did not include therepair of heating equipment, cooking stoves, and refrigerators on thelist of special allowances.

Legal basis: SSL §§ 20(3)(d), 34(3)(f), 131-z, and 355(3).

HH. TDA-10-99-00001 Supervisory Review*

Amended § 351.7 of Title 18 NYCRR to provide districts the op-tion of conducting supervisory reviews on all actions on public assis-tance cases or of conducting supervisory reviews on selected cases.

Analysis of the need for the rule: The amendment was developed togive districts the option to forego supervisory review of applicationsfor public assistance. There are cases in which strict guidelines can beapplied to such applications and no discretion is involved, therebyreducing the need for a supervisor’s review. If districts wished toreview only a certain proportion of the cases, they could submit a planto OTDA for approval setting forth requirements for supervisoryreview.

Legal basis: SSL §§ 20(3)(d) and 34(3)(f).

II. TDA-14-99-00014 Reporting Requirements*

Amended Part 651 of Title 18 NYCRR to implement § 149 of PartB of Chapter 436 of the Laws of 1997, which required that OTDA andthe Department of Labor (DOL) collect data related to the operationof public assistance programs, including, but not limited to, informa-tion that must be submitted to the federal Department of Health andHuman Services pursuant to Public Law 104-193.

Analysis of the need for the rule: The rule sets forth the districts’requirements for monthly reporting to OTDA and DOL.

Legal basis: SSL §§ 20(3)(d) and 34(3)(f); § 149 of Part B ofChapter 436 of the Laws of 1997.

JJ. TDA-40-99-00001 Allowances to Children Suffering from SpinaBifida*

Amended §§ 352.22(c), (f), (w), (x), and (y), and added§ 352.22(bb) to Title 18 NYCRR to implement the provisions of Pub-lic Law 104-204, which provided that allowances paid on behalf ofthe natural children of Vietnam veterans who suffered from spinabifida could not be considered when determining eligibility for anyfederally-financed program.

Analysis of the need for the rule: These amendments implementedprovisions of Chapter 18 of Part II of Title 38 of the U.S.C., as addedby Public Law 104-204, and made technical corrections to severalprovisions of 18 NYCRR § 352.22 consistent with Public Law 104-193 and Chapter 436 of the Laws of 1997.


CONCLUSION

* The asterisks identify rules for which a regulatory flexibility anal-ysis, rural area flexibility analysis, or job impact statement wasprepared.

The rule review may be accessed on OTDA’s website at http://otda.ny.gov/legal/rule-review-2019.pdf.

Any comments should be submitted to: Joseph C. Mazza, Office ofTemporary and Disability Assistance, 40 N. Pearl St., 16th Fl., Albany,NY 12243, (518) 474-0574, e-mail: [email protected].


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http://otda.ny.gov/legal/rule-review-2019.pdf

http://otda.ny.gov/legal/rule-review-2019.pdf

GUIDANCE

DOCUMENTSNot less than once each year, every agency shall submit to the Secretary of State for publication in the State Register a list of allGuidance Documents on which the agency currently relies [SAPA, section 202-e(1)]. However, an agency may be exempted fromcompliance with the requirements of SAPA section 202-e(1) if the agency has published on its website the full text of all GuidanceDocuments on which it currently relies [SAPA, section 202-e(2)].

Office of Temporary and Disability Assistance

The State Administrative Procedure Act (SAPA) § 202-e requiresevery State agency, at least once a year, to submit to the Secretary ofState for publication in the New York State Register a list of guidancedocuments on which the agency currently relies and to provide infor-mation on where and how regulated parties and members of the publicmay inspect and obtain copies of the documents. Set forth below is thelist of guidance documents relied upon by the New York State Officeof Temporary and Disability Assistance (OTDA). Many of these docu-ments are available for review on OTDA’s website atwww.otda.ny.gov. Copies of the documents may be requested by writ-ing to OTDA’s Public Information Office, 40 North Pearl Street, 16thFloor, Albany, New York 12243-0001, by calling (518) 474-9516, orby e-mailing: [email protected]. Arrangements can be made withthat Office for inspection of the documents.

Comments related to the guidance documents should be submittedto: Joseph C. Mazza, OTDA, 40 North Pearl Street, 16th Floor,Albany, New York 12243-0001; or [email protected].

MANUALS AND SOURCE BOOKS

1. Temporary Assistance Source Book

2. Temporary Assistance for Needy Families State Plan

3. Supplemental Nutrition Assistance Program (SNAP) SourceBook

4. Home Energy Assistance Program Manual

5. Home Energy Assistance Program State Plan

6. Temporary Assistance Energy Manual

7. Cash Management Subsystem (CAMS) Manual

8. The Automated Budgeting and Eligibility Logic (ABEL) Refer-ence Manual

9. Institute of Internal Auditors International Professional PracticesFramework

10. Benefit Issuance Control Subsystem (BICS) Services PaymentsProcessing (BSPP) Manual

11. Benefit Issuance Control Subsystem (BICS) Operations Manual

12. Electronic Benefit Transfer (EBT) Fiscal Manual

13. Fiscal Reference Manual: Policy and Procedures; Forms andInstructions; County Cost Allocation Plan; and New York City CostAllocation Plan

14. GAO Government Auditing Standards

15. Indirect Payment Processing Subsystem (IPPS) Manual

16. Local District Claiming System Users Manual

17. Payment Issuance and Control System (PICS) Manual

18. State Data Exchange (SDX) Reference Guide

19. System Reference Manual (SRM)

20. Welfare Management System (WMS) Worker’s Guide to Codes

21. Non Public Assistance (NPA) Food Stamp Desk Guide to Codes

22. IM Operational Handbook Authorization of Grants Manual

23. Budgeting Manual NPA Food Stamp Program

24. Budgeting Manual Public Assistance Program

25. Client Notices System (CNS) Codes & Text Catalogue

26. Client Notices Manual

27. Time Limit Tracking Manual

28. Temporary Assistance and Food Stamp Employment PolicyManual

29. Benefit Issuance Control Subsystem (BICS) Error List

30. COSO Guidance ─ Committee on Sponsoring Organizations ofthe Treadway Commission

31. eDRS Worker Manual

32. Disaster SNAP State Plan

33. SNAP Employment & Training Plan

34. New York State SNAP Management Evaluation Plan

35. Standards for Internal Control in New York State Government

36. WMS New York City Reference Manual

37. WMS Upstate System Reference Manual

38. WMS Code Cards

39. WMS Error Listing

ADMINISTRATIVE DIRECTIVES (ADMs), INFORMATIONALLETTERS (INFs), LOCAL COMMISSIONER MEMORANDA(LCMs), GENERAL INFORMATION SYSTEM (GIS) MESSAGES,DEAR COLLEAGUE LETTERS (DCLs), OFFICE OF ADMINIS-TRATIVE HEARINGS (OAH) PROCEDURES TRANSMITTALS,AND OTHER ISSUANCES

2018

ADMs

18-ADM-07 Able-Bodied Adults Without Dependents (ABAWD)Work Activity Letter

18-ADM-06 Unclaimed Child Support Funds

18-ADM-05 30% Income Contribution for Individuals Diagnosedwith Acquired Immune Deficiency Syndrome (AIDS) or HumanImmunodeficiency Virus (HIV) and Changes to Maximum AmountsAllowed for Emergency Shelter Allowances (ESA)

18-ADM-04 2018-19 Flexible Fund for Family Services (FFFS)

18-ADM-03 Workforce Innovation and Opportunity Act (WIOA)Local Memorandum of Understanding Guidance and Templates

18-ADM-02 Temporary Assistance Budgeting: 2018 Earned IncomeDisregard and Poverty Level Test

18-ADM-01 Integrated Eligibility System (IES) Quick Win:Enhanced Social Security Number Validation Procedures for Ap-plicants

111

LCMs

18-LCM-21 District Allocation

18-LCM-20 2018-2019 Home Energy Assistance Program (HEAP)

18-LCM-19 Child Support Incentives – Federal Fiscal Years 2016and 2018

18-LCM-18 Referral of Persons Residing in Temporary Housing toHealth Homes Services

18-LCM-17 Claiming Deadlines for Federal and State Reimburse-ment

18-LCM-16 2018-2019 Home Energy Assistance Program (HEAP)Early Mail Out Process and Revised 2017-2018 HEAP AdministrativeAllocations

18-LCM-15 FFY 2018 Able-Bodied Adult Without Dependents(ABAWD) Pledge Fund Updated

18-LCM-14 Implementation of Administrative Directive 17-ADM-11: Questions and Answers

18-LCM-13 Noncustodial Parent Employment Program

18-LCM-12 Revised: 2017-18 Home Energy Assistance Program(HEAP) Programs Allocations

18-LCM-11 2018 New York State Summer Youth EmploymentProgram Allocations

18-LCM-10 Use and Safeguarding of Protected Information

18-LCM-09 SNAP Bonus Award Allocation

18-LCM-08 2017-18 Home Energy Assistance Program (HEAP)Cooling Assistance Component

18-LCM-07 2017-2018 Home Energy Assistance Program (HEAP)Additional Administrative Allocations

18-LCM-06 2017-18 Home Energy Assistance Program (HEAP)Heating Equipment Clean and Tune Benefit

18-LCM-05 Supplemental Nutrition Assistance Program Employ-ment and Training Allocations – FFY 2018

18-LCM-04 Supplemental Nutrition Assistance Program Employ-ment and Training (SNAP E & T) Dependent Care Requests for FFY2017

18-LCM-03 2017-18 Home Energy Assistance Program Adminis-trative Allocations and Program Allocations

18-LCM-02 Questions and Answers Regarding 17-ADM-08 “Back-ground Investigations of Employees with Access to Federal Tax Infor-mation”

18-LCM-01 OTDA Contract with Medical Providers for Consulta-tive Medical and Psychological Examinations and Intelligence As-sessments

INFs

18-INF-17 2018 State Minimum Wage Increase and Its Effect onTemporary Assistance and Supplemental Nutrition AssistancePrograms.

18-INF-16 Revisions to the LDSS-4826B Interview/VerificationGuide for the LDSS-4826 Supplemental Nutrition Assistance Program(SNAP) Application/Recertification

18-INF-15 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2019 and Updated SSI and SSP Ben-efit Levels Chart

18-INF-14 Cost Avoidance (CA) Calculations for Program IntegrityInitiatives

18-INF-13 Revisions to the Supplemental Nutrition AssistanceProgram (SNAP) Application/Recertification (LDSS-4826) (Rev.2/18) and How to Complete the SNAP Application/Recertification andApplicant/Recipient Rights and Responsibilities (LDSS-4826A) (Rev.2/18)

18-INF-12 Release of Work Pays Infographic and Factsheet

18-INF-11 Best Practice Guidance on the U. S. Department Hous-ing and Urban Development’s (HUD) Coordinated Entry Process forVictims of Domestic Violence to Access Homeless Housing Resources

18-INF-10 Revisions to LDSS-4887 Mail-In Recert/EligibilityQuestionnaire

18-INF-09 Temporary Assistance Policy: Questions and Answers

18-INF-08 2018 Summer Food Service Program (SFSP)

18-INF-07 Criminal Record Sealing Under Criminal Procedure Law§ 160.59

18-INF-06 Supplemental Nutrition Assistance Program (SNAP)National Directory of New Hires (NDNH) Matches Added to VerifiedEmployment Data (VED) Resource within Resource File Integration(RFI)

18-INF-05 Personal Needs Allowances (PNA) in Non-Medical andMedical Facilities Desk Aid

18-INF-04 Change in Internal Revenue Service Mileage Rates

18-INF-03 Digest of Laws of 2017 Relating to Programs of the Of-fice of Temporary and Disability Assistance

18-INF-02 Changes in the Earned Income Tax Credit (EITC) andSummary of Other Available Federal and State Tax Credits for TaxYear 2017

18-INF-01 Temporary Housing Assistance (THA) for Sex Offend-ers – Updated Department of Corrections and Community Supervi-sion Contact Lists

GIS

12/12/18 – 18TA/DC048 – Release of Revised LDSS-4310 “Peri-odic Report” and LDSS-4310A “Follow-Up to the Periodic Report”

12/10/18 - 18TA/DC047 – 2018-2019 Holiday Moratorium Sched-ule for New York State Public Service Commission (PSC) Regulatedand Municipal Utility Companies

11/29/18 – 18TA/DC046 – Availability of a new SNAP E&TCognos report: SNAP Budgeted Earned Income/Employment Sched-ule

11/21/18 – 18TA/DC045 – Release of Revised LDSS-3620/3620NYC and LDSS-3621/3621 NYC

11/21/18 – 18TA/DC044 – “Important Information About WhatChanges You Must Report for Supplemental Nutrition AssistanceProgram (SNAP)”

11/20/18 – 18TA/DC043 – Release of Revised LDSS-3152 “ActionTaken on Your Supplemental Nutrition Assistance Program (SNAP)Benefits Case” and LDSS-3152NYC “Action Taken on Your Supple-mental Nutrition Assistance Program (SNAP) Benefits Case (NYC)”

11/19/18 – 18TA/DC042 – Federal Actions Regarding TemporaryProtected Status Designations

11/15/18 – 18TA/DC041 – Processing TA Requests for EnergyEmergencies

10/31/18 – 18TA/DC040 – 2018-2019 HEAP OSC Voucher Pay-ment (UPSTATE ONLY)

10/19/18 - 18TA/DC039 – Home Energy Assistance Program(HEAP) Heating Equipment Repair and Replacement (HERR) Clos-ing Date, and extension of the Heating Equipment Clean and Tune(C&T) component

10/19/18 - 18TA/DC038 REVISED – Updated Supplemental Nutri-tion Assistance Program (SNAP) Standards for October 2018 LDSS-5006 Notice to all SNAP Recipients

10/16/18 - 18TA/DC038 – Updated Supplemental Nutrition Assis-tance Program (SNAP) Standards for October 2018 LDSS-5006 No-tice to all SNAP Recipients

10/10/18 - 18TA/DC037 – 2018-2019 HEAP OSC Voucher Cre-ation and Payment (UPSTATE ONLY)

10/01/18 - 18TA/DC036 – Treatment of Hurricane FlorenceEvacuees Applying for Temporary Assistance (TA), SupplementalNutrition Assistance Program (SNAP) and Medicaid

09/28/18 - 18TA/DC035 – Reminder: SNAP Claim Policy and Ad-ministration

09/25/18 - 18TA/DC034 – Release of Revised LDSS-4943 “Supple-mental Nutrition Assistance Program (SNAP) Benefits CategoricalEligibility Desk-Aid”

09/25/18 - 18TA/DC033 – Able-Bodied Adults Without Depen-dents (ABAWD) Work Activity Letter

09/24/18 - 18TA/DC032 – 2018-2019 Home Energy AssistanceProgram Forms Ordering and Availability

NYS Register/January 30, 2019Guidance Documents

112

09/17/18 - 18TA/DC031 – New Type of Office of Alcohol andSubstance Abuse Services (OASAS) Certified Providers

08/30/18 - 18TA/DC030 – Roster of Good Cause Claims

08/30/18 - 18TA/DC029 – ‘NX’ Nominal HEAP Benefit (UPSTATEONLY)

08/27/18 - 18TA/DC028 – Closing of the 2017-2018 Home EnergyAssistance Program (HEAP) Cooling Assistance Component anddeadline for 2017-2018 HEAP administrative funds

08/22/18 - 18TA/DC027 – Upstate and NYC – Updated Supplemen-tal Nutrition Assistance Program (SNAP) Standards for October 2018

08/17/18 - 18TA/DC026 – Social Services Districts (districts)Interim Assistance Reimbursement (IAR) Responsibilities

08/07/18 - 18TA/DC025 – 2018-2019 Home Energy AssistanceProgram (HEAP) TA/SNAP Pre-Autopay Vendor Information Report(UPSTATE ONLY)

06/28/18 - 18TA/DC024 – SNAP 2018-19 Disaster Plan LocalEmergency Contacts

06/28/18 - 18TA/DC023 – Clarification of Payment Dates forCongregate Care Level II Facilities

06/18/18 - 18TA/DC022 – Retention of Temporary Assistance Re-cords

06/14/18 - 18TA/DC021 – Non-Assistance Payment Types for Au-thorization of Temporary Assistance (TA) Emergency or ImmediateNeeds (UPSTATE ONLY)

06/07/18 - 18TA/DC020 – Out-of-State SNAP Participation forAble-Bodied Adults Without Dependents (ABAWD) Tracking

06/06/18 - 18TA/DC019 – 2018-2019 Home Energy AssistanceProgram (HEAP) TA/SNAP Pre-Autopay Vendor Information Report(UPSTATE ONLY)

05/24/18 - 18TA/DC018 Social Services District Responsibility forTimely Submission of Voter Registration Forms

05/21/18 - 18TA/DC017 FFY 2018 Supplemental Nutrition Assis-tance Program (SNAP) Process Technology Improvement Grants

05/03/18 - 18TA/DC016 September 11th Victim CompensationFund Reauthorization

04/30/18 - 18TA/DC015 Issuing Nonrecurring Temporary Assis-tance (TA) Emergency Payments on an Active Non-Temporary Assis-tance Supplemental Nutrition Assistance Program Case, an ActiveMedicaid Case or at the Time of a TA Application Denial (UPSTATEONLY)

04/27/18 - 18TA/DC014 2017-18 Home Energy Assistance ProgramRegular and Emergency Benefit Components Closing Date

04/25/18 - 18TA/DC013 Systematic Alien Verification for Entitle-ments (SAVE) Program: Paperless Processing Update

04/06/18 - 18TA/DC012 $21 Nominal HEAP Benefit Advance Pay-ment

04/04/18 - 18TA/DC011 Supplemental Nutrition Assistance Pro-gram (SNAP) National Directory of New Hires (NDNH) MatchesAdded to Verified Employment Data (VED) Resource within ResourceFile Integration (RFI) (UPSTATE ONLY)

03/30/18 - 18TA/DC010 Home Energy Assistance Program Nomi-nal Benefit Advance Payment

03/29/18 - 18TA/DC009 2018 – 2019 Income Guidelines for Emer-gency Safety Net Assistance (ESNA) and Emergency Assistance toNeedy Families with Children (EAF)

03/28/18 - 18TA/DC008 Loss of Food – March Snow Storms –USDA Approved Replacement (UPSTATE ONLY)

03/20/18 - 18TA/DC007 Important Notification about April 2018State Supplement Program Payments

03/09/18 - 18TA/DC006 Loss of Food – March Storms (UPSTATEONLY)

03/07/18 - 18TA/DC005 Release of Revised LDSS-4732B: “Districtof Fiscal Responsibility (DFR) Determination Worksheet”

02/16/18 - 18TA/DC004 200% of Poverty Income Standards Chart– June 1, 2018 through May 31, 2019

02/08/18 - 18TA/DC003 2017-18 Home Energy Assistance Program

(HEAP) – Second Emergency Benefit and Revised Component Clos-ing Dates

01/31/18 - 18TA/DC002 Closing of the 2016-2017 Home EnergyAssistance Program (HEAP) Heating Equipment Clean and Tune Pro-gram

01/30/18 - 18TA/DC001 Reminder to Complete and Send LDSS-5069: “Biennial Accounting Letter” RE-ISSUED

DCLs (Child Support)

D 18-09 Revised Format Change to Agency Notices

D 02/21/2018 Child Support Enforcement Network (CSENet) Up-dates

D 02/26/2018 Updated Child Support Guidelines Figures and Publi-cation of the Child Support Standards Chart

D 03/23/2018 Child Support Program Manual

D 06/06/2018 Special Collection - Alaska Permanent Fund Divi-dend

D 06/26/2018 Process Year 2019 Tax Refund Offset Delete Certifiedfor Offset Values

D 07/02/2018 New Contract for Centralized Support Collection andEnforcement

D 08/27/2018 Implementation of the Revised Federal Income With-holding Order/Notice for Support

D 09/12/2018 E-Filing Petitions in ASSETS: New Manual

D 09/25/2018 Child Support Program Manual: Location Chapter

D 10/03/2018 Customer Service Workgroup Enhancement Phase 1– : Referral Time Frame

OAH Procedures Transmittals

18-09 Revised Format Change to Agency Notices

18-08 Format Change to Agency Notices

18-07 Hearing Request Procedures for Members of the FishmanRetroactive Class

18-06 Abandonment Letter Retroactive Group

18-04 Agency: DOHT (Department of Health Transportation) Re-vised

18-03 New Agency: AMAX

18-02 Hearing Request Abandonment Procedures for Appellantswith an MA or FIDA Code (Amended 16-09)

18-01 Outcome Reason Codes

2017

ADMs

17-ADM-11 Adoption of New York State Regulatory AmendmentsImpacting the Child Support Program (18 NYCRR § 347.8, et al.)

17-ADM-10 Online Distribution of Client Information BooksLDSS-4148A, LDSS-4148B & LDSS-4148C

17-ADM-09 Continuation of Child Support Services to Former Fos-ter Care Cases

17-ADM-08 Background Investigations of Employees with Accessto Federal Tax Information

17-ADM-07 Adoption of New York State Regulatory AmendmentsImpacting the Child Support Program (18 NYCRR 347.3)

17-ADM-06 Mandatory Child Abuse and Maltreatment Reporting,Statewide Central Register and State Exclusion List Clearance, andCriminal History Background Check for Employees of Publicly-Funded Emergency Shelters for Families with Children

17-ADM-05 2017-18 Flexible Fund for Family Services (FFFS)

17-ADM-04 Emergency Shelter Operating Budgets and Per DiemRate Submissions


17-ADM-02 Storage of Furniture and Personal Belongings

17-ADM-01 Requirements for Able-Bodied Adults Without Depen-dents (ABAWDs)

LCMs

17-LCM-15 Automated Termination of Supplemental Nutrition As-sistance Program (SNAP) Claims

NYS Register/January 30, 2019 Guidance Documents

113


17-LCM-13 2018-2019 Biennial Temporary Assistance and Supple-mental Nutrition Assistance Program (SNAP) Employment Plan

17-LCM-12 Establishing a Policy for the Use and Management ofMobile Devices by Local Departments of Social Services


17-LCM-10 Update to the Welfare-to-Work Caseload ManagementSystem Activity Referral Letter

17-LCM-09 Child Support Incentives - Federal Fiscal Years 2015and 2017

17-LCM-08 2017-2018 Home Energy Assistance Program (HEAP)– Early Mail Out Process and Administrative Allocations

17-LCM-07 2016-2017 Home Energy Assistance Program (HEAP)Heating Equipment Clean and Tune Program

17-LCM-06 Supplemental Nutrition Assistance Program Employ-ment and Training Allocations – FFY 2017

17-LCM-05 Prisoner Re-entry Pilot Program


17-LCM-03 2016-2017 Home Energy Assistance Program HEAPCooling Assistance Component (CAC)

17-LCM-02-T Electronic Disqualified Recipient System (eDRS)Web Service for IPV Submission

17-LCM-01 Supplemental Nutrition Assistance Program Employ-ment and Training (SNAP E&T) Dependent Care Requests for FFY2016

INFs

17-INF-16 Revisions to the Supplemental Nutrition AssistanceProgram (SNAP) Application/Recertification (LDSS-4826) and Howto Complete the SNAP Application/Recertification and Applicant/Recipient Rights and Responsibilities for SNAP (LDSS-4826A)

17-INF-15 State Minimum Wage Increase and Its Effect on Tempo-rary Assistance and Supplemental Nutrition Assistance Programs

17-INF-14 Language Access for Individuals with Limited EnglishProficiency (LEP)

17-INF-13 Revisions to the Informational Letter Regarding Able-Bodied Adults Without Dependents (ABAWD) Requirements (LDSS-5072)

17-INF-12 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2018 and Updated SSI and SSP Ben-efit Levels Chart

17-INF-11 Revisions of the LDSS-3156, LDSS-3156NYC, LDSS-4053 and LDSS-4857

17-INF-10-T Revisions of the LDSS-4903, LDSS-4904 and LDSS-4906

17-INF-09 Introduction of LDSS-5091 “Lump Sum Worksheet”Form

17-INF-08 Summer Food Service Program (SFSP)

17-INF-07 Temporary Assistance Questions and Answers



17-INF-03 Revised LDSS-4902 Supplemental Nutrition AssistanceProgram (SNAP) Standard Utility Allowance (SUA) Table

17-INF-01 Personal Needs Allowances (PNA) in Non-Medical andMedical Facilities Desk Aid

GIS

12/28/17 - 17TA/DC054 SSI COLA NYSNIP Standard BenefitAmount Adjustments

12/27/17 - 17TA/DC053 Release of Revised LDSS-4908 “UpstateSupplemental Nutrition Assistance Program (SNAP) Change Report-ing Desk-Aid” (UPSTATE ONLY)

12/27/17 - 17TA/DC052 LDSS-5004 Revision

12/26/17 - 17TA/DC051 Release of Revised LDSS-4908NYC

“NYC Supplemental Nutrition Assistance Program (SNAP) ChangeReporting Desk-Aid” (NYC ONLY)

12/11/17 - 17TA/DC050 Home Energy Assistance Program (HEAP)Emergency Benefit Component Opening

12/11/17 - 17TA/DC049 2017-18 Holiday Moratorium Schedulefor New York State Public Service Commission (PSC) Regulated andMunicipal Utility Companies

12/06/17 - 17TA/DC048 Registering Users for the Social SecurityAdministration (SSA) Government Services Online (GSO) InterimAssistance (IA) Application

11/21/17 - 17TA/DC047 Asylum Applicants with Employment Au-thorization Recognized as Permanently Residing Under the Color ofLaw (PRUCOL) for Safety Net Assistance (SNA)

11/15/17 - 17TA/DC046 Processing Temporary Assistance (TA)Requests for Energy Emergencies

11/13/17 - 17TA/DC045 2017-18 HEAP OSC Voucher Creationand Payment (UPSTATE ONLY)

11/10/17 - 17TA/DC044 Home Energy Assistance Program RegularBenefit Component Opening

11/06/17 - 17TA/DC043 Excessive Replacement Card Notices toClients

10/27/17 - 17TA/DC042 Home Energy Assistance Program (HEAP)Heating Equipment Repair and Replacement Closing Date, and exten-sion of the Heating Equipment Clean and Tune (HECAT) component

10/24/17 - 17TA/DC041 Requirements to enter “Highest Degree”on the Welfare Management System for Certain Non-TemporarySNAP Recipients (UPSTATE ONLY)

10/13/17 - 17TA/DC040 SNAP Budgeting of AmeriCorps State andNational, AmeriCorps NCCC, and AmeriCorps VISTA payments

10/06/17 - 17TA/DC039 Treatment of Hurricane Harvey, HurricaneIrma and Hurricane Maria Evacuees Applying for Temporary Assis-tance (TA), Supplemental Nutrition Assistance Program (SNAP), andMedicaid

10/04/17 - 17TA/DC038 Release of Revised LDSS-4943 “Supple-mental Nutrition Assistance Program (SNAP) Benefits CategoricalEligibility Desk-Aid”

09/26/17 - 17TA/DC037 Treatment of Hurricane Harvey and Hur-ricane Irma Evacuees Applying for SNAP 17TA/DC037

09/22/17 - 17TA/DC036 Further Guidance on the Inspections ofCommercial Hotels/Motels

09/15/17 - 17TA/DC035 Update to the Override Process for AbleBodied Adults Without Dependents (ABAWDs)

08/24/17 - 17TA/DC034 Continuation of the Afghan and IraqiSpecial Immigrant Visa Program

08/22/17 - 17TA/DC033 Supplementary Nature of New YorkAchieving a Better Life Experience (NY ABLE) Savings Accounts

08/21/17 - 17TA/DC032 Upstate and NYC – Updated SupplementalNutrition Assistance Program (SNAP) Standards for October 2017

08/04/17 - 17TA/DC031 Changes in Local District ResponsibilitiesWhen Transporting Homeless Students

07/21/17 - 17TA/DC030 Closing of the 2016-2017 Home EnergyAssistance Program Cooling Assistance Component

07/10/17 - 17TA/DC029 Social Services District Responsibility forTimely Submission of Voter Registration Forms

06/28/17 - 17TA/DC028 SNAP Overpayment Claims Date ofDiscovery Policy Reminder

06/06/17 - 17TA/DC027 SNAP Disaster Plan Local EmergencyContacts

06/06/17 - 17TA/DC026 2017-2018 Home Energy AssistanceProgram (HEAP) TA/SNAP Pre-Autopay Vendor Information Reports(UPSTATE ONLY)

05/30/17 - 17TA/DC025 Follow-up to GIS 17 TA/DC015—SNAPProcess and Technology Improvement Grants and Integrated Eligibil-ity System (IES)

05/19/17 - 17TA/DC024 Revised EBT Forms: LDSS-5066 andLDSS-5004


114

05/19/17 - 17TA/DC023 Termination of Temporary Protected Status(TPS) for Guinea, Liberia and Sierra Leone

05/16/17 - 17TA/DC022 NYSEG; RG&E Email Restored (UP-STATE ONLY)

05/12/17 - 17TA/DC021 NYSEG; RG&E Email Outage (UPSTATEONLY)

05/11/17 - 17TA/DC020 WINR4112 Pending Data Status ReportApplications & Cases Pending Error Correction-Supervisory Signal-Other Data Status-SFED/T Entry Report (UPSTATE ONLY)

05/02/17 - 17TA/DC019 National Grid’s Procedures for Elderly,Blind or Disabled Household Shut-Offs

04/25/17 - 17TA/DC018 Redesigned I-551 Permanent ResidentGreen Card and I-766 Employment Authorization Document (EAD)

04/21/17 - 17TA/DC017 Option to End a Temporary AssistanceEmployment Sanction Notice for Social Services Districts Outside ofNew York City

04/26/17 - 17TA/DC016 Release of LDSS-5089: “TASNAP DeskGuide to Determining Qualification for Student Earned Income Ex-emption”

04/20/17 - 17TA/DC015 FFY 2017 Supplemental Nutrition Assis-tance Program (SNAP) Process and Technology Improvement Grants

04/17/17 - 17TA/DC014 Eligibility for Expedited SupplementalNutrition Assistance Program Benefits for Certain Able Bodied AdultsWithout Dependents

04/11/17 - 17TA/DC013 2016-17 Home Energy Assistance Program(HEAP) Revised Program Allocations

04/07/17 - 17TA/DC012 Operations Plans 18 NYC RR Part 352.39

03/10/17 - 17TA/DC011 Important Notification about April 2017State Supplement Program Payments

03/09/17 - 17TA/DC010 2016-17 Home Energy Assistance ProgramRegular and Emergency Benefit Components Closing Dates

03/03/17 - 17TA/DC009 Follow up on Supplemental Nutrition As-sistance Program Employment and Training (SNAP E&T) DependentCare Requests for FFY2016

02/21/17 - 17TA/DC008 SNAP IPV Submission to Electronic Dis-qualified Recipient System (eDRS)

02/13/17 - 17TA/DC007 200% of Poverty Income Standards Chart– June 1, 2017 through May 31, 2018

02/03/17 - 17TA/DC006 Changes to AIDS/HIV Definition that Af-fect Eligibility for the Emergency Shelter Allowance

02/01/17 - 17TA/DC005 Closing of the 2015-2016 Home EnergyAssistance Program (HEAP) Heating Equipment Clean and Tune Pro-gram

01/30/17 - 17TA/DC004 2017-2018 Income Guidelines for Emer-gency Safety Net Assistance (ESNA) and Emergency Assistance toNeedy Families with Children (EAF)

01/05/17 - 17TA/DC003 Release of LDSS-5088 “IV-D Payment(Pass-Through) Mass Reauthorization (MRB/A)” Desk Guide (UP-STATE ONLY)

01/05/17 - 17TA/DC002 Upstate SSI COLA NYSNIP StandardBenefit Amount Adjustments (UPSTATE ONLY)

01/05/17 - 17TA/DC001 NYC SSI COLA NYSNIP Standard Bene-fit Amount Adjustments (NYC ONLY)


D 12/19/2017 Interstate Case Processing – New/Revised UIFSAForms

D 12/18/2017 Driver License Suspension Process – Frequency Issue

D 11/13/2017 Prevention of Property Execution for Social SecurityBenefits

D 11/02/2017 Check to Electronic Disbursement Enrollment Pro-cess Reinstatement

D 10/20/2017 Account Statement and Payment History Documentsfor Court Hearing Purposes

D 08/09/2017 Federal Reporting and Performance Training - Avail-able Resources

D 07/28/2017 Department of Motor Vehicles License SuspensionLaw Extended


D 06/12/2017 Transition of Debit Card Services to Bank of Amer-ica, NA (BOA)-Update

D 06/08/2017 Special Collection - Alaska Permanent Fund Divi-dend

D 05/03/2017 Private Collection Agencies

D 05/02/2017 Program Manual Key User Group

D 04/25/2017 Transition of Debit Card Services to Bank of Amer-ica, N.A.

D 04/14/2017 Child Support Processing Center Contract Extensionand Vendor Name Change

D 02/27/2017 Updated Child Support Guidelines Figures and Publi-cation of the Child Support Standards Chart

D 02/01/2017 New Jersey Legislation - Termination of Child Sup-port

D 01/03/2017 Hague Convention Forms and International ChildSupport Cases

OAH PROCEDURES TRANSMITTALS

17-01 New Issue Code for Administrative Disqualification Hear-ings - 467

17-03 New Agency SDRU

2016

ADMs

16-ADM-11 Temporary Housing Assistance: Consolidation andClarification of Policy

16-ADM-10 Flexible Fund for Family Services (FFFS)

16-ADM-09 Temporary Assistance Policy: Change in the VehicleResource Exemption and Lump Sum Set-Aside

16-ADM-08 Alternative Format and Disability AccommodationIndicator Use

16-ADM-07 Change to Standard Utility Allowance (SUA) Policymandated by Section 4006 of the Agriculture Act of 2014 – FinalPolicy

16-ADM-06 Expansion of Categorical Eligibility for SupplementalNutrition Assistance Program (SNAP) Households with Earned In-come

16-ADM-05 Change in Documentation Requirements for Indepen-dent Medical Evaluations of Employability


16-ADM-03 Procedure for requesting Approval of Local Equiva-lent Forms

16-ADM-02 Refugee Cash and Medical Assistance Programs (RCAand RMA)

16-ADM-01 Supplemental Nutrition Assistance Program (SNAP)Employment Codes

LCMs

16-LCM-17 2016-17 Home Energy Assistance Program Adminis-trative Allocations and Program Allocations


16-LCM-15 Quarterly Fraud Report


16-LCM-13 2016-2017 Home Energy Assistance Program (HEAP)- Early Mail Out Process and Administrative Allocations

16-LCM-12 Revised LDSS-4958 ‘‘TA Sanction & Denial Policy/Participation Rate Impact Guide’’

16-LCM-11 2015-16 Home Energy Assistance Program (HEAP)Heating Equipment Clean and Tune Program

16-LCM-10 Adoption of New York State Regulatory AmendmentsImpacting the Child Support and Temporary Assistance Programs

16-LCM-09 Revisions to the LDSS-2921, PUB-1301, LDSS-3174,PUB-1313, LDSS-4148A-C, LDSS-4826, LDSS-4826A, LDSS-4942,and LDSS-2291


115

16-LCM-08 Submission of TANF Claims/FFFS Plans

16-LCM-07 Child Support Incentives - Federal Fiscal Years 2014and 2016


16-LCM-05-T 2015-2016 Home Energy Assistance Program(HEAP) Cooling Assistance Component (CAC)

16-LCM-04 Supplemental Nutrition Assistance Program Employ-ment and Training (SNAP E&T) Allocations – FFY 2016

16-LCM-03 Revisions to the LDSS-4725: TANF ServicesApplication/Certification Review Form; the LDSS-4726: TANF Ser-vices Application/Certification; and the LDSS-4770: TANF YouthServices Application

16-LCM-02 Establishing a Social Media Access Policy for SocialServices Districts

16-LCM-01 Supplemental Nutrition Assistance Program Employ-ment and Training (SNAP E&T) Dependent Care Requests for FFY2015

INFs

16-INF-18 Social Security Administration (SSA) Cost-of-Living(COLA) for January 2017 and Updated SSI and SSP Benefit LevelsChart

16-INF-17 Revised LDSS-4942: SNAP Authorized RepresentativeRequest Form

16-INF-16 Revisions to the LDSS-4314 “SNAP Household Com-position Desk Guide”

16-INF-15 Revisions to Manual Client Notices

16-INF-14 State Minimum Wage Increase and Its Effect on Tempo-rary Assistance and Supplemental Nutrition Assistance Programs

16-INF-13 Revised LDSS-4826: ‘‘SNAP Application/Recertification’’ and LDSS-4826A ‘‘How to Complete Application/Recertification and Applicant/Recipient Rights and Responsibilitiesfor SNAP’’

16-INF-12 Temporary Assistance/Medicaid Policy: Impact of theAffordable Care Act on Temporary Assistance Applicants Also Apply-ing for Medicaid and Introduction of – Tax Dependent Questions(Added to Application Form DSS-2921)

16-INF-11 Revisions of forms LDSS-4799 and LDSS-4799-NYC

16-INF-10 Eat Smart New York Nutrition Education Materials


16-INF-07 Supplemental Nutrition Assistance Program RevisedPublications-2016

16-INF-06 Local District Security Provisions for Hearing Officers

16-INF-05 Revised LDSS-3668: “Shelter Verification” Form



GIS

12/28/16 – 16 TA/DC064 – Release of Revised LDSS-4943“Supplemental Nutrition Assistance Program Benefits CategoricalEligibility Desk-Aid”

12/20/16 – 16 TA/DC063 Home Energy Assistance Program Emer-gency Benefit Component Opening

12/16/16 – 16 TA/DC062 – Social Services District Responsibilityfor Updating County Profile Information Found on CentraPort

12/13/16 – 16 TA/DC061 – Security Measures

12/12/16 – 16 TA/DC060 – 2016-17 Holiday Moratorium Schedulefor NYS Public Service Commission (PSC) Regulated and MunicipalUtility Companies

11/22/16 - 16 TA/DC059 Extension of the 2015 – 2016 HomeEnergy Assistance Program (HEAP) Heating Equipment Clean andTune Program

11/10/16 - 15 TA/DC058 2016-17 HEAP OSC Payment FileTransfer Schedule

11/09/16 - 16 TA/DC057 National Grid Website Access Issues

10/27/16 - 16TA/DC056 Grace Period for Able Bodied AdultsWithout Dependents (ABAWDs) Who Reestablish SNAP Eligibilityby Meeting the ABAWD Requirement

10/26/16 - 16TA/DC055Processing Temporary Assistance (TA)Requests for Energy Emergencies

10/18/16 - 16TA/DC054 National Grid Website Changes

10/14/16 - 16TA/DC053 Beneficiaries of Temporary ProtectedStatus (TPS) Recognized as Permanently Residing Under the Color ofLaw (PRUCOL) for Safety Net Assistance (SNA)

10/13/16 - 16TA/DC052 SNAP Employment and Training Report-ing Measures

09/09/16 - 16TA/DC051 Social Services District Responsibility forTimely Submission of Voter Registration Forms Prior to the GeneralElection

08/25/16 - 16TA/DC050 Upstate and NYC——Updated Supple-mental Nutrition Assistance Program (SNAP) Standards for October,2016

08/08/16 - 16TA/DC049 Inspections of Commercial Hotels/MotelsUsed for Temporary Housing

08/02/16 - 16TA/DC048 Eligibility to Participate in SNAP byCertain Cuban Nationals Under an Order of Supervision

08/01/16 - 16TA/DC047 Redesigned Common Benefit Identifica-tion Card (CBIC)


07/19/16 - 16TA/DC045 Elimination of Child Support Assignmentof Rights Language Inserts

07/19/16 - 16TA/DC044 Clarification of ABAWD Status for SNAPRecipients Receiving Veterans Affairs Disability Compensation

07/14/16 - 16TA/DC043 Social Services District Responsibility forSubmission of Voter Registration Forms Received via ElectronicallySubmitted Applications

07/06/16 - 16TA/DC042 Contact Information for the Employmentand Income Support Programs

07/06/16 - 16TA/DC041 Filipino World War II Veterans ParoleProgram (FWVP)

07/01/16 - 16TA/DC040 Client Notices System (CNS) Z95 (Con-tinuing Your SNAP: Phone Recertification) language changes due topagination changes (UPSTATE ONLY)

06/13/16 - 16TA/DC039 2016-17 Home Energy Assistance Program(HEAP) TA/SNAP Pre-Autopay Vendor Information Reports (UP-STATE ONLY)

06/10/16 - 16TA/DC038 Updated Forms for Re-Branding andUSDA Nondiscrimination Statement

06/06/16 - 16TA/DC037 Consolidation of Cognos Reports in theEmployment Programs Reports Folders (UPSTATE ONLY)

06/06/16 - 16TA/DC036 One-Time Process to Correct CertainABAWD-Related Override Transactions


05/27/16 - 16TA/DC034 Extending Deadline for Entering ABAWDOverride Transactions Associated with an ABAWD Exclusion for theFirst Quarter of Calendar Year 2016

05/26/16 - 16TA/DC033 Availability of New SNAP E & T CognosReports

05/17/16 - 16TA/DC032 Temporary Assistance (TA) and Supple-mental Nutrition Assistance Program (SNAP) Policy ReminderRegarding Strikers

05/02/16 - 16TA/DC031Temporary Assistance Policy: Change inthe Vehicle Resource Exemption and Lump Sum Set-Aside

04/25/16 - 16TA/DC030 Availability of New Cognos Report:ABAWD Tracking Report

04/18/16 - 16TA/DC029 Systematic Alien Verification for Entitle-ments (SAVE) Program System Update

04/12/16 - 16TA/DC028 Override Process for Able Bodied AdultsWithout Dependents (ABAWDs)


116

04/07/16 - 16TA/DC027 Reminder– 2015-16 Home Energy Assis-tance Program Regular and Emergency Benefit Components Closingon April 8, 2016

04/07/16 - 16TA/DC026 SNAP E&T/ABAWD Exemption forStudents Enrolled in High School

04/06/16 - 16TA/DC025 Electronic Disqualified Recipient System(eDRS)

04/01/16 - 16TA/DC024 Statewide Financial System Blackout Pe-riod (UPSTATE ONLY)

03/29/16 - 16TA/DC023 Approval of A6902B/S5283A – Require-ment of State Agencies to Pay Small Businesses Within 15 Days ofReceipt of an Invoice

03/21/16 - 16TA/DC022 Entering, Tracking and Reporting of AbleBodied Adults Without Dependents (ABAWD) Exclusions andABAWDs Residing in a Jurisdictional Area with an ApprovedABAWD Waiver for Calendar Year 2016


03/16/16 - 16TA/DC020 Revised Client Notification SystemAlcohol and Substance Abuse Sanction Language


03/11/16 - 16TA/DC018 2015-16 Home Energy Assistance Program(HEAP) Regular and Emergency Benefit Components-Revised Clos-ing Dates


03/09/16 - 16TA/DC016 Important Notification about April 2016State Supplement Program (SSP) Payments

02/22/16 - 16TA/DC015 Migration of Supplemental Nutrition As-sistance Program Employability and ABAWD Indicator Code Fieldsto the Welfare Management System

02/19/16 - 16TA/DC014 NYSEG and RG&E Website SecurityEnhancements (UPSTATE ONLY)

02/19/16 - 16TA/DC013 200% of Poverty Income Standards ChartJune 1, 2016 through May 31, 2017

02/18/16 - 16TA/DC012 LDSS-5004 Revision

02/16/16 - 16TA/DC011 Revised – SNAP Treatment of Funds inOn-Line “Crowdfunding” Accounts

02/03/16 - 16TA/DC010 Tracking and Reporting of Able BodiedAdults Without Dependents (ABAWD) Exclusions and ABAWDsResiding in a Jurisdictional Area with an Approved ABAWD Waiverfor Calendar Year 2016 (UPSTATE ONLY)

02/01/16 - 16TA/DC009 Release of Revised LDSS-4884: “Emer-gency Energy Desk Guide”

01/27/16 - 16TA/DC008 New State On-Line Query System (SOLQ)Training Module

01/25/16 - 16TA/DC007 Issues with Cognos Biennial AccountingReport (UPSTATE ONLY)

01/22/16 - 16TA/DC006 Redesigned Common Benefit Identifica-tion Card (CBIC)

01/20/16 - 16TA/DC005 Home Energy Assistance Program (HEAP)Heating Equipment Repair and Replacement Closing Date

01/14/16 - 16TA/DC004 Increase in SNAP Gross Income Test Levelfor Households with Earnings

01/11/16 - 16TA/DC003 Availability of New Cognos Report: Bien-nial Accounting Report w/2 Attachments (UPSTATE ONLY)

01/08/16 - 16TA/DC002 Electronic Disqualified Recipient System(eDRS) (UPSTATE ONLY)

01/05/16 - 16TA/DC001 New Fair Hearing Notice Language –Availability of Policy Materials


D 11/03/16 Guidance Document Regarding Money Judgments

D 10/14/16 Publication of Child Support Bank Reconciliation Guide

D 09/29/16 Guidance Document Regarding the Death of a Child ora Party to an Order of Support

D 09/28/16 Questions and Answers Document Regarding theDisclosure of Federal Tax Information in Court Proceedings

D 09/01/16 Adoption of New York State Regulatory Amendments –Income Withholding

D 08/22/16 Statewide Expansion of Electronic Disbursements ofChild Support Payments

D 08/15/16 Enhancement to the Electronic Communication Systemin Support of the Debit Card Process

D 08/03/16 Banking Services Contact Update

D 07/08/16 Revised Procedures -- Walk-In Payments related to Col-lection Actions taken by the New York State Department of Taxationand Finance

D 07/08/16 New Banking Services Contract in Support of Central-ized Support Collection and Enforcement

D 06/28/16 Preparing Account Documents and Payment Recordsfor Court Hearings in Compliance with IRS Publication 1075 Require-ments

D 06/21/16 New Special Collection - Alaska Permanent Fund Divi-dend


D 05/31/16 New Data Match with New York State and Local Retire-ment System

D 03/09/16 Revised Wage and Health Benefit Report and AutomatedGeneration Process

D 03/07/16 Addendum to Family Court Support Petition to RequestChild Support Services

D 03/02/16 Changes Related to Aging Parameters and OverageStatuses Report

D 02/29/16 Updated Child Support Guidelines Figures and Publica-tion of the Child Support Standards Chart

D 02/09/16 Update on Federal Case Registry Misidentified Partici-pant Application

D 01/21/16 Use of Worker Alerts for Caseload Management

D 01/21/16 Child Support Processing Center Contract Extension


16-11 Instructions Regarding 16-ADM-11

16-09 Fishman v. Daines Litigation Procedures (Amended 16-02)

16-08 Rafferty v. Doar Alternative Format Documents

16-07 Video Hearing Procedures

16-06 Review of Disqualification Consent Agreement (DCA) andNew Issue Codes 170 and 443

16-05 Fair Hearing Decision Transmittal and Summary Page

16-04 Ramirez - Language Access Insert with Correspondence

16-03 Supplemental Nutrition Assistance Program (SNAP) Ad-journments

16-02 Fishman v. Daines Litigation Procedures (Amended 13-01)

16-01 Access to Policy Documents to Prepare for a Fair Hearing

2015

ADMs

15-ADM-09 Return of Interim Assistance Reimbursement (IAR)Funds Incorrectly Collected from the Social Security Administration(SSA)

15-ADM-08 Child Support Security Awareness Training

15-ADM-07 Arrears Pilot Initiative to Improve Child Support Com-pliance

15-ADM-05-T Recovery of Liens and Requirement to Provide Bi-ennial Accounting

15-ADM-04 The Modified Mini Screen (MMS) Mental HealthScreening Tool

15-ADM-03 Flexible Fund for Family Services (FFFS)


15-ADM-01 State Supplement Program (SSP) Recovery of Equiva-lent Benefits (REB) Policy and Procedures


117

LCMs

15-LCM-22 Home Energy Assistance Program Administrative Al-locations and Program Allocations

15-LCM-21 Supplemental 100% SNAP Employment and TrainingAllocations – FFY 2015

15-LCM-20-T Clarification of Drug/Alcohol Change in Level ofCare and Determining Compliance

15-LCM-19 Electronic Disqualified Recipient System (eDRS) WebService

15-LCM-18 2016-2017 Biennial Temporary Assistance and Supple-mental Nutrition Assistance Program (SNAP) Employment Plan


15-LCM-16 Establishing a Social Media Access Policy for SocialServices District Investigators

15-LCM-15 Temporary Assistance Questions and Answers

15-LCM-14 2015-2016 Home Energy Assistance Program (HEAP)– Early Mail Out Process and Administrative Allocations

15-LCM-13 Revisions to the LDSS-4925: “Employability CodeDesk Guide TANF and SN MOE” and LDSS-4926: “EmployabilityCode Desk Guide SN Non-MOE”


15-LCM-11 Child Support Incentives – Federal Fiscal Years 2013and 2015

15-LCM-10 Revisions to the LDSS-4923: ‘‘TANF and SNA MOEWork Activities Countability Desk Guide’’ and LDSS-4924: SNANon-MOE Work Activities

15-LCM-09 Supplemental Nutrition Assistance Program (SNAP)Revised Civil/Human Rights Complaint Procedures

15-LCM-08 Supplemental Nutrition Assistance Program Employ-ment and Training (SNAP E & T) Allocations – FFY 2015


15-LCM-06 Deactivation of SNAP Debts in the Treasury OffsetProgram (TOP) for payment received

15-LCM-05 Submission of TANF Claims/FFFS Plans

15-LCM-04 Noncustodial Parent (NCP) Employment Program

15-LCM-03 2014-2015 Home Energy Assistance Program (HEAP)Cooling Assistance Component (CAC)

15-LCM-02 Revisions to LDSS-4004

15-LCM-01 Records Access

INFs

15-INF-10 Social Security Administration (SSA) Cost of Living(COLA) for January 2016 and updated SSI and SSP Benefit LevelsChart

15-INF-09 State Minimum Wage Increase and Its Effect on Tempo-rary Assistance (TA) and Supplemental Nutrition Assistance Program(SNAP)

15-INF-08 Supplemental Nutrition Assistance Program (SNAP)Data Collection and Reporting Requirements Related to Racial andEthnic Data

15-INF-07 Investigative Unit Operations Plan (Revised)


15-INF-05 Revised LDSS-3938 and LDSS-3938 NYC: “Supple-mental Nutrition Assistance Program (SNAP) Application ExpeditedProcessing Summary Sheet”



GIS

12/22/15 - 15TA/DC057 HEAP Emergency Benefit ComponentOpening

12/16/15 - 15TA/DC056 HEAP and TA Implications of the 2015-16Utility Termination Moratorium Schedule for NYS PSC Regulatedand Municipal Utility Companies

12/10/15 - 15TA/DC055 Biennial Accounting for Liens and ChildSupport Recoveries

12/02/15 - 15TA/DC054 ABAWD Waiver Status and One-TimeMailing of ABAWD Status Notification Letter (UPSTATE ONLY)

12/01/15 - 15TA/DC053 Safety Net Assistance (SNA) 45-Day Ap-plication Period During a Leap Year

11/24/15 - 15TA/DC052 Changes to the LDSS-760 “Bank Inquiryand Clearance Report Agency Completed”

11/19/15 - 15TA/DC051 Unlinked Casekeys and On Hold/DeletedSNAP and Cash Payments on EBT


11/12/15 - 15TA/DC049 2015-16 HEAP NYS Office of StateComptroller (OSC) Payment File Transfer Schedule (UPSTATEONLY)

11/09/15 - 15TA/DC048 Processing Temporary Assistance (TA)Requests for Energy Emergencies

11/04/15 - 15TA/DC047 Re-issuance of 15-ADM-06 (15-ADM-06-T) Temporary Housing Assistance Consolidation and Clarificationof Policy

10/30/15 - 15TA/DC046 Refugee Form I-94 Arrival/Departure Rec-ord Automation

10/26/15 - 15TA/DC045 Alternative Formats and Rafferty v.OTDA, DOH, HRA, et. al Settlement


10/02/15 - 15TA/DC043 Home Energy Assistance Program (HEAP)Manual

10/02/15 - 15TA/DC042 Federal Government Shutdown Averted

09/25/15 - 15TA/DC041 Potential Federal Government Shutdownand SNAP (Supplemental Nutrition Assistance Program) Benefits

09/25/15 - 15TA/DC039 Statewide Financial System (SFS) Black-out Period affecting Home Energy Assistance Program (HEAP)vendor payments (UPSTATE ONLY)

09/14/15 - 15TA/DC038 Reminder to Disregard Certain SNAPE&T Sanctions from the SNAP E&T Sanction Progression

09/14/15 - 15TA/DC037 Important Notification about October 2015SSP Payments

09/09/15 - 15TA/DC036 Changes to National Grid’s Procedures forElderly, Blind or Disabled Households (UPSTATE ONLY)

08/28/15 - 15TA/DC035 Validation of Social Security Numbers

08/25/15 - 15TA/DC034 Upstate and NYC-Updated SupplementalNutrition Assistance Program (SNAP) Standards for October 2015


08/14/15 - 15TA/DC032 Electronic Benefit Transfer (EBT) Outage

08/04/15 - 15TA/DC031 2015-2016 Home Energy AssistanceProgram (HEAP) TA/SNAP Pre-Autopay Vendor Information Reports

08/04/15 - 15TA/DC030 Excessive Replacement Card Letter toClients

07/24/15 - 15TA/DC029 Temporary Cessation of System Gener-ated CNS Notices to Shelter, Fuel and/or Utility Vendors

07/02/15 - 15TA/DC028 Revised State Verification and ExchangeSystem (SVES) and State Online Query (SOLQ) Manual

06/15/15 - 15TA/DC027 EBT Forms Ordering. LDSS 5066 andLDSS 5004.

06/12/15 - 15TA/DC026 Change to the Address for the Guide DogFood Coordinator on the LDSS 3087, “Application/RecertificationGuide Dog Food Program.” (NYC ONLY)

06/08/15 - 15TA/DC025 2015-2016 Home Energy AssistanceProgram (HEAP) TA/SNAP Pre-Autopay Vendor Information Reports(UPSTATE ONLY)


06/03/15 - 15TA/DC023 Rafferty v. OTDA, DOH, HRA, et. alSettlement and Alternate Format Materials for the Visually Impaired


118

05/29/15 - 15TA/DC022 Home Energy Assistance Program (HEAP)Pending Report Closing (UPSTATE ONLY)

05/12/15 - 15TA/DC021 Restoration of SFARS (Specialized Fraudand Abuse Reporting System) Database and Reports

05/06/15 - 15TA/DC020 2014-15 Home Energy Assistance Program(HEAP) Revised Program Allocations (UPSTATE ONLY)


05/05/15 - 15TA/DC018 Removal of Gender Field from CommonBenefit Identification Card (CBIC)

04/23/15 - 15TA/DC017 Clarification of Affixed SSDs Represent-ative’s Signature on Interim Assistance Reimbursement Authoriza-tions

04/02/15 - 15TA/DC016 No-Heat Referrals to NYSERDA Em-Power Program

03/26/15 - 15TA/DC015 Statewide Financial System Blackout Pe-riod - HEAP Implications

03/26/15 - 15TA/DC014 2014-15 Home Energy Assistance ProgramRegular and Emergency Benefit Components Closing Date


03/12/15 - 15TA/DC012 Calculation of Utility Arrears When TA,HEAP and/or Customer Payments Have Been Made

03/11/15 - 15TA/DC011 Additional Home Energy AssistanceProgram (HEAP) Administrative Funding

03/06/15 - 15TA/DC010 2014-15 Home Energy Assistance Program(HEAP) – Second Emergency Benefit and Revised Closing Dates

03/05/15 - 15TA/DC009 Important Notification about April SSPPayments

03/05/15 - 15TA/DC008 New Haitian Family Reunification Parole(HFRP) for SNAP Benefits

02/24/15 - 15TA/DC007 Third-party Application (App) for Androidphones offering free EBT balance information

02/24/15 - 15TA/DC006 SNAP Closing Reason Code “M12” (UP-STATE ONLY)

02/24/15 - 15TA/DC005 200% of Poverty Income Standards Chart-June 1, 2015 through May 31, 2016

02/06/15 - 15TA/DC004 Additional Update on SNAP Applicationssubmitted through Intuit (Turbo Tax)

02/03/15 - 15TA/DC003 Update on SNAP Applications submittedthrough Intuit (Turbo Tax)

01/21/15 - 15TA/DC002 SNAP Applications submitted throughIntuit (Turbo Tax)

01/07/15 - 15TA/DC001 Home Energy Assistance Program (HEAP)Heating Equipment Repair and Replacement Closing Date


D 12/22/15 Biennial Accounting of Recoveries for Real PropertyLiens

D 11/5/15 Chapter 387 of the Laws of 2015: Alimony or SpousalSupport, Parental Income and Child Support Obligations

D 10/19/15 Banking Services Contract Extension

D 10/8/15 15-ADM-07 Arrears Pilot Initiative to Improve ChildSupport Compliance

D 10/7/15 Amendment to Social Services Law § 111-i and Adoptionof the 2008 Amendments to the Uniform Interstate Family SupportAct

D 10/2/15 Revisions to the Direct Deposit Enrollment Form andDirect Deposit Cancellation Form

D 9/15/15 Change to Noncustodial Parent Medical Execution CoverNotice

D 8/24/15 Statewide Arrears Pilot Program—Solicitation of DistrictParticipation

D 7/29/15 Federal Interstate Case Reconciliation Data Match

D 7/16/15 Department of Motor Vehicles License Suspension LawExtended

D 6/24/15 Process Year 2016 Tax Refund Offset DCO Values

D 6/8/15 Lottery Prize Intercept Process Changes

D 6/1/15 Change in New York State Child Support ProcessingCenter Project Directors

D 6/1/15 Implementation of the Revised Federal Income Withhold-ing Order/Notice for Support

D 5/15/15 Account Documents for a Court Proceeding Scheduled inAnother County

D 4/16/15 Changes to Non-IV-D Services

D 3/23/15 Increase in Volume of Cost of Living Adjustments forMarch 2015

D 2/27/15 Updated Child Support Guidelines Figures and Publica-tion of the Child Support Standards Chart

D 1/23/15 Batch Type 65 Processing

D 1/22/15 Chapter 466 of the Laws of 2014: Combined ParentalIncome


15-02 Instructions Regarding 15 ADM-06T

15-01 New FHIS Agency Nursing Home Eligibility Division(NHED)

2014

ADMs

D 14-ADM-07 State Administration of SSI State SupplementProgram (SSP)

D 14-ADM-06 Supplemental Nutrition Assistance Program (SNAP)Conciliation with Option to Avoid a SNAP Work Sanction throughDemonstrated Compliance

D 14-ADM-05-T Automated Information Exchange Agreement be-tween OTDA, OCFS, DOH and DOL-Unemployment Insurance Ben-efit Information

D 14-ADM-05 Automated Information Exchange Agreement be-tween OTDA, OCFS, DOH and DOL-Unemployment Insurance Ben-efit Information

D 14-ADM-04 Employment and Resource Exemption Changes au-thorized by Chapter 58 of the Laws of 2014

D 14-ADM-03 2014-15 Flexible Fund for Family Services (FFFS)

D 14-ADM-02 The Use, Capture and Reporting of SSD’s Represe-ntative’s Signature on Interim Assistance Reimbursement (IAR) Au-thorizations

D 14-ADM-01 Temporary Assistance Budgeting: 2014 EarnedIncome Disregard and Poverty Level Test

LCMs

D 14-LCM-15 Use and Protection of Confidential, Private, Personal,and/or Sensitive Information

D 14-LCM-14-T 2014-15 Home Energy Assistance Program ─

Administrative Allocations and Program Allocations

D 14-LCM-13 2014-2015 Home Energy Assistance Program(HEAP)

D 14-LCM-12-T Claiming Deadlines for Federal and State Reim-bursement

D 14-LCM-11 2014-2015 Home Energy Assistance Program(HEAP) – Early Mail Out Process and Administrative Allocations

D 14-LCM-10 Supplemental Nutrition Assistance Program Employ-ment and Training Allocations – FFY 2014

D 14-LCM-09 Supplemental Nutrition Assistance Program Employ-ment and Training (SNAP E&T) Dependent Care Requests for FFY2014

D 14-LCM-08 Quarterly Fraud Report

D 14-LCM-07 New York State Summer Youth Employment ProgramAllocations

D 14-LCM-06 Submission of TANF Claims/FFFS Plans

D 14-LCM-05 Child Support Incentives - Federal Fiscal Years 2012and 2014

D 14-LCM-04 Flexible Fund for Family Services (FFFS) 2014-2015Allocations and Child Welfare Services Thresholds


119

D 14-LCM-03 2013-2014 Home Energy Assistance Program(HEAP) Cooling Assistance Component (CAC)

D 14-LCM-02 WMS Audit Tool

D 14-LCM-01 Eligibility Determination and Claiming of EAF Ben-efits

INFs

D 14-INF-16 Notice of Pending SNAP Application

D 14-INF-15 State Minimum Wage Increase and Its Effect onTemporary Assistance (TA) and Supplemental Nutrition Assistance(SNAP) Programs

D 14-INF-13 Transportation Guidance

D 14-INF-12 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2015 and updated SSI and SSP Ben-efit Levels Chart

D 14-INF-11 Social Services District Monitoring Responsibilitiesfor Access to and Usage of Unemployment Information

D 14-INF-10 The Treatment of Veterans Aid and Attendance (VAAA) benefits for SNAP

D 14-INF-09-T Cost Avoidance Calculations for Program IntegrityInitiatives

D 14-INF-08 Summer Food Service Program (SFSP)

D 14-INF-06 Temporary Assistance Questions and Answers

D 14-INF-05 Resource File Integration (RFI) Policy and Procedures

D 14-INF-04 Change in Internal Revenue Service Mileage Rates

D 14-INF-02 Digest of Laws of 2013 Relating to Programs of theOffice of Temporary and Disability Assistance

D 14-INF-01 Revision to LDSS 4418 Acknowledgement of PaternityForm

GIS Messages

12/23/14 - 14TA/DC056 SSI COLA and NYSNIP Standard BenefitAmount Adjustments (UPSTATE ONLY)

12/23/14 - 14TA/DC055 SSI COLA and NYSNIP Standard BenefitAmount Adjustments (NYC ONLY)

12/23/14 - 14TA/DC054 Home Energy Assistance Program Emer-gency Benefit Component Opening

12/16/14 - 14TA/DC053 Home Energy Assistance Program (HEAP)and Temporary Assistance (TA) Implications of the 2014-15 UtilityTermination Moratorium Schedule for New York State Public ServiceCommission (PSC) Regulated and Municipal Utility Companies

11/26/14 - 14TA/DC052 State On-Line Query (SOLQ) SystemExpansion and Changes

11/21/14 - 14TA/DC051 Addressing Emergency Needs Resultingfrom Impact of Western New York Winter Storms (UPSTATE ONLY)

11/20/14 - 14TA/DC050 SDX Transmission Error (UPSTATEONLY)

11/10/14 14TA/DC049 2014-15 HEAP NYS Office of State Comp-troller (OSC) Payment File Transfer Schedule (UPSTATE ONLY)

11/07/14 14TA/DC048 Processing Temporary Assistance (TA)Requests for Energy Emergencies

10/21/14 14TA/DC047 Release of Revised Version of the LDSS-5004 “EBT How to Use Your Benefit Card to Get Supplemental Nutri-tion Assistance Program (SNAP) and/or Cash Benefits

10/21/14 14TA/DC046 Release of Two New LDSS E-Forms forElectronic Benefits Transfer (EBT)

10/20/14 14TA/DC045 2014-15 HEAP NYS Office of State Comp-troller Voucher File Schedule (UPSTATE ONLY)

10/20/14 14TA/DC044 Treatment of Family Tax Relief & PropertyTax Relief Credits: TA, SNAP and HEAP Policy Implications

10/15/14 14TA/DC043 SFARS (Specialized Fraud and AbuseReporting System) Limited Availability Since EBT Contractor Transi-tion

10/15/14 14TA/DC042 Increase in the UIB Minimum and Maxi-mum Benefits

10/02/14 14TA/DC041 Excessive Replacement Card Letter to Cli-ents

09/30/14 14TA/DC040 State Takeover of the SSI State SupplementProgram (SSP)

09/26/14 14TA/DC039 Direct Deposit Banking Information forSSP Recipients

09/26/14 14TA/DC038 Changes to SNAP Resource Limits

09/18/14 14TA/DC037 Update on Client Electronic Benefit Transfer(EBT) System Conversion Activities

09/10/14 14TA/DC036 State Supplement Program (SSP) Updates

09/03/14 14TA/DC035 Update on Client Electronic BenefitsTransfer (EBT) System Conversion Activities

09/02/14 14TA/DC034 SNAP Disaster Plan Local Contacts

08/29/14 14TA/DC033 Upstate and NYC-Updated SupplementalNutrition Assistance Program (SNAP) Standards for October, 2014

08/29/14 14TA/DC032 Restrictions on EBT Cash Transactions atSpecified Locations

08/15/14 14TA/DC031 National Grid Fax Outage Resolved (UP-STATE ONLY)

08/14/14 14TA/DC030 National Grid Fax Outage (UPSTATEONLY)

08/01/14 14TA/DC029 State Supplement Program (SSP) TransitionLetter Mail Out

08/01/14 14TA/DC028 2014-15 Home Energy Assistance ProgramTA/SNAP Pre-Autopay Vendor Information Reports (UPSTATEONLY)

07/25/14 14TA/DC027 Changes to the Services Provided by SocialSecurity Offices

07/23/14 14TA/DC026 National Grid System Maintenance

07/09/14 14TA/DC025 Transition of State Supplemental PersonalNeeds Allowance (SSPNA) Benefits to Direct Deposit

06/26/14 14TA/DC024 Home Energy Assistance Program (HEAP)Benefit Cooling Assistance Component (CAC) Tracking Log (UP-STATE ONLY)

06/19/14 14TA/DC022 Disability Accommodation Indicator

06/19/14 14TA/DC021 Closing of the 2013-2014 Home Energy As-sistance Program Cooling Assistance Component

06/11/14 14TA/DC020 2014-2015 Home Energy Assistance Pro-gram (HEAP) TA/SNAP Pre-Autopay Vendor Information Reports(UPSTATE ONLY)

06/02/14 14TA/DC019 LDSS-5041: “Lien Acknowledgement”Form

05/21/14 14TA/DC018 SNAP Budgeting Shelter Expense ofMortgage Costs when in Foreclosure

05/15/14 14TA/DC017 Home Energy Assistance Program (HEAP)Pending Reports (UPSTATE ONLY)

05/14/14 14TA/DC016 No-Heat Referrals to NYSERDA EmPower

04/08/14 14TA/DC015 2014 Emergency Program Income Guide-lines for Emergency Safety Net Assistance (ESNA) and EmergencyAssistance to Needy Families with Children (EAF)

04/03/14 14TA/DC014 200% of Poverty Income Standards Chart -June 1, 2014 through May 31, 2015

04/01/14 14TA/DC013 FFY 2014 Supplemental Nutrition Assis-tance Program (SNAP) Process and Technology Improvement Grants

03/21/14 14TA/DC012 Additional SAVE Telephone Conferenceand Information on Training (UPSTATE ONLY)

03/19/14 14TA/DC011 Farm Bill Changes to SNAP Standard Util-ity Allowance (SUA) Policy

03/14/14 14TA/DC010 Supplemental HEAP Payments (UPSTATEONLY)

03/11/14 14TA/DC009 Additional Home Energy Assistance Pro-gram (HEAP) Administrative Funding

03/06/14 14TA/DC008 Closing Dates for the 2013-14 Home EnergyAssistance Program (HEAP) Regular and Emergency Components

02/28/14 14TA/DC007 SAVE Telephone Conference and Informa-tion on Training (UPSTATE ONLY)

02/20/14 14TA/DC006 Electronic Benefit Transfer System Conver-sion


120

02/19/14 14TA/DC005 Home Energy Assistance Program (HEAP)Benefit Pending Reports

02/03/14 14TA/DC004 SAVE Telephone Conference (UPSTATEONLY)

01/30/14 14TA/DC003 2013-14 Home Energy Assistance ProgramRegular Component

01/29/14 14TA/DC002 Home Energy Assistance Program (HEAP)Heating Equipment Repair and Replacement Closing Date

01/06/14 14TA/DC001 Updated HEAP Brochure PUB-4735 andHEAP Poster PUB-5007


D 12/17/2014 Chapter 373 of the Laws of 2014 (Discontinued AS-SETS templates)

D 06/27/2014 Process Year 2015 Tax Refund Offset DCO Values

D 06/20/2014 Revised Wage and Health Benefits Report

D 05/02/2014 Revisions to Lien Documents Used in the Enforce-ment of Support Obligations and the Personal Injury Claims Enforce-ment Process

D 04/30/2014 Driver License Suspension Process—Systems Fixerto Update Aged DMV Indicators of U01 for Resubmission

D 04/25/2014 New COLD Report for CSENet Annual Notice ofOverdue Support

D 03/12/2014 Updated Child Support Guidelines Figures for 2014and Publication of the Child Support Standards Chart

D 03/06/2014 Information from the Department of Health about NYState of Health Notices

D 02/18/2014 Accessing eMedNY for Medicaid Eligibility Status

D 02/04/2014 Planned Data Collection Activities on ASSETS andthe Child Support Website


14-002 Outcome Reason Codes

2013

ADMs

D 13-ADM-07 Systematic Alien Verification for Entitlements(SAVE) Program

D 13-ADM-06 NYSERDA On-Bill Recovery (OBR) Financing


D 13-ADM-04 SNAP Reactivation Waiver

D 13-ADM-03 Temporary Assistance Budgeting: 2013 Changes tothe Earned Income Disregard and Poverty Level Test

D 13-ADM-02 Temporary Assistance and Supplemental NutritionAssistance Program Policy: The Treatment of Tax Refunds and Credits

D 13-ADM-01 Automated Case Closure and Closure of Administra-tive Cases

LCMs

D 13-LCM-16 2013-14 Home Energy Assistance Program–Administrative Allocations and Program Allocations

D 13-LCM-15 Document Packet for Fair Hearings Related toInterim Assistance Reimbursement (IAR)

D 13-LCM-14 2013-14 Home Energy Assistance Program

D 13-LCM-12 2014-2015 Biennial Temporary Assistance andSupplemental Nutrition Assistance Program (SNAP) EmploymentPlan

D 13-LCM-11 2013-14 Home Energy Assistance Program-EarlyMail Out Process and Administrative Allocations

D 13-LCM-10 Supplemental Nutrition Assistance Program Employ-ment and Training Allocations-FFY 2013

D 13-LCM-09 Revisions to LDSS-2859, Information Transmittal

D 13-LCM-08 Supplemental Nutrition Assistance Program Employ-ment and Training (SNAP E&T) Dependent Care Requests for FFY2013

D 13-LCM-07 Reporting Requirements under the Federal FundingAccountability and Transparency Act of 2006 (FFATA)

D 13-LCM-06 Supplemental Nutrition Assistance Program (SNAP)Civil/Human Rights Complaint

D 13-LCM-05 Claiming Deadlines for Federal and State Reimburse-ment

D 13-LCM-04 Child Support Incentives-Federal Fiscal Years 2011and 2013


D 13-LCM-02 2013 TANF Summer Youth Employment ProgramAllocations

D 13-LCM-01 2012-2013 Home Energy Assistance Program(HEAP) Cooling Assistance Component

INFs

D 13-INF-08 State Minimum Wage Increase and Its Effect onTemporary Assistance (TA) and Supplemental Nutrition AssistanceProgram (SNAP)

D 13-INF-07 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2014 – SSI Benefit Levels Chart

D 13-INF-06 Changes in the Earned Income Tax Credit (EITC) andSummary of Other Available Federal and State Tax Credits for TaxYear 2013

D 13-INF-05 Mandatory Supplemental Nutrition Assistance Pro-gram (SNAP) Right to File Poster-LDSS-4995

D 13-INF-04 Summer Food Service Program

D 13-INF-03 CBIC Photos for NTA-SNAP Cardholders

D 13-INF-02 Revisions to the LDSS 4310 “Periodic Report” andthe LDSS 4310A “Follow-up to the Periodic Report”

D 13-INF-01 Changes in the Earned Income Tax Credit (EITC) andprovide SSDs a summary of other available federal and state taxcredits for Tax Year 2012

GIS Messages

12/30/13 13TA/DC056 Expiration of the Emergency Unemploy-ment Compensation (EUC) Program

12/27/13 13TA/DC055 Home Energy Assistance Program Emer-gency Benefit Component Opening

12/27/13 13TA/DC054 SSI COLA and NYSNIP Standard BenefitAmount Adjustments (NYC ONLY)

12/26/13 13TA/DC054 SSI COLA and NYSNIP Standard BenefitAmount Adjustments (UPSTATE ONLY)

12/17/13 13TA/DC053 Home Energy Assistance Program (HEAP)and Temporary Assistance (TA) Implications of the 2013-14 UtilityTermination Moratorium Schedule for New York State Public ServiceCommission (PSC) Regulated and Municipal Utility Companies

12/17/13 13TA/DC052 Social Services District Responsibility forUpdating Specific Information, including Out of District/Stateinquires, found on the OTDA Intranet and CentraPort

12/05/13 13TA/DC051 Home Energy Assistance Program (HEAP)Payment Information (UPSTATE ONLY)

12/05/13 13TA/DC050 National Grid System Maintenance (UP-STATE ONLY)

11/15/13 13TA/DC049 Home Energy Assistance Program (HEAP)Manual

11/14/13 13TA/DC048 Issuance of One-Time Supplemental Nutri-tion Assistance Program (SNAP) Benefit resulting from the RichardC. v. Berlin Settlement Agreement

11/14/13 13TA/DC047 State On-Line Query (SOLQ) SystemChanges

11/04/13 13TA/DC046 Supportive Services for Veteran FamiliesProgram

10/25/13 13TA/DC045 Release of Revised Version of the PreviousPUB-4792 ‘‘Will You Receive Food Stamp Benefits after Cash Assis-tance Ends?’’

10/24/13 13TA/DC044 Release of Revised LDSS-4943 ‘‘Supple-mental Nutrition Assistance Program (SNAP) Benefits CategoricalEligibility Desk-Aid’’

10/24/13 13TA/DC043 Clarification of SNAP Policies RegardingHomeless Including Homeless Youth

10/21/13 13TA/DC042 Food/Non-Food Guidelines for the ‘‘Finan-cial Statement’’ (LDSS-3596) for Utility Assistance


121

10/18/13 13TA/DC041 End of Federal Government Shutdown

10/07/13 13TA/DC040 Federal Government Shutdown - GrantingGood Cause for Inability to Apply for Social Security Card(s)

10/07/13 13TA/DC039 New York State Energy Research andDevelopment Authority’s EmPower New York Assistance for Sum-mer 2013 Flooding and Superstorm Sandy

10/03/13 13TA/DC038 November 1, 2013 Expiration of FederalAmerican Recovery and Reinvestment Act (ARRA) TemporaryIncrease to SNAP Benefits

09/30/13 13TA/DC037 Impact on OTDA Programs of PotentialFederal Government Shutdown

09/23/13 13TA/DC036 Change in Form Number for PUB-4596‘‘EBT How to Use Your Benefit Card to Get SNAP and/or CashBenefits’’ to LDSS-5004

09/23/13 13TA/DC035 Calculation of Utility Arrears

09/13/13 13TA/DC034 CBIC Vault Card Ordering Process (UP-STATE ONLY)

09/11/13 13TA/DC033 Protocols for HEAP Alternate Certifiers andmyWorkspace Access for Alternate Certifiers (UPSTATE ONLY)

08/27/13 13TA/DC032 Release of Revised LDSS-548 ‘‘BudgetWorksheet - Temporary Assistance’’

08/20/13 13TA/DC031 Upstate and NYC Updated SupplementalNutrition Assistance Program (SNAP) Standards for October 2013

08/19/13 13TA/DC030 Excessive Replacement Card Letter to Cli-ents

07/08/13 13TA/DC029 Temporary Assistance (TA) and Supplemen-tal Nutrition Assistance Program (SNAP) Computer Matches: Incar-cerated Clients

07/08/13 13TA/DC028 Extension to Deadline Reporting Loss ofFood Purchased with SNAP Benefits Due to June 2013 Flooding (UP-STATE ONLY)

07/02/13 13TA/DC027 Addressing Emergency Needs Resultingfrom Recent Flooding (UPSTATE ONLY)

07/01/13 13TA/DC026 Implementation of the myBenefits/myWorkspace Home Energy Assistance Program (HEAP) ApplicationProcess

06/24/13 13TA/DC025 Home Energy Assistance Program (HEAP)Benefit Cooling Assistance Component (CAC) Tracking Log

06/21/13 13TA/DC024 SNAP Disaster Plan Local Contacts

06/20/13 13TA/DC023 National Grid System Maintenance (UP-STATE ONLY)

06/07/13 13TA/DC022 2013-2014 Home Energy Assistance Pro-gram (HEAP) TA/SNAP Pre- Autopay Request for Vendor Informa-tion (UPSTATE ONLY)

06/05/13 13TA/DC021 Closing of the 2012-2013 Home Energy As-sistance Program (HEAP) Cooling Assistance Component (CAC)

05/24/13 13TA/DC020 Home Energy Assistance Program (HEAP)Benefit Pending Reports (UPSTATE ONLY)

04/29/13 13TA/DC019 Required Posting of Notices

04/29/13 13TA/DC018 Expiration of Waiver to Allow Purchase ofHot and Prepared Foods with SNAP Benefits at Authorized FNSRetailers

04/12/13 13TA/DC017 State On Line Query (SOLQ) System

04/09/13 13TA/DC016 Reporting Applications for the 2012-2013Home Energy Assistance Program (HEAP) Cooling AssistanceComponent (CAC)

04/03/13 13TA/DC015 FFY2013 Supplemental Nutrition Assis-tance Program (SNAP) Technology Improvement Grants

04/01/13 13TA/DC014 Fourth Extension of Timeframe for Allow-ing SNAP Purchases of Hot and Prepared Foods at Authorized FNSRetailers in New York City and in Nassau and Suffolk Counties


03/20/13 13TA/DC012 200% Poverty Income Standards Chart -June 1, 2013 through May 31, 2014

03/11/13 13TA/DC011 Notice to Individuals Currently ServingSupplemental Nutrition Assistance Program Employment and Train-ing (SNAP E&T) Sanctions

03/11/13 13TA/DC010 Expanded Online Access to Social SecurityAdministration Information

03/01/13 13TA/DC009 Fourth Extension of Timeframe for Allow-ing SNAP Purchases of Hot and Prepared Foods at Authorized FNSRetailers in New York City and in Nassau and Suffolk Counties

02/28/13 13TA/DC008 Home Energy Assistance Program (HEAP)Regular and Emergency Component Closing Date

02/13/13 13TA/DC007 Additional Information on the Home EnergyAssistance Program (HEAP)

01/31/13 13TA/DC006 Third Extension of Timeframe for AllowingSNAP Purchase of Hot and Prepared Foods at Authorized FNS Retail-ers in New York City and in Nassau and Suffolk

01/31/13 13TA/DC005 Ending the Duration of Current Supplemen-tal Nutrition Assistance Program Employment and Training (SNAPE&T) Sanctions

01/29/13 13TA/DC004 Home Energy Assistance Program (HEAP)Heating Equipment Repair and Replacement Component Closing Date

01/29/13 13TA/DC003 Home Energy Assistance Program (HEAP)Benefit Processing and Pending Applications Reporting

01/24/13 13TA/DC002 Disabling Welfare Management System(WMS) Temporary Assistance (TA) Case Reason Code ‘‘M40’’

01/02/13 13TA/DC001 SSI COLA and NYSNIP Standard BenefitAmounts (UPSTATE ONLY)

01/02/13 13TA/DC001 SSI COLA and NYSNIP Standard BenefitAmounts (NYC ONLY)


D 12/19/2013 Affordable Care Act and Department of Health (DOH)Takeover of Medicaid

D 12/04/2013 Time Limits for Vacating an Acknowledgment ofPaternity

D 11/06/2013 Instructions for Review of Federal Tax Offset Cor-rected Social Security Number (SSN) Report and Federal Tax OffsetProcess Changes

D 08/02/2013 Revisions to DMV and DTF Important Notices Sentto Noncustodial Parents

D 07/16/2013 Extension of DMV License Suspension Laws

D 03/21/2013 Federal Case Registry Reconciliation

D 03/11/2013 Electronic Communications System Enhancements


13-03 Mailing Evidence Packet for Telephone Hearings

13-02 Waiver of Personal Appearance Instructions for Agencies

13-01b Fishman Default Letter 16 Spanish Language

13-01a Fishman Default Letter 16

13-01 Fishman v. Daines Litigation procedures [FISHMANCOURT ORDER VACATED SEPT. 2013]

13-002 Waiver Packet Address Change CORRECTED

2012

ADMs

D 12-ADM-08 Elimination of Finger Imaging Requirements forPurposes of the Supplemental Nutrition Assistance Program (SNAP)

D 12-ADM-07 Supplemental Nutrition Assistance Program(SNAP)-New Name for the Food Stamp Program


D 12-ADM-05 2012 Temporary Assistance Basic Allowance In-crease

D 12-ADM-04 New York State Parolees and Temporary Assistance/Temporary Housing Assistance District of Fiscal Responsibility (DFR)Policy

D 12-ADM-03 Information about Child Support Services andApplication/Referral for Child Support Enforcement Services (LDSS-4882)

D 12-ADM-02 Temporary Assistance Budgeting: 2012 Changes tothe Earned Income Disregard and Poverty Level Test


122

D 12-ADM-01 Requirement to Make Information Available to Non-Parent Caregivers relating to Available Services and Assistance Pro-grams

LCMs


D 12-LCM-13 Results of the Federal Fiscal Year 2011 Data Reli-ability Audit and Procedures to Prevent Deficiencies

D 12-LCM-12 2012-13 Home Program Summary

D 12-LCM-11 Transportation Initiative

D 12-LCM-10 2012-13 Home Energy Assistance Program-Administrative Allocations and Program Allocations

D 12-LCM-09 Supplemental 100% SNAP Employment and Train-ing Allocations –FFY 2012

D 12-LCM-08 2012-13 Home Energy Assistance Program-EarlyOutreach Process and Administrative Allocations

D 12-LCM-07 Food Stamp Employment and Training Allocations-FFY 2012

D 12-LCM-06 Continuation of OTDA Contract with MedicalProviders for Consultative Medical and Psychological Examinationsand Intelligence Assessments


D 12-LCM-04 Child Support Incentives-Federal Fiscals Years 2010and 2012

D 12-LCM-03 2012 Summer Youth Employment Program Alloca-tions

D 12-LCM-02 Use of Food Stamp Employment and Training(FSET) Funds for Dependent Care Expenses


INFs

D 12-INF-17 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2013 – SSI Benefit Levels Chart


D 12-INF-15 Revision to LDSS-4887 Mail-in Recert/EligibilityQuestionnaire

D 12-INF-14 Supplemental Nutrition Assistance Program Policy-Student Eligibility (Replaces 11-INF-06)

D 12-INF-13 Guidance on Use of Enhanced WMS Cross-SystemClearance Process and New Statewide Clearance Report

D 12-INF-12 PUB-4916 (Rev. 12/11): Helping Hands for People inNeed Brochure (No Longer Required)

D 12-INF-11 Availability of New Forms LDSS-4882 (7/12): Infor-mation about Child Support Services and Application/Referral forChild Support Services; LDSS-4882A (7/12): Information about ChildSupport Services; LDSS-4882B (7/12): Information for an AdditionalNoncustodial Parent (NCP)/Putative Father (PF); and LDSS-4882C(7/12): Information for an Additional Child

D 12-INF-10 Internal Revenue Service Mileage ReimbursementRate

D 12-INF-09 Summer Food Service Program

D 12-INF-08 The Treatment of Subsidized Employment as EarnedIncome for the Food Stamp Program

D 12-INF-07 Revised LDSS-4403: ‘‘Determination of Eligibilityfor Emergency Assistance to Families (EAF)’’

D 12-INF-06 Food Stamp Program Clarification of requiredDocumentation/Verification

D 12-INF-05 Clarification of Food Stamp Policy for Claims Estab-lished as a Result of a Court Ordered Restitution & Revision of FSRecoupment Data Entry Form-WMS LDSS-3513 NYC

D 12-INF-03 Temporary Assistance (TA) and Medicaid (MA)Benefits for Infants Residing With Their Incarcerated Mothers

D 12-INF-02 Earned Income Tax Credit (EITC) and Other TaxCredits and Information for Tax Year 2011

D 12-INF-01 Lottery Intercept Match (LIM) for Temporary Assis-tance Recipients

GIS Messages

12/31/12 12TA/DC040 HEAP Initial and Ongoing Daily Mass Au-thorization Process (UPSTATE ONLY)

12/28/12 12TA/DC039 Opening of the 2012-13 HEAP EmergencyBenefit Component

12/21/12 12TA/DC038 Second Extension of Timeframe for Allow-ing SNAP Purchase of Hot and Prepared Foods at Authorized FNSRetailers in Counties Impacted by Hurricane Sandy

12/19/12 12TA/DC037 Correction to the LDSS-4887: ‘‘Mail-InRecert/Eligibility Questionnaire’’

12/13/12 12TA/DC036 HEAP and TA Implications for the 2012-13Utility Termination Schedule for NYS PSC Regulated and MunicipalUtility Companies

12/04/12 12TA/DC035 Temporary Suspension of SupplementalNutrition Assistance Program Employment and Training (SNAP&T)Sanctions

12/03/12 12TA/DC034 2012-13 Home Energy Assistance Program(HEAP) Payment Information

11/26/12 12TA/DC033 Extension of Timeframe for Allowing SNAPPurchase of Hot and Prepared Foods at Authorized FNS Retailers inCounties Impacted by Hurricane Sandy

11/20/12 12TA/DC032 Processing Temporary Assistance (TA)Requests for Energy Emergencies

11/16/12 12TA/DC031 Exemption of Disaster Unemployment In-surance (DUA)

11/16/12 12TA/DC030 Restored EBT Availability

11/16/12 12TA/DC029 Availability of Emergency Manual Vouch-ers for SNAP During Continued Outage of EBT

11/16/12 12TA/DC028 Availability of EBT

11/15/12 12TA/DC027 NY Youth Works Program TA Budgeting/Eligibility Implications and Reporting Requirements

11/14/12 12TA/DC026 Temporary Assistance Programs for Emer-gencies Resulting from Superstorm Sandy

11/13/12 12TA/DC025 Extension of Certification Periods for SNAPand TA Households Impacted by Hurricane Sandy (UPSTATE ONLYFOR SELECTED COUNTIES)

11/09/12 12TA/DC025 Extension of Certification Periods for SNAPand TA Households Impacted by Hurricane Sandy (NYC ONLY

11/06/12 12TA/DC024 Waiver Approval to Allow SNAP Purchaseof Hot and Prepared Foods at Authorized FNA Retailers in the follow-ing areas affected by Hurricane Sandy: New York City, and the coun-ties of Nassau, Orange, Putnam, Rockland, Sullivan, Suffolk, andWestchester

11/06/12 12TA/DC023 Mass Authorization for Replacement of 50%SNAP October Benefits (UPSTATE ONLY)

11/06/12 12TA/DC023 Mass Authorization for Replacement of 50%SNAP October Benefits (NYC ONLY)

11/02/12 12TA/DC022 Extension to Deadline for Reporting Lossof Food Purchased with SNAP Benefits due to Hurricane Sandy (UP-STATE ONLY)

11/02/12 12TA/DC022 Extension to Deadline for Reporting Lossof Food Purchased with SNAP Benefits due to Hurricane Sandy (NYCONLY)

10/29/12 12TA/DC021 Disaster Preparedness for Hurricane Sandy

10/01/12 12TA/DC020 Income Eligibility Verification System(IEVS) 1099 Processing - Revised Procedure and IEVS Contact List

09/07/12 12TA/DC019 Participation of 18-21 Year Olds in NYSNIP

08/22/12 12TA/DC018 Upstate - Updated Supplemental NutritionAssistance Program (SNAP) Standards for October 1, 2012 (UP-STATE ONLY)

08/22/12 12TA/DC018 NYC - Updated Supplemental Nutrition As-sistance Program (SNAP) Standards for October 1, 2012 (NYCONLY)

08/08/12 12TA/DC017 National Grid Program ‘‘Advocates in Ac-tion’’


123

07/31/12 12TA/DC016 New York State Fresh/Connect Program forSupplemental Nutrition Assistance Program (SNAP) recipients

07/24/12 12TA/DC015 District Contact for Out of District/State In-quiries

07/10/12 12TA/DC014 Food Stamps Disaster Plan Local Contacts

07/03/12 12TA/DC013 Release of Updated LDSS-2642 ‘‘Docu-mentation Requirements’’ Form

06/21/12 12TA/DC012 Distribution of Informational Booklets:LDSS-4148A, LDSS-4148B, and LDSS-4148C

06/15/12 12TA/DC011 Finger-Imaging Requirements in the FoodStamp Program

05/23/12 12TA/DC010 Social Services District Responsibility forUpdating District Specific Information found on the OTDA Intranetand CentraPort

05/10/12 12TA/DC009 Release of Updated LDSS-3151

05/08/12 12TA/DC008 Release of Updated LDSS-3969B: ‘‘Noticeof Action on Your Application/Benefit for the Child AssistanceProgram, Status of Medical, Food Stamps or Services’’

04/24/12 12TA/DC007 Loss of Food - Crisis Situations (UPSTATEONLY)

03/30/12 12TA/DC006 2012 Emergency Program Income Guide-lines for Emergency Safety Net Assistance (ESNA) and EmergencyAssistance to Needy Families With Children (EAF)


03/15/12 12TA/DC004 NYSNIP Shelter Type 98 Standard BenefitAmount Adjustments

02/07/12 12TA/DC003 Discontinuance of WRTS ProductionReports (UPSTATE ONLY)

01/12/12 12TA/DC002 National Grid Upstate New York DSS UnitClosure on Friday, January 20, 2012

01/03/12 12TA/DC001 Food Stamp program elderly and disabledhousehold resource limit increase to $3,250 effective 10/1/11


D 11/30/2012 Banking Services Update

D 11/09/2012 Zero Dollar Current Child Support

D 10/17/2012 Website Security Enhancements Slide Show

D 10/17/2012 Website Security Enhancements Letter

D 08/17/2012 Banking Services Updates

D 07/06/2012 Property Execution Process

D 06/28/2012 2012 – 2013 Tax Refund Offset Process

D 06/18/2012 Federal Interstate Case Reconciliation Data Match

D 04/10/2012 Adoption of Federal Income Withholding Notice andWorksheet

D 04/05/2012 Enhancements to Noticing of Assigned Support Col-lections and Disbursements

D 02/14/2012 Fraudulent Internal Revenue Service Tax Returns


12-02 Change of FS to SNAP

12-01 Change to NYCRR 358-5.5 Abandonment of a Request for aFair Hearing

2011

ADMs

D 11-ADM-08 State-issued OCFS and OTDA IT Equipment

D 11-ADM-07 Flexible Fund for Family Services (FFFS)

D 11-ADM-06 New York State Employment

D 11-ADM-05 Temporary Assistance Budgeting: Treatment of Kin-ship Guardianship Assistance Program (KinGAP) Payments

D 11-ADM-04 Desk Reviews of the Distribution and Disbursementof Support Collections

D 11-ADM-03 Required Temporary Assistance for Needy Families(TANF) Reporting

D 11-ADM-02 Temporary Assistance Budgeting: 2011 Changes tothe earned Income Disregard and Poverty Level Test

D 11-ADM-01 Penalty for Failure to Comply with Temporary As-sistance (TA) Program Requirement to Pursue Supplemental SecurityIncome (SSI)

LCMs

D 11-LCM-14 2011-12 Home Energy Assistance Program (HEAP)

D 11-LCM-13 Community Solutions for Transportation (CST XI)Funding

D 11-LCM-12 Supplemental 100% Food Stamp Employment andTraining Allocations - FFY 2011

D 11-LCM-11 Supplemental allocations for Green Jobs Corps 2Program

D 11-LCM-10 2012-2013 Biennial Temporary Assistance and FoodStamp Employment Plan

D 11-LCM-09 Supplemental Health Care Jobs 2 Program Alloca-tions

D 11-LCM-08 Supplemental Allocations for OTDA TransitionalJobs 2 Program

D 11-LCM-07 2011-12 Home Energy Assistance Program-EarlyMail Out Process and Administrative Allocations for Early OutreachProcessing



D 11-LCM-04 Child Support Incentives-Federal Fiscal Years 2009and 2011

D 11-LCM-03 2011 Summer Youth Employment Program Alloca-tions

D 11-LCM-02 Local District Emergency Closings and Reporting ofEmergency Information


INFs


D 11-INF-16 Introduce LDSS-4973: ‘‘Manual Child Support Pass-Through Payment Determination Worksheet’’

D 11-INF-15 Process for Requesting Temporary Assistance Recerti-fication Waiver(s)

D 11-INF-14 Revised ‘‘Request for Voluntary Restricted Payments’’(LDSS-4580)

D 11-INF-13 Limited Revisions to the LDSS-3707, LDSS-4527,LDSS-4732A, LDSS-4732B, and LDSS-4778

D 11-INF-12 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2012-SSI Benefits Levels Chart

D 11-INF-11 Rest of State (ROS)-ABEL Initial Grant Proration

D 11-INF-10 Electronic Interim Assistance Reimbursement (eIAR)Implementation Questions and Answers

D 11-INF-09 New Form LDSS-4982 (5/11): ‘‘How Do I Apply forFood Stamps?’’

D 11-INF-08 Revisions to Manual Client Notices

D 11-INF-07 District Policy Options

D 11-INF-06 Food Stamp Policy-Student Eligibility

D 11-INF-04 Client Benefit Identification Card (CBIC) “Vault”Cards (Upstate Only)

D 11-INF-03 Earned Income Tax Credit (EITC) and Other TaxCredits for Tax Year 2010

D 11-INF-02 Conditional Certifications for the Work OpportunityTax Credit (WOTC)

D 11-INF-01 Revisions to LDSS-4230 (Conciliation Notification)

GIS Messages

12/06/11 11TA/DC026 SSI COLA and NYSNIP Standard BenefitAmount Adjustments (UPSTATE ONLY)

12/06/11 11TA/DC026 SSI COLA and NYSNIP Standard BenefitAmount Adjustments (NYC ONLY)


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11/16/11 11TA/DC025 Processing Requests for Energy RelatedEmergencies

09/28/11 11TA/DC024 Disaster Food Stamp Benefits Program of2011 Questions and Answers

09/23/11 11TA/DC023 Extension of Requests for Replacement ofFood Stamp Benefits due to Hurricane Irene

09/21/11 11TA/DC022 Instructions for LDSSs Operating a DisasterFood Stamp Benefit Program due to Hurricane Irene

09/20/11 11TA/DC021 Requests for Replacement August FoodStamp Benefits due to Hurricane Irene

09/09/11 11TA/DC020 Temporary Assistance Payments for Emer-gencies Resulting from Hurricane Irene and Tropical Storm Lee

09/07/11 11TA/DC019 Requests for Replacement Food Stamp Ben-efits

09/02/11 11TA/DC018 Issuing Replacement Food Stamp Benefits

08/26/11 11TA/DC017 Disaster Preparedness

08/18/11 11TA/DC016 National Voter Registration Act (NVRA)Responsibilities - 2011 Primary Election

08/17/11 11TA/DC015 ROS - Updated Food Stamp Standards forOctober 1, 2011 (UPSTATE ONLY)

08/17/11 11TA/DC015 NYC - Updated Food Stamp Standards forOctober 1, 2011 (NYC ONLY)

08/02/11 11TA/DC014 Use of Accurate WMS Payment Types forTemporary Housing (UPSTATE ONLY)

06/30/11 11TA/DC013 Social Service Responsibility for Submis-sion of Voter Registration Forms Received via Electronically Submit-ted Applications

06/07/11 11TA/DC012 False or Misleading Marital Status Informa-tion Admission Statement Form and Food Stamp Program IntentionalProgram Violations

05/31/11 11TA/DC011 Revisions to LDSS-4725 (TANF ServicesCertification/ Application Review Form)

04/26/11 11TA/DC010 Delayed Mailing of March Periodic Reports(LDSS-4310)


03/25/11 11TA/DC008 Second HEAP Emergency Benefit for2010-11

04/12/11 11TA/DC007 REISSUED - 2011 Emergency ProgramIncome Guidelines for Emergency Safety Net Assistance (ESNA) andEmergency Assistance to Needy Families with Children (EAF)

03/08/11 11TA/DC006 Temporary Assistance and Food StampImplications of the Changes to Medicaid Citizenship DocumentationRequirements

03/04/11 11TA/DC005 Redesigned I-551 Permanent Resident Card(Green Card)

02/15/11 11TA/DC004 UPS Required Adjustment to Food StampStandard Utility Allowance (SUA) Values (UPSTATE ONLY)

02/15/11 11TA/DC004 NYC Required Adjustment to Food StampStandard Utility Allowance (SUA) Values (NYC ONLY)

02/01/11 11TA/DC003 Food Stamp Disaster Plan Local Contacts

02/01/11 11TA/DC002 The Treatment of Tax Refunds and Credits:TA and FS Policy Implications of the ‘‘Tax Relief, Unemployment In-surance Reauthorization, and Job Creation Act of 2010’’

01/26/11 11TA/DC001 Reminder on the Budgeting of Restored FSBenefits for Households with Individuals who Have Received a Ret-roactive Determination of SSI Eligibility


D 12/19/2011 Approved Paternity Testing Laboratories List

D 12/19/2011 Approved Paternity Testing Laboratories Letter

D 12/01/2011 Quarterly Wage Reporting Chart

D 12/01/2011 Quarterly Wage Reporting of Available DependentHealth Insurance

D 11/09/2011 Multiple Document Data Capture Instructions

D 11/09/2011 Multiple Document Data Capture Enhancements

D 09/16/2011 Administrative Subpoena Forms

D 09/07/2011 Unemployment Insurance Benefits Payment Process-ing

D 08/31/2011 Administrative Subpoena Forms

D 08/16/2011 Electronic Communication System Enhancements

D 08/11/2011 Employer Reporting of Dependent Health Insurance

D 08/09/2011 New FIDM Contract

D 07/08/2011 Tax Refund Offset Process Exclusions

D 05/23/2011 Procedural Changes to Rejected Federal Tax RefundOffset Collections

D 03/16/2011 Court-Based License Suspension Process

D 03/10/2011 Enhancements to the Nightly Application Process

D 03/02/2011 Personal Information Form

D 02/18/2011 Electronic Communication System Reject Report

D 01/27/2011 Federal Case Registry Enhancements


11-001 Reissued Document Imaging Instructions for Agencies

2010

ADMs

D 10-ADM-07 Provision of Temporary Housing Assistance (THA)to Sex Offenders-Chapter 568 of the Laws of 2008


D 10-ADM-05-P Purchase of Service Agreements/Memorandum ofUnderstanding for the Child Support Program

D 10-ADM-04 Increase in the Pass-through and Disregard of Sup-port Payments-Phase II

D 10-ADM-03 Providing Temporary Assistance Applicants andRecipients with Information Regarding Sexual Assault

D 10-ADM-02 Legal Services and Cost Recovery for Recipients ofChild Support Services

D 10-ADM-01 Changes to Assignment of Support Rights and ChildSupport Distribution in Current-Assistance Cases

INFs


D 10-INF-23 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2011

D 10-INF-22 Accessing Applications for Temporary Assistance(TA), the Food Stamp Program and to the Home Energy AssistanceProgram (HEAP)

D 10-INF-21 New myBenefits Poster

D 10-INF-20 Obsolete LDSS-4148D New Information AboutTemporary Assistance and Food Stamps

D 10-INF-19 Home Energy Assistance Program: Elimination of 105Day Rule

D 10-INF-18 Revision to the LDSS-4884: Temporary AssistanceEnergy Emergencies Comparison Table

D 10-INF-17 Revised LDSS-4958 “TA Sanction & Denial Policy/Participation Rate Impact Guide”

D 10-INF-16 Revised LDSS-3152: “Action Taken on Your FS Ben-efit Case”

D 10-INF-15 Temporary Assistance (TA) Policy ImplicationsRegarding Electronic Interim Assistance Reimbursement (e-IAR) Ac-tivation

D 10-INF-14 Electronic Application and Signatures

D 10-INF-13 Revised LDSS-4526 (Rev. 6/2010) Medical Examina-tion for Employability Assessment, Disability Screening, andAlcoholism/Drug Addiction Determination and Release of Cover Let-ter to Accompany the Request for Medical Information Model Docu-ment

D 10-INF-12 Revised LDSS-3668: “Shelter Verification” Form

D 10-INF-11 Revised LDSS-3087 Application/RecertificationGuide Dog Food Program

D 10-INF-10 Temporary Assistance (TA) and Employment Program


125

Requirements for Individuals 18 to 21 Years Old Residing with TheirParent(s)


D 10-INF-08 Elevate America Program

D 10-INF-07 LDSS-4943 (11/09): “Food Stamp Benefits Categori-cal Eligibility Desk-Aid”

D 10-INF-06 Revision to the LDSS-4314: “FS Benefits HouseholdComposition Desk Guide”

D 10-INF-05 Revised PUB-4716: Every Day, Seniors Just Like YouGet Food Stamps

D 10-INF-04 Revision to PUB-4916: Helping Hands for People inNeed Brochure

D 10-INF-03 Revised LDSS-3938 (NYC): “Food Stamp Applica-tion Expedited Processing Summary Sheet” and LDSS-4921: “Work-ing Families Food Stamp Initiative Screening Sheet”

D 10-INF-02 Resolution of Doe v. Doar Cases on the WINR9482

D 10-INF-01 Revisions to the LDSS-4148C “What You ShouldKnow If You Have An Emergency, Questions and Answers Book- 3”(Rev.10/09)

LCMs

D 10-LCM-18 Funding for OTDA Transitional Jobs 2 Program

D 10-LCM-16 OTDA Health Care Jobs Corps 2 Program

D 10-LCM-15 OTDA Green Jobs Corps 2 Program

D 10-LCM-14 Supplemental 100% Food Stamp Employment andTraining Allocations-FFY 2010

D 10-LCM-13 2010-11 Home Energy Assistance Program (HEAP)Early Mail Out-Additional Administrative Funds

D 10-LCM-12 Food Stamp/Supplemental Nutrition Assistance(SNAP) Administrative Funding under the Defense Bill

D 10-LCM-11 State On-Line Query (SOLQ) System: Policy Guide-lines, Ongoing Audit Responsibilities, and Information Security

D 10-LCM-10 Flexible Fund for Family Services (FFFS) 201-2011Allocations and Child Welfare Services Thresholds

D 10-LCM-09 Submission of TANF Special Project Claims/FFFSPlans

D 10-LCM-08 2010 TANF Summer Youth Employment ProgramAllocations


D 10-LCM-06 Funding for Intensive Case Services for Noncompli-ant Families (ICS4)

D 10-LCM-05 Temporary Assistance Basic Allowance GrantIncrease-Payment to Local Districts

D 10-LCM-04 Claiming Deadlines for State Reimbursement Re-vised

D 10-LCM-03 NY Connects (formerly Long Term Care Point ofEntry) Program Year 4

D 10-LCM-02 2010 Census Promotion

D 10-LCM-01 Child Support Incentives - Federal Fiscal Year 2008(FFY2008)

GIS Messages

12/17/10 10TA/DC029 Issuing Emergency Payments Using WMSPayment Type Codes 13, E8, N1 and Special Claiming Category CodeP on Active Non-Temporary Assistance Food Stamp, Active MedicaidCase or at the Time of a Temporary Assistance Application Denial(UPSTATE ONLY)

12/16/10 10TA/DC028 Termination of the $25 per week UIBSupplement and FS Income Exclusion (UPSTATE ONLY)

12/16/10 10TA/DC028 Termination of the $25 per week UIBSupplement and FS Income Exclusion (NYC ONLY)

12/01/10 10TA/DC027 Timeframe for Social Service Districts(DSSs) to Report Interim Assistance Reimbursement (IAR) on thee-IAR System

11/23/10 10TA/DC026 Clark v. Astrue: Temporary Assistance (TA)and Food Stamps (FS) Policy for Probation and Parole Violators

11/03/10 10TA/DC025 Processing Requests for Energy RelatedEmergencies

10/01/10 10TA/DC024 Extension of the Validity of Puerto RicoBirth Certificates

09/23/10 10TA/DC023 Delay in the Implementation of the Elec-tronic Interview Assistance Reimbursement (e-IAR) Project

08/18/10 10TA/DC022 UPS - Updated - Food Stamp Standards forOctober 1, 2010 (UPSTATE ONLY)

08/18/10 10TA/DC022 NYC - Updated - Food Stamp Standards forOctober 1, 2010 (NYC ONLY)

08/13/10 10TA/DC021 EBT Cash and Food Stamp Adjustment dueto Network Outage on July 15 and 16, 2010

08/05/10 10TA/DC020 Budgeting of Extended Unemployment In-surance Benefits (UIB) and Treatment of the $25.00 Weekly FederalAdditional Compensation (FAC) Payments (UPSTATE ONLY)

08/05/10 10TA/DC020 Budgeting of Extended Unemployment In-surance Benefits (UIB) and Treatment of the $25.00 Weekly FederalAdditional Compensation (FAC) Payments (NYC ONLY)

07/22/10 10TA/DC019 Documentation of Unemployment Insur-ance (UI) Benefits (UPSTATE ONLY)

07/09/10 10TA/DC018 Amendment to Law 191 Invalidating PuertoRico Birth Certificate

06/21/10 10TA/DC017 Availability of ‘‘Know Your Options: Rela-tives Caring for Children’’

06/18/10 10TA/DC016 Law 191 Invalidating Puerto Rican BirthCertificates

06/02/10 10TA/DC015 Authorization of Energy Assistance forEmergencies for Grantees Receiving Supplemental Security Income(SSI)

06/01/10 10TA/DC014 Update on the 2010 Earned Income Disre-gard (EID) and Poverty Level Test

04/14/10 10TA/DC013 Extension of Case Services 4 Program Pe-riod

03/26/10 10TA/DC012 Extension of the 2009 Emergency ProgramIncome Guidelines for Emergency Safety Net Assistance (ESNA) andEmergency Assistance to Needy Families With Children (EAF)

03/10/10 10TA/DC011 Availability of ‘‘Having a Voice and aChoice: New York State Handbook for Relatives Raising Children’’

03/05/10 10TA/DC010 The Treatment of Making Work Pay andChild Tax Credits for TA, MA, and FS

02/18/10 10TA/DC008 REVISED Treatment of 2010 CensusTemporary Income using new Earned Income Source Code ‘75 -Census Income (PA Only) and Exclusion of Temporary Census Incomefrom Food Stamp Budgeting

02/16/10 10TA/DC007 Treatment of 2010 Census TemporaryIncome using new Earned Income Source Code ‘75 - Census Income(PA Only) and Exclusion of Temporary Census Income from FoodStamp Budgeting

02/12/10 10TA/DC006 Laser-printed NTA FS Recertification Ap-plications

02/12/10 10TA/DC005 Elimination of the Eight Month Time Limitfor Afghan and Iraqi Special Immigrants to Receive Refugee Benefits

02/05/10 10TA/DC004 False or Misleading Marital Status Informa-tion and Food Stamp Program Intentional Program Violations

01/22/10 10TA/DC003 Reminder of Change to Medicare Part BPremium

01/14/10 10TA/DC002 Extension of the Final Date for Resolutionof Potentially Eligible Households for the 2009 Back-to-School One-Time Payment (UPSTATE ONLY)

01/08/10 10TA/DC001 Exclusion of $25 per week UIB Supplementfrom Food Stamp Income (UPSTATE ONLY)

01/08/10 10TA/DC001 Exclusion of $25 per week UIB Supplementfrom Food Stamp Income (NYC ONLY)


D 12/29/2010 Title IV-E Foster Care Case Changes in CSMS

D 10/29/2010 CSMS IVDJRH Screen


126

D 10/29/2010 CSMS IVDJCI Screen

D 10/29/2010 CSMS Medical Indicator Values Chart

D 10/29/2010 CSMS CSSA Module

D 10/29/2010 CSMS Changes and Revised Medical Support Docu-ments

D 10/15/2010 Noncustodial Parent Poverty-Level Pilot Summary

D 10/15/2010 Noncustodial Parent Poverty-Level Pilot

D 10/13/2010 Banking Services Enhancements

D 10/07/2010 Low Income Support Obligation Performance Im-provement Act (LISOPIA)

D 09/22/2010 Child Support Services Available to NoncustodialParents Attachment

D 09/22/2010 Child Support Services Available to NoncustodialParents

D 07/01/2010 Tax Refund Offset Process

D 05/26/2010 Interstate Central Registry Document Processing

D 05/04/2010 Incarcerated Noncustodial Parents DOCS WebsiteLookup

D 05/04/2010 Incarcerated Noncustodial Parents

D 03/10/2010 Childs Support Standards Act Letter

D 02/17/2010 Purging Case History Transactions

D 01/11/2010 Tax Offset Process Changes

2009

ADMs

D 09-ADM-24 Changes to 18 NYCRR 350.4 Impacting the SafetyNet Assistance (SNA) Application Supplement and the Recognition ofSame Sex Marriages

D 09-ADM-22 Food Stamp Transitional Benefit Alternative (TBA)for Households with Children Leaving Safety Net Assistance

D 09-ADM-21 Temporary Assistance Excess Support Process andProcedures for Reviewing Cases that have Support Collections inExcess of the Temporary Assistance Deficit

D 09-ADM-20 Employment Sanctions and the Redetermination ofBenefits

D 09-ADM-19 Changes to Assignment of Support Rights and ChildSupport Distribution for Recipients of Temporary Assistance

D 09-ADM-18 Temporary Assistance (TA) Policy Implications ofImplementation of Electronic Interim Assistance Reimbursement (e-IAR)

D 09-ADM-17 Changes to the Utility Arrears Repayment Agree-ment Terms and Enforcement Option

D 09-ADM-16 Enrollments in Educational Activities for Nonex-empt Public Assistance Applicants and Recipients

D 09-ADM-15 Change in the Requirement to Recover TemporaryAssistance (TA) Overpayments

D 09-ADM-14 Employment Assessments for Exempt Public Assis-tance Applicants and Recipients in Households Without DependentChildren

D 09-ADM-13 Temporary Assistance Basic Allowance Grant In-crease

D 09-ADM-12 2009-10 Flexible Fund for Family Services (FFFS)(re-issued)

D 09-ADM-11 Transitional Employment Advancement Program(TEAP)

D 09-ADM-10 Shelter Supplementation Plans for Safety Net Assis-tance Single Adults and Childless Couples

D 09-ADM-09 Essential Persons

D 09-ADM-08 Participation in Food Stamp Program by Students inInstitutions of Higher Education

D 09-ADM-07 Property Execution Procedures for Mistake of Factand/or Exempt Money Claims

D 09-ADM-06 Expansion of Categorical Eligibility for Food Stampsfor Households with Out-of-pocket Dependent Care Expenses

D 09-ADM-05 Temporary Assistance Budgeting: 2009 Changes tothe Earned Income Disregard and the Poverty Level Income Test

D 09-ADM-04 Temporary Assistance (TA) Payment Type Codes--Designations as Assistance or Non-Assistance

D 09-ADM-03 Change to the AIDS/HIV-related Illness EmergencyShelter Allowance

D 09-ADM-02 Income Execution Process

D 09-ADM-01 New York State Anti-Trafficking Statute

INFs

D 09-INF-24 Questions and Answers from September 2009 Confer-ence Call on the Transitional Employment Advancement Program(TEAP)

D 09-INF-23 Earned Income Tax Credit (EITC) and Other TaxCredits for Tax Year 2009

D 09-INF-22 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2010 - SSI Benefit Levels Chart

D 09-INF-21 Revision to LDSS-4887 Mail-in recertification/Eligibility Questionnaire

D 09-INF-20 Countability of Job Search and Job Readiness Train-ing Activities

D 09-INF-19 Revisions to LDSS-4836, LDSS-4836-SP, LDSS-4836NYC, LDSS-4836-SP NYC, LDSS-4841, and LDSS-4841-SP

D 09-INF-18 5/08 Revisions to the LDSS-4826: “Food StampBenefits Application/Recertification” and LDSS-4826A: “How tocomplete the Food Stamp Benefits Application/Recertification”

D 09-INF-17 Addendum to the Client Information Books – LDSS-4148D: “New Information About Temporary Assistance and FoodStamps”

D 09-INF-16 LDSS–4942: ‘‘Food Stamp Program Authorized Rep-resentative Request Form’’ (3/09)

D 09-INF-15 Re-instatement of form LDSS-2640: “Request forAction/Services”

D 09-INF-13 Revised LDSS-1410: Life Insurance InformationRequest-Prudential and MetLife

D 09-INF-12 Program Integrity Questions and Answers

D 09-INF-11 Local District Security Provisions for Hearing Officers

D 09-INF-10 Modifications made to the Upstate CSMS 8649:“Obligation and Collection Greater Than Assistance Granted” Reportand New York City CSMS 8649: “Obligation and Collection GreaterThan Assistance Granted” Report

D 09-INF-09 Revised PUB-4596: EBT Training Brochure

D 09-INF-08 Distance Learning Education and Training

D 09-INF-07 Introduce the LDSS-4958: “TA Sanction & DenialPolicy/Participation Rate Impact Guide

D 09-INF-06 Revisions to the LDSS-4148B - What You ShouldKnow About Social Services Programs – Book 2

D 09-INF-05 Revisions made to the LDSS-4279: “Notice of Re-sponsibilities and Rights for Support” and LDSS-4279 SP: “Notice ofResponsibilities and Rights for Support Spanish’’

D 09-INF-04 Digest of Laws of 2007 Relating to programs of theOffice of Temporary and Disability Assistance

D 09-INF-03 Temporary Assistance (TA) Case Composition When aChild Attains Age 18

D 09-INF-02 WorkPays NY: Introduction of the WorkPays NYPromotional Material and Resource Guide/Checklist

LCMs

D 09-LCM-19 Discontinuation of SOLQ Access For HEAP Eligibil-ity Workers and Alternate Certifiers Effective January 1, 2010

D 09-LCM-18 Stimulus Food Stamp / Supplemental Nutrition As-sistance Program Administrative Funding under the American Recov-ery and Reinvestment Act

D 09-LCM-17 New Supplemental Security Income (SSI) LocalManagement Report

D 09-LCM-16 Availability of Safety Net Assistance Project (SNAP8) Funding

D 09-LCM-15 2010-2011 Biennial Temporary Assistance and FoodStamp Employment Plan09-LCM-14 Supplemental 100% Food StampEmployment and Training Allocations – FFY 2009


127

D 09-LCM-14 Supplemental 100% Food Stamp Employment andTraining Allocations – FFY 2009

D 09-LCM-13 Systems Availability Schedule

D 09-LCM-12 Adjustment of Transaction Charges for the FederalSystematic Alien Verification for Entitlements (SAVE) Program

D 09-LCM-11 OTDA Transitional Jobs Program

D 09-LCM-10 OTDA Health Care Jobs Program

D 09-LCM-09 OTDA Green Jobs Corps Program

D 09-LCM-08 Funding for Community Solutions for Transportation(CST)


D 09-LCM-06 NY Connects (formerly Long Term Care Point ofEntry) Program Year 3

D 09-LCM-05 Food Stamp/Supplemental Nutrition AssistanceProgram Administrative Funding under the American Recovery andReinvestment Act


D 09-LCM-03 2009 TANF Summer Youth Employment Program(SYEP) Allocations

D 09-LCM-02 Support Incentives—Federal Fiscal Year 2007 (FFY2207)

GIS Messages

12/15/09 09TA/DC036 Randomization of CBIC Numbering


11/16/09 09TA/DC034 CNS/WMS Alcohol & Substance AbuseSanction Code Changes (UPSTATE ONLY)

11/03/09 09TA/DC033 Meeting Energy Emergencies with HEAP

10/28/09 09TA/DC032 Changes to Pass-through and Disregard ofSupport Payments Effective January 1, 2010 (NYC ONLY)

10/20/09 09TA/DC031 Work Activity Attendance Documentation

10/14/09 09TA/DC029 Resolution of Potentially Eligible House-holds for the 2009 Back-to-School One-Time Payment (UPSTATEONLY)

09/28/09 09TA/DC028 TA Policy and District of Fiscal Responsibil-ity (DFR) Procedures, Mediation and Intervention Services

09/21/09 09TA/DC027 Save the Date for Upstate Temporary Assis-tance (TA) Conference Calls (UPSTATE ONLY)

09/01/09 09TA/DC026 Extension of the Repayment Terms of theUtility Arrears Repayment Agreement

08/27/09 09TA/DC025 SOLQ Reference Guide Revised August2009 and Available Online

08/18/09 09TA/DC024 Updated - Food Stamp Standards forOctober 1, 2009 (UPSTATE ONLY)

08/18/09 09TA/DC024 Updated - Food Stamp Standards forOctober 1, 2009 (NYC ONLY)

08/14/09 09TA/DC023 Revised LDSS-3938 (NYC): ‘‘Food StampApplication Expedited Processing Summary Sheet (NYC ONLY)

08/11/09 09TA/DC022 Human Trafficking Program Liaison

08/05/09 09TA/DC021 2009 Back to School One-Time Payment

07/28/09 09TA/DC020 Revised LDSS-4921: ‘‘Working FamiliesFood Stamp Initiative Screening Sheet’’

07/27/09 09TA/DC019 USDA Clarification on Action for ReturnedMail for Simplified (Six Month) Reporters

07/15/09 09TA/DC018 Changes to Allowable Cash AssistanceRates - United States Repatriation Program (USRP) (UPSTATEONLY) Posted as a courtesy for BRIA

07/06/09 09TA/DC017 Changes to Pass-through and Disregard ofSupport Payments effective July 1, 2009 (UPSTATE ONLY)

07/06/09 09TA/DC016 Transitional Food Stamp Benefits forParticipants of the TA Grant Diversion Programs (TEAP)

06/30/09 09TA/DC015 Federal Minimum Wage Increase and ItsEffects on Temporary Assistance and Food Stamp Programs

05/08/09 09TA/DC013 Discontinuance of Upstate WRTS Produc-tion Reports (UPSTATE ONLY)


04/10/09 09TA/DC011 TA, FS, and HEAP Treatment of AmericanRecovery and Reinvestment Act (ARRA) of 2009 $25 Per WeekIncrease to Unemployment Insurance Benefits (UIB)

03/31/09 09TA/DC010 Notification of date of the automated pro-cess to implement change to the treatment of certain payment typecodes discussed in 09 ADM-04

03/19/09 09TA/DC009 Treatment of the One-Time Stimulus Pay-ments from the American Recovery and Reinvestment Act (ARRA) of2009

03/17/09 09TA/DC008 Updated Food Stamp Standards for April 1,2009 (UPSTATE ONLY)

03/17/09 09TA/DC008 Updated Food Stamp Standards for April 1,2009 (NYC ONLY)

03/10/09 09TA/DC006 Use of ‘‘Financial Statement’’ (LDSS-3596)for Utility Arrearage Assistance and the Updated Food/Non-FoodExpense Guidelines

03/10/09 09TA/DC005 Return Date for Mailing of LDSS-4130Periodic Reports to Six-Month Reporting Food Stamp Households(UPSTATE ONLY)

02/11/09 09TA/DC003 2009 Emergency Program Income guide-lines for Emergency Safety Net Assistance (ESNA) and EmergencyAssistance to Needy Families with Children (EAF)

01/16/09 09TA/DC002 NYSNIP Standard Benefit Amount Adjust-ments (NYC ONLY)

01/09/09 09TA/DC001 NYSNIP Standard Benefit Amount Adjust-ments (UPSTATE ONLY)


D 11/17/2009 Electronic Communication System Enhancements

D 08/19/2009 Child Support Legislation

D 06/30/2009 2010 Tax Refund Offset Process

D 06/19/2009 Banking Services: SafePass Tokens

D 06/01/2009 Customer Service Helpline: Third Party Referrals

D 03/27/2009 Issuance of the Income Withholding for Support toEmployers

D 03/05/2009 Listing of In-Network Automated Teller Machines

D 03/05/2009 EPPI Card Brochure

D 03/05/2009 New Contract for Centralized Support Collection andEnforcement

D 02/18/2009 Request to Withdraw Passport Denial Form

D 02/18/2009 Change to Request to Withdraw Passport Denial Form

D 01/29/2009 Income Execution Resources Letter


09-02 Appearances at Upstate Hearings

2008

ADMs

D 08-ADM-12 Support NCP Poverty Level Pilot Initiative

D 08-ADM-11 Interim Assistance Reimbursement (IAR) Consoli-dated Policy and Procedures

D 08-ADM-10 Deficit Reduction Act (DRA) Annual Service Feefor Child Support

D 08-ADM-09 Farm Bill Reauthorization Provisions of Food StampProgram for 2008

D 08-ADM-08 Increase in the Pass-through and Disregard of Sup-port Payments

D 08-ADM-07 Implementation of Final Temporary Assistance forNeedy Families (TANF) Rule

D 08-ADM-06 Social Security Administration Automation ofInterim Assistance Reimbursement (IAR), Direct Deposit Authoriza-tion for IAR Payments, Government to Government Services Online(GSO) Registration, and Monthly IAR E-Report


128

D 08-ADM-05 SSI- Screening/ Identification, Referral and TrackingRequirements

D 08-ADM-04 Treatment of Income from Adoption Subsidy Pay-ments and Foster Care Payments in Determining Food Stamp ProgramEligibility and Benefit Amount

D 08-ADM-03 Substance Abuse Treatment for Adolescents –Conversion of Some Facilities that Treat Adolescents from CongregateCare Level 2 to Medical Facilities Under Residential RehabilitationServices for Youth (RRSY)


INFs

D 08-INF-19 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2009-SSI Benefit Levels Chart

D 08-INF-18 Revisions to LDSS-4925: ‘‘Employability Code DeskGuide TANF and SN MOE’’ and LDSS-4926: ‘‘Employability CodeDesk Guide SN non-MOE’’

D 08-INF-17 Temporary Assistance: Financial Institution ResourceClearance

D 08-INF-16 Non-Parent Caregivers and Good Cause

D 08-INF-15 Revision to LDSS-3696 ‘‘Job Search Handbook’’

D 08-INF-14 Temporary Assistance (TA): Income EligibilityVerification System (IEVS) 1099 Processing for Local Districts

D 08-INF-13 Cost Avoidance Calculations for Program IntegrityInitiatives

D 08-INF-12 Pathways and Similar Case Management Models

D 08-INF-11 Revised and Reformatted PUB-4596: EBT TrainingBrochure

D 08-INF-10 Employment Verifications- Local District Commit-ment to a Revenue Intercept for Utilization of TALX CorporationeXpress Services under the OTDA Statewide Contract with TALXCorporation


D 08-INF-08 Verified Employment Data (VED) Information Addedto Upstate RFI

D 08-INF-07 Working Families Food Stamp Initiative Q and As

D 08-INF-06 Online availability of the LDSS-4903: ‘‘Disqualifica-tion Consent Agreement’’ and LDSS-4904: ‘‘Notice of Consequencesto a Disqualification Consent Agreement’’

D 08-INF-05 LDSS-4905: Domestic Violence Information for AllTemporary Assistance Applicants

D 08-INF-03 Categorical Eligibility for Food Stamps Q & As

D 08-INF-02 LDSS-4583: Domestic Violence Screening Form (Rev.9/07)

LCMs

D 08-LCM-13 Funding for Intensive Case Services for Noncompli-ant Families (ICS3)

D 08-LCM-12 Availability of Safety Net Assistance Project (SNAP)Funding

D 08-LCM-11 Automated Termination of Food Stamp (FS) Claims

D 08-LCM-10 Supplemental 100% Food Stamp Employment andTraining Allocations - FFY 2008

D 08-LCM-09 Home Energy Assistance Program (HEAP) Office ofthe State Comptroller (OSC) Payment Process

D 08-LCM-08 NY Connects (formerly Long Term Care Point ofEntry Program)

D 08-LCM-07 Work Incentive Fund Allocations 2008-09

D 08-LCM-06 Local Administration Fund (LAF) Base Allocations2008-2009

D 08-LCM-05 Funding Available for Community Solutions forTransportation (CST)

D 08-LCM-04 2008-09 Home Energy Assistance Program (HEAP)Targeted Mail Out


D 08-LCM-02 Child Support Incentives-Federal Fiscal Year 2006(FFY 2006)

D 08-LCM-01 Food Stamp Employment and Training Allocations -FFY 2008

GIS Messages

12/23/08 08TA/DC034 Extension of the Ten Day Reporting Dead-line for Request of Replacement Food Stamp Benefits

12/22/08 08TA/DC033 Survey of Social Services Districts (SSDs)for Information Needed to Implement New Laws Regarding Tempo-rary Housing for Sex Offenders

12/19/08 08TA/DC032 Food Stamp Budgeting Reminder: IncreasedStandard Utility Allowances

12/17/08 08TA/DC031 (REVISED) Issuing Replacement FoodStamp Benefits and Emergency Food Replacement (UPSTATE ONLY)

11/25/08 08TA/DC029 Estimating Automobile Value: Change inthe National Automobile Dealers Association (NADA) Pricing Termi-nology

11/25/08 08TA/DC028 2008 Food Stamp Bonus Award Allocation

11/14/08 08TA/DC027 OMRDD Regional Meetings and FoodStamp Applications for Group Home Residents

11/05/08 08TA/DC026 Suspending Enforcement of Utility Repay-ment Agreements during the Cold Weather Period

10/17/08 08TA/DC025 Claims Establishment for Food Stamp CasesAffected by Deletion of Adoption Subsidy Income during the ALLMRB/A (UPSTATE ONLY)

10/06/08 08TA/DC024 Meeting Energy Emergencies with HEAP

09/30/08 08TA/DC023 Increase in Pass-through and Disregard ofSupport Payments

09/24/08 08TA/DC022 Group Home and Congregate Care Budget-ing (UPSTATE ONLY)

09/24/08 08TA/DC022 Group Home and Congregate Care Budget-ing (NYC ONLY)

09/18/08 08TA/DC021 Use of the ‘‘Financial Statement (LDSS-3596) for Utility Arrearage Assistance and the Updated 2007-08 Food/Non-Food Guidelines

09/15/08 08TA/DC020 Electronic IAR Phone Conference

08/14/08 08TA/DC019 Updated – Food Stamp Standards forOctober ’08 (NYC ONLY)

08/14/08 08TA/DC019 Updated - Food Stamp Standards forOctober’08 (UPSTATE ONLY)

07/30/08 08TA/DC018 Food Stamp Notice of Missed Interview(NOMI) Notice

07/24/08 08TA/DC017 Federal Minimum Wage Increase & FoodStamp Work Exemption

07/22/08 08TA/DC016 New Policy and Closing Codes for FleeingFelons and Probation and Parole Violators (NYC ONLY)

07/22/08 08TA/DC016 New Policy and Closing Codes for FleeingFelons and Probation and Parole Violators (UPSTATE ONLY)

07/22/08 08TA/DC015 National Voter Registration Act (NVRA)Responsibilities – 2008 General Election

06/26/08 08TA/DC014 SDX Manual Renamed SDX ReferenceGuide, Revised March 2008, and Available Online

06/19/08 08TA/DC013 Automated Termination of Food Stamp (FS)Claims

05/28/08 08TA/DC012 Social Services District Responsibility forUpdating District Specific Information Found on the OTDA Intranetand CentraPort


04/08/08 08TA/DC010 Addition of Verified Employment Data(VED) to RFI for ALL Upstate LDSS’s (UPSTATE ONLY)

04/08/08 08TA/DC009 Federal Economic Stimulus Tax Rebate

04/04/08 08TA/DC008 Guidance of Afghan & Iraqi NationalsGranted Special Immigrant Status by the U.S. Citizenship & Immigra-tion Services (USCIS)

03/20/08 08TA/DC007 Third Set of Conference Calls RegardingNecessary Action on Closed Cases Discussed in 07 ADM-06 Doe v.


129

Doar - Unfavorable Appellate Court Decision on the Proration Policytransmitted in 04 ADM-05 ‘‘TA & Non-TA Mixed Households,Budgeting when the Family Includes an SSI Member’’

03/20/08 08TA/DC006 2008 Emergency Program Income Guide-lines for ESNA & EAF

03/07/08 08TA/DC005 Addition of Verified Employment Data(VED) to RFI (UPSTATE ONLY)

02/29/08 08TA/DC004 Categorical Eligibility for Food Stamps /Helping Hands Brochure

02/08/08 08TA/DC003 Updates to the Temporary Assistance &Food Stamp Policy Manual

01/17/08 08TA/DC002 Public Housing Authority Shelter Allow-ance Change in Approval Process

01/11/08 08TA/DC001 Temporary Assistance: Safety Net Assis-tance (SNA) 45 Day Application Period During a Leap Year


D 12/30/2008 Impact of Statutory Amendments on PEX and PICProcesses

D 11/25/2008 Enhanced Driver’s License Program

D 11/20/2008 Poverty-Level Noncustodial Parent Modification andArrears Pilot

D 09/26/2008 Tax Law Change and Offset of STAR Rebates


D 06/30/2008 Money Screen Confidentiality

D 05/19/2008 Desk Review Confirmation Notice

D 05/19/2008 Desk Review Confirmation Notification Procedure

D 04/22/2008 Desk Review Request Form and Instructions

D 04/22/2008 Desk Review Request Form Letter


08-13a Attachment New Scripted Letter J Varshavsky Withdrawals

08-13 New Scripted Letter J Varshavsky Withdrawal Procedures

08-04 Reissued Document Imaging Instructions for Local Agencies

2007

ADMs

D 07-ADM-10 The Working Families Food Stamp Initiative(WFFSI)

D 07-ADM-09 Categorical Eligibility for Food Stamps

D 07-ADM-08 Safety Net Assistance (SNA) Households WithoutDependent Children (Singles and Childless Couples) Work ActivityDefinitions and Participation Rate Methodology

D 07-ADM-07 Unaccompanied Refugee Minors (URM) Program

D 07-ADM-06 Doe v. Doar – Unfavorable Appellate Court Deci-sion on the Proration Policy Transmitted in 04 ADM-05 “TemporaryAssistance and Non-Temporary Assistance Mixed Households;Budgeting When the Family Includes an SSI Member”

D 07-ADM-05 Food Stamp Change Reporting for Ten-Day Report-ers


D 07-ADM-03 The Recoupment of Duplicate Restricted Rental Pay-ments and Change of Timely Reporting Requirements from Five (5)Business Days to Ten (10) Calendar Days

D 07-ADM-01 Temporary Assistance Procedures: Elimination ofQuarterly Reporting System (QRS) Requirements and Welfare-To-Work Procedures: Documenting Hours of Paid Employment

INFs

D 07-INF-16 Social Security Administration (SSA) Cost-of-LivingAdjustment (COLA) for January 2008 - SSI Benefit Levels Chart

D 07-INF-15 LDSS-4579: “Alien Eligibility Desk Aid” (Revised10/07)

D 07-INF-14 Child Only Questions and Answers

D 07-INF-13 Introducing the Electronic Benefit Transfer (EBT)Cardholder Account Overview Guide

D 07-INF-12 Office of Temporary and Disability Assistance(OTDA) Restructuring

D 07-INF-11 Office of Alcoholism and Substance Abuse Services(OASAS) Tobacco-Free Prevention and Treatment Programs

D 07-INF-10 Automated Case Closing of Computer Match Hits(Auto Close)

D 07-INF-09 LDSS-4905: Domestic Violence Information for AllTemporary Assistance Applicants (previously known as the “Hand-Out to All Applicants for Welfare” LDSS-4594, 4594-NYC, 4594-S,4594-S-NYC: “Notification of Decision on a Waiver” LDSS-4595,4595-NYC, 4595-S,4595-S-NYC: “Notification of Decision on aContinuation of Waiver”)

D 07-INF-08 Lottery Intercept Reporting to Local Districts

D 07-INF-06 Revisions to the LDSS-4148A - What You ShouldKnow About Your Rights and Responsibilities (When Applying For orReceiving Social Services)

D 07-INF-05 Revision to LDSS-4530: Assignment of Wages, Sal-ary, Commissions or Compensation For Services

D 07-INF-04 Revisions to 22 Mandatory Client Notices

D 07-INF-03 Recovery/Recoupment Due to Fleeing Felon andProbation/Parole Violator Status

D 07-INF-02 Revisions to “Action Taken On Your Request For As-sistance To Meet An Immediate Need or A Special Allowance” (LDSS-4002)

D 07-INF-01 Social Security Numbers for Aliens without UnitedStates Citizenship and Immigration Services (USCIS) Work Authori-zation

LCMs

D 07-LCM-16 Financial Management Procedures for Social Secu-rity Administration Representative Payees - Revised

D 07-LCM-15 Federal Requirements for Work Participation Docu-mentation and Reporting

D 07-LCM-14 Food Stamp Bonus Award Allocation

D 07-LCM-13 2008-2009 Temporary Assistance and Food StampEmployment Plan

D 07-LCM-12 Food Stamp Employment and Training Allocations –FFY 2007

D 07-LCM-11 2007-2008 Home Energy Assistance Program(HEAP) – Client Notice System (CNS) Early Mail-Out

D 07-LDM-10 Food Stamp Management Evaluation Procedures

D 07-LDM-09 Availability of Funds to Provide Services to SafetyNet Assistance Recipients (SNAP – Safety Net Assistance Project)

D 07-LCM-08 e-HEAP Electronic Workbook and e-File

D 07-LCM-07 Funding for Intensive Case Services for Noncompli-ant Families

D 07-LCM-06 Funding Available for Community Solutions forTransportation (CST)

D 07-LCM-05 Local Administration Fund Allocations 2007-2008

D 07-LCM-04 SDX – SSI Individual Status Screen on WMS

D 07-LCM-03 Local District Emergency Closings


D 07-LCM-01 Child Support Incentives - Federal Fiscal Year 2005

GIS Messages

12/18/07 07TA/DC022 NYSNIP Standard Benefit Amount Adjust-ments

12/14/07 07TA/DC021 Working Families Food Stamp InitiativeConference Informational Calls – December 20, 2007

12/14/07 07TA/DC020 Categorical Eligibility for Food Stamps

12/05/07 07TA/DC019 Food Stamp Program Group Home Stan-dard Benefits (GHSB) Adjustments

11/29/07 07TA/DC018 Meeting Energy Emergencies

11/16/07 07TA/DC017 Food Stamp Bonus Award Allocation

11/15/07 07TA/DC016 Distribution of ‘‘Child Care Letter’’ ListsUPSTATE ONLY

10/30/07 07TA/DC015 “In Lieu of TA Child Care” Dear ParentLetter


130

10/17/07 07TA/DC014 Conference Calls regarding implementationissues related to 07 ADM-06 Doe v. Doar - Unfavorable AppellateCourt Decision on the Proration Policy transmitted in 04 ADM-05‘‘Temporary Assistance and Non-Temporary Assistance MixedHouseholds, Budgeting when the Family includes an SSI Member’’(UPSTATE ONLY)

09/27/07 07TA/DC012 Use of the ‘‘Financial Statement’’ (LDSS-3596) for Utility Arrearage Assistance and the Updated 2007-08 Food/Non-Food Guidelines

09/14/07 07TA/DC011 Doe v. Doar: Court Decision InvalidatesPolicy in 18 NYCRR 352.2(b) and 04 ADM-5 ‘‘Temporary Assistanceand Non-Temporary Assistance Mixed Households-Budgeting WhenFamily Includes an SSI Member’’

08/27/07 07TA/DC010 Interim Assistance Reimbursement (IAR)for More than One Social Services District

08/21/07 07TA/DC009 Substance Abuse Treatment for Adolescents- Conversion of Some Facilities that Treat Adolescents from Congre-gate Care Level II to Medical Facilities Under Residential Rehabilita-tion Services for Youth (RRSY)

08/14/07 07TA/DC008 Updated-Food Stamp Standards for October1, 2007 (UPSTATE ONLY)

08/14/07 07TA/DC008 Updated-Food Stamp Standards for October1, 2007 (NYC ONLY)

08/07/07 07TA/DC007 Federal Minimum Wage Increase and FoodStamp Exemption

08/01/07 07TA/DC006 Reporting Excused Absences from Count-able Unpaid Work Activities as Hours of Participation for Householdswith Dependent Children

06/06/07 07TA/DC005 Delayed Mailing of LDSS-4310 PeriodicReports to Six-Month Reporting Food Stamp Households


03/20/07 07TA/DC003 200% of Poverty Income Standards ChartJune 1, 2007 through May 31, 2008

03/01/07 07TA/DC002 Client Satisfaction Survey

02/20/07 07TA/DC001 Permanently Residing Under the Color ofLaw (PRUCOL)

DCLs Child Support

D 06/29/2007 MEDX Appellate Court Decision

D 06/01/2007 Release of Information to a Requesting Party

D 05/09/2007 Retroactive Modification of Support and Crediting ofOverpayments


07-03a Hearing Room Display Signs and Instructions Attachment

07-03 Hearing Room Display Signs and Instructions

2006

ADMs

D 06-ADM-15 School Attendance of Homeless Children - Revised

D 06-ADM-14 Electronic Benefit Transfer (EBT) Customer ServiceAutomated Response Unit (ARU) Personal Identification Number(PIN) Selection Restriction

D 06-ADM-13 National Directory of New Hires (NDNH) Com-puter Match

D 06-ADM-12 Noncustodial Parent New York State Earned IncomeTax Credit (NCP NYS EIC) - Procedures

D 06-ADM-11 United States Repatriation Program (USRP) ADMLocal District Responsibilities (except NYC)

D 06-ADM-10 Temporary Assistance (TA) Mail-in RecertificationProcess Revised

D 06-ADM-09 Velazquez Cases – Special Instructions Part 3

D 06-ADM-08 2006-07 Combined TANF Allocation

D 06-ADM-07 District of Fiscal Responsibility for Homeless Place-ments Out of District Revised

D 06-ADM-06 Coordination of Temporary Assistance Employment

and Eligibility Requirements for Individuals Who Are Required toApply for SSI

D 06-ADM-05 Providing Access to Temporary Assistance Programsfor Persons with Disabilities and/or Limited English Proficiency (LEP)Revised

D 06-ADM-02 Temporary Assistance: Income Eligibility Verifica-tion System (IEVS) 1099 Processing

D 06-ADM-01 Lifeline Telephone Service

INFs

D 06-INF-34 Domestic Violence Residential Programs – PaymentIssues and District of Fiscal Responsibility (DFR)


D 06-INF-30 New Desk Guide – LDSS-4888: “School AttendanceDesk Guide” (7/06)

D 06-INF-29 Revisions to 12 Mandatory Client Notices

D 06-INF-28 Revised 9/06 version of the LDSS-4778: “Calcula-tions of Total Overpayment Amount”

D 06-INF-27 Revision of the LDSS-4731: “District of FiscalResponsibility (DFR) Desk Guide” (Rev. 7/06)

D 06-INF-26 Investigative Unit Operations Plan

D 06-INF-25 Consolidated Shelter Arrears Policy and EmergencySafety Net Assistance Shelter Arrears Repayment Agreement - Revised

D 06-INF-24 Contract with TALX Corporation for Employment andIncome Verification Services via the “Work Number” and LocalDistrict Contact Information Request for the TALX Corporation andthe National Directory of New Hires computer match

D 06-INF-22 Clarification of DFR Procedures for Parolees


D 06-INF-20 Clarification of the Treasury Offset Program (TOP)Collection Process

D 06-INF-19 Medicare Part D Prescription Drug Plan and End ofthe Medicare-Approved Prescription Drug Discount Card ProgramDeduction

D 06-INF-18 LDSS-4884: Temporary Assistance Energy Emergen-cies Comparison Table

D 06-INF-17 LDSS-4863 Medical Information Release Form

D 06-INF-16 Program Integrity Questions and Answers

D 06-INF-15 Revisions to the LDSS-3174 Recertification Form forTemporary Assistance, Medical Assistance, Medicare Savings Pro-gram and Food Stamp Benefits and Pub-1313 How to Complete theLDSS-3174

D 06-INF-14 Battered Aliens Eligibility for Benefits Revised

D 06-INF-12 Clarification of Policy Regarding Verification ofSchool Attendance Revised

D 06-INF-11 Family Violence Option Policy Clarifications

D 06-INF-10 Computer Matching Clarification for Food Stamps

D 06-INF-09 Revisions for the LDSS-3151: Food Stamp ChangeReport form (Rev. 1/06)

D 06-INF-07 Changes in Expungement Procedures

D 06-INF-06 State Tax Refund Offset Program (STROP): Watts v.Wing Settlement Terms

D 06-INF-05 Welfare-To-Work Regulatory Citation Changes

D 06-INF-04 HEAP 2006-2007 Needs Assessment Public Hearings

D 06-INF-03 Welfare-To-Work Employment Forms

D 06-INF-02 Revision to PUB-4786 The Earned Income Tax Credit

LCMs

D 06-LCM-13 OTDA Contract with Medical Providers for Consul-tative Medical and Psychological Examinations and Intelligence As-sessments

D 06-LCM-12 Long Term Care Point of Entry Program

D 06-LCM-11 Funding for Intensive Case Services for Noncompli-ant Families

D 06-LCM-09 Claiming Process for Certain Two-Parent Families


131

D 06-LCM-08 Food Stamp Management Evaluation Procedures

D 06-LCM-07 Claiming of Food Stamp Program (FSP) administra-tive funds for the medical screening of Food Stamp Employment andTraining (FSE&T) participants to establish exemption from programrule requirements.

D 06-LCM-06 Additional TANF Funding to Support State-Administered Programs and Contracts

D 06-LCM-05 Imaging and Enterprise Document Repository (I/EDR) Services and Pricing Information

D 06-LCM-04 Katrina Claiming for Non-Assistance Program Ex-penditures

D 06-LCM-03 2006-07 Home Energy Assistance Program

D 06-LCM-02 Allocation for the 2006-07 Local AdministrationFund

D 06-LCM-01 Submission of TANF Special Project Claims

GIS Messages

12/21/06 06TA/DC043 Citizens Energy Oil Heat Program (UP-STATE ONLY)

12/19/06 06TA/DC042 Minimum Wage Increase and Work Hours

11/24/06 06TA/DC041 NYSNIP Standard Benefit Amount Adjust-ments

11/22/06 06TA/DC040 Upcoming Telephone Conference Calls toDiscuss Child Support Desk Review Process for Excess Support &Pass-through Payments

11/20/06 06TA/DC039 Group Home Standardized Benefits (GHSB)Adjustments

10/30/06 06TA/DC038 TA Grant Diversion Participants NotEligible for TBA FS

10/26/06 06TA/DC037 1099 Computer Matching for TANF Recipi-ents

10/18/06 06TA/DC036 Hours of Participation in Work ActivitiesReport for Safety-Net Assistance (SNA) Cases without DependentChildren

10/10/06 06TA/DC035 Meeting Energy Emergencies

09/21/06 06TA/DC034 Non-Assistance Payment Types for Autho-rization of Temporary Assistance (TA) Emergency or ImmediateNeeds (UPSTATE ONLY)

09/05/06 06TA/DC033 Use of the ‘‘Financial Statement’’ (LDSS-3596) for Utility Arrearage Assistance and the Updated 2006-07 Food/Non-Food Guidelines

08/18/06 06TA/DC032 UPST Updated - Food Stamp Standards forOctober 1, 2006 (UPSTATE ONLY)

08/18/06 06TA/DC032 NYC Updated - Food Stamp Standards forOctober 1, 2006 (NYC ONLY)

08/11/06 06TA/DC031 Alert for the provision of US citizenrepatriation services (UPSTATE ONLY)

07/25/06 06TA/DC030 Close Out of DFSP in Four Counties(Broome, Delaware, Montgomery, Tioga) (UPSTATE ONLY)

07/21/06 06TA/DC029 Extension of DFSP in Four Counties(Broome, Delaware, Montgomery, Tioga) (UPSTATE ONLY)

07/17/06 06TA/DC028 Issuing Supplemental Disaster FS Benefitsto Current Food Stamp Recipients Affected by the Disaster (UPSTATEONLY)

07/14/06 06TA/DC027 Extension of the Disaster Food Stamp Ben-efit Program (UPSTATE ONLY)

07/14/06 06TA/DC026 Toll-Free Number for Hearing Matters Re-lated to the Flood of 2006 (UPSTATE ONLY)

07/11/06 06TA/DC025 Disaster Food Stamp Benefit Program andTA Emergency Benefits Follow-up GIS Message (UPSTATE ONLY)

07/10/06 06TA/DC024 Edit Change to Unearned Income SourceCode 06 (Child Support Payments) and Unearned Income SourceCode 02 (Alimony/Spousal Support Non-Arrears) (UPSTATE ONLY)

07/10/06 06TA/DC023 Camp Fees

07/07/06 06TA/DC022 Implementation of Disaster Food StampProgram and Clarification of Emergency Assistance Programs; Infor-

mation on Temporary Assistance Programs and HEAP in Relation toFlood Relief (UPSTATE ONLY)

07/07/06 06TA/DC021 WINR 4402 - Excess Child Support Excep-tion Report - New Exceptions and Necessary Action (UPSTATEONLY)

07/04/06 06TA/DC020 Emergency Benefit Issuance to FloodingVictims, July 4, 2006

06/29/06 06TA/DC019 WMS Availability on Fourth of July, 2006

06/29/06 06TA/DC018 Emergency Food Replacement

05/31/06 06TA/DC017 Problem with recent NYSNIP 24-MonthInterim Report Mailing

05/25/06 06TA/DC016 Legislative Changes to Temporary Assis-tance Employment Requirements

05/12/06 06TA/DC015 NYSNIP Upstate 24 Month Interim Report(LDSS-4836 and 4836SP)

05/11/06 06TA/DC014 NYSNIP 24 Month Interim Reporting

04/07/06 06TA/DC013 Temporary Assistance: Income EligibilityVerification System (IEVS) 1099 Processing Contact List (UPSTATEONLY)

04/03/06 06TA/DC012 New York State Nutrition ImprovementProgram (NYSNIP) Benefit Levels


03/23/06 06TA/DC010 Food Stamp Policy Reminder AuthorizedReps are Chosen at HH Discretion

03/10/06 06TA/DC009 Delayed Delivery of Interim AssistanceReimbursement (IAR) Checks

03/07/06 06TA/DC008 WMS Coding for Evacuees of HurricaneKatrina


02/10/06 06TA/DC006 Reauthorization of Temporary Assistancefor Needy Families Program


02/01/06 06TA/DC004 Food Stamp Budgeting Reminder: IncreasedStandard Utility Allowances

01/30/06 06TA/DC003 Group Home Standardized Benefits (GHSB)Adjustments (NYC ONLY)

01/12/06 06TA/DC002 Food Stamp Budgeting; Updated FoodStamp Medical Mileage Deduction

01/05/06 06TA/DC001 Group Home Standardized Benefits (GHSB)Adjustments (UPSTATE ONLY)


D 08/31/2006 Passport Denial Instructions

D 08/31/2006 Passport Denial


2005

ADMs

D 05-ADM-16 Temporary Assistance Case Number Reuse

D 05-ADM-15 Food Stamp Claims and Collection Processes

D 05-ADM-14 Food Stamp Budgeting: VISTA Payments and Medi-cal Mileage Expenses

D 05-ADM-13 Revised LDSS-3938: “Food Stamp ApplicationExpedited Processing Summary Sheet”

D 05-ADM-12 Reporting of Room and Board Arrangements

D 05-ADM-11 Flexible Fund for Family Services

D 05-ADM-10 Velazquez Cases – Special Instructions Part 2

D 05-ADM-08 Front End Detection System (FEDS) Policy

D 05-ADM-06 Temporary Assistance (TA) and Medicaid (MA)Financial Institution Recipient Match (FIRM): Implications for TA,MA, and Food Stamps (FS)

D 05-ADM-05 Regulatory Amendment Mandating Use of CAMS

D 05-ADM-04 Velazquez Cases – Special Instructions Parts 1 and 2


132

D 05-ADM-03 Establishing the Standard of Need and BudgetingIncome for Persons Not Residing in Their Own Homes (18 NYCRR352.9)

D 05-ADM-02 Section 8 Voucher: Change to the Temporary Assis-tance (TA) Budgeting for Some Section 8 Voucher Cases

INFs

D 05-INF-26 Notification of Local Districts Concerning Release ofSex Offenders

D 05-INF-25 Revised Hurricane Katrina Questions and Answers

D 05-INF-24 TA Policy: Non-parent Caregiver Cases and TemporaryAssistance

D 05-INF-23 9/05 Revisions of LDSS-4682, LDSS-4682 NYC,LDSS-4799, LDSS-4799 NYC, LDSS-4827 and LDSS-4827 NYC

D 05-INF-22 SSA COLA for January 2006-SSI Benefit Levels Chart

D 05-INF-21 Revision to LDSS-3814: “Temporary Assistance Ad-ditional Allowances and Other Help” flyer

D 05-INF-20 Digest of Laws 2005 Relating to Programs of the Of-fice of Temporary and Disability Assistance

D 05-INF-19 Hurricane Katrina Evacuee Questions and Answers

D 05-INF-18 Food Stamp Program Questions and Answers: Expe-dited FS Application Processing, IPVS, NYSNIP, TOP/CAMS

D 05-INF-17 Temporary Assistance (TA) Budgeting: Volunteers inService to America (VISTA) Payments

D 05-INF-16 Revision of LDSS-2642: “Documentation Require-ments”

D 05-INF-15 Revisions to Mandatory Client Notices

D 05-INF-14 Revision of LDSS-4826: Food Stamp BenefitsApplication/Recertification and LDSS-4826A: How to Complete theFood Stamp Benefits Application/Recertification

D 05-INF-13 Revision to Food Stamp Benefits ABEL Budget Nar-ratives (LDSS-3959, LDSS-3960 and LDSS-3961)

D 05-INF-11 Revision of Mandatory Client Notice: Repayment ofInterim Assistance (LDSS-2425)

D 05-INF-10 Temporary Assistance Policy: Questions and Answersfrom the Spring 2004 Regional Meetings

D 05-INF-09 New Statewide “Common Application”, LDSS – 2921Statewide (Rev. 1/05) New Statewide “How to Complete” Publica-tion, PUB – 1301 Statewide (Rev. 1/05)

D 05-INF-08 Revisions to PUB-4842: “Interpreter Services Poster”and PUB-4843: Interpreter Services Desk Guide

D 05-INF-07 State Tax Refund Offset Program (STROP): Watts vs.Wing – Update on Litigation and Request for LDSS Contact Person(s)

D 05-INF-04 Reinstatement of LDSS-3666: “TA/FSDocumentation/Verification Desk Guide” (1/05)

D 05-INF-03 Puerto Rico EBT Interoperability Policy

D 05-INF-02 Documentation Receipt – Temporary Assistance, FoodStamp Benefits, Medicaid and or Child Health Plus A

LCMs

D 05-LCM-13 Funding Availability for the Youth Engagement Ser-vices Program

D 05-LCM-12 Local District Emergency Closings

D 05-LCM-11 Case Management Services for Safety Net Recipients

D 05-LCM-10 HEAP Budget Calculator Application (HBC)

D 05-LCM-09 Policy Regarding the Supervisory Signature ofLDSS-3209 Authorization

D 05-LCM-8 Claiming Child Support Collections Refunded toVelasquez Case Members

D 05-LCM-06 Allocation for the 2005-06 Local Administrative Fund

D 05-LCM-05 Submission of TANF Special Project Claims

D 05-LCM-04 Treasury Offset Program

D 05-LCM-03 Submission of RF Certifications

D 05-LCM-01 TANF Calendar Year 2003 Projects/Allocations

GIS Messages

10/06/05 05TA/DC040 NYSNIP Shelter Threshold Increase

09/14/05 05TA/DC031 Updated Food Stamp Instructions forEvacuees from Hurricane Katrina (NYC HRA Version)

09/14/05 05TA/DC031 Updated Food Stamp Instructions forEvacuees from Hurricane Katrina (Upstate Version)

09/08/05 05TA/DC028 Assistance for Displaced Citizens from Hur-ricane Katrina

09/02/05 05TA/DC027 Refugees from Hurricane Katrina

08/15/05 05TA/DC025 Updated Food Stamp Standards for October1, 2005(UPSTATE)

08/15/05 05TA/DC025 Updated - Food Stamp Standards forOctober 1, 2005 (NYC)

08/12/05 05TA/DC024 TA and/or FS Authorization Periods Limitedto Six Months

04/21/05 05TA/DC016 Budgeting of Food Stamp Benefits forGroup Home Residents

03/08/05 05TA/DC009 NYSNIP Non-Redeemer Letter-Round Two

03/02/05 05TA/DC008 FS Standard Utility Allowances for Heating/Cooling Expenses

02/15/05 05TA/DC006 Food Stamp Exclusion of Child SupportPayments from Income

02/09/05 05TA/DC004 Exclusion of Disaster Relief Earnings

02/02/05 05TA/DC003 NYSNIP Non-Redeemer Reminder GIS

01/28/05 05TA/DC002 Exclusion of Military Combat Pay


D 11/29/2005 Model Bankruptcy Protocol

D 06/10/2005 Undistributed Collections and Coding

D 06/10/2005 Undistributed Collection Categories and Coding for44 SPEC Field

D 03/10/2005 Medical Execution


05-31 Varshavsky Remand Procedure 2

05-26a Attachment Referral Guide

05-03 Reminder to Agencies on Communications with RepresentedClients/Appellants

2004

ADMs

D 2004 ADM-08 Expansion of Eligibility of Alien Victims of Se-vere Forms of Trafficking in Persons

D 2004 ADM-07 Food Stamp Medical Deduction for Medicare Pre-scription Drug Discount Cards

D 2004 ADM-06 Treatment of Full-Time Earnings of StudentsUnder Temporary Assistance (TA) Programs

D 2004 ADM-04 Refugee Cash and Medical Assistance Programs(RCA & RMA) Revised December 8, 2004

D 2004 ADM-02 Changes in Food Stamp Program Change Report-ing Rules

D 2004 ADM-01 Establishing and Collecting Food Stamp Overissu-ance Claims

INFs

D 2004 INF-26 Revisions to Manual Client Notices

D 2004 INF-25 Introduction of a Food Stamp Six-Month ReportingDesk Guide

D 2004 INF-24 Digest of Laws of 2004 Relating to Programs of theOffice of Temporary and Disability Assistance

D 2004 INF-23 Revision of LDSS-4398: “WMS Non-Services CodeCards” (November 2004 Update)

D 2004 INF-22 SSA COLA for January 2005 - SSI and Food StampCharts

D 2004 INF-21 Revision of the LDSS-4403: “Determination ofEligibility For Emergency Assistance to Families (EAF)” (7/04 Revi-sion)

D 2004 INF-20 Temporary Assistance Policy: Computer MatchingClarification

D 2004 INF-19 Offer of a Job as an Available Resource


133

D 2004 INF-18 Local Department of Social Services District of Fis-cal Responsibility Contacts Found on the OTDA Intranet Site andCentraPort

D 2004 INF-16 Electronic Benefit Transfer (EBT) Voluntary Repay-ment of Overpayments

D 2004 INF-15 Availability of the Revised 2/04 Version of the 9Other Than English Languages LDSS-3151: “Food Stamp ChangeReport Form”

D 2004 INF-14 Revision of the Mandated Food Stamp Benefits CivilRights Complaint Procedure Poster (LDSS-8036)

D 2004-INF-13 Revisions to the Systems Generated “PeriodicReport” (LDSS-4310) and the Vendor Printed “Follow-Up to thePeriodic Report” (LDSS-4310A)

D 2004 INF-12 Temporary Assistance Questions and AnswersRevised July 26, 2004

D 2004 INF-11 Revision of the LDSS-4826: “Food Stamp BenefitsApplication/Recertification” and LDSS-4826A: “How to Completethe Food Stamp Benefits Application/Recertification”

D 2004 INF-09 Documentation Requirements Reminder RevisedJuly 6, 2004

D 2004 INF-07 Temporary Assistance Questions and Answers

D 2004 INF-05 Disregard Certain Veterans Administration (VA)Payments Made to Biological Children of Women Vietnam Veteransand Extend to Safety Net Assistance Families the Disregard of VAPayments Made to Vietnam Veterans’ Children with Spina Bifida

D 2004 INF-03 Revision of the LDSS-4403: “Determination ofEligibility For Emergency Assistance to Families (EAF)” (7/03 Revi-sion)

LCMs

D 2004 LCM-13 New York State Nutrition Improvement Project

D 2004 LCM-12 Appointment of OTDA Executive Deputy Com-missioner and OTDA Deputy Commissioner for Division of Tempo-rary Assistance

D 2004 LCM-11 AFIS Plan / Exemptions for FS Finger Imaging

D 2004 LCM-10 Program Integrity Performance Measures

D 2004 LCM-08 Food Stamp Program Access Policy

D 2004 LCM-07 Food Stamp Program Civil Rights ComplaintProcedures Revised June 30, 2004

D 2004 LCM-06 Front End Detection System (FEDS)

D 2004 LCM-05 Food Stamp Management Evaluation Procedures

D 2004 LCM-04 Approvals of Revisions to Local District’s Cost Al-location Plan

D 2004 LCM-03 Submission of TANF Special Project Claims

D 2004 LCM-02 Procedures Regarding the Security of CommonBenefit Identification Cards (CBICS) Returned Undeliverable By theUnited States Postal Service (USPS)

D 2004 LCM-01 District of Fiscal Responsibility Procedures Re-minder Revised February 19, 2004

GIS Messages

12/29/04 04TA/DC031 FS Outreach via EPIC Letter regardingMedicare Rx Drug Discount Programs

12/21/04 04TA/DC030 Cash HEAP Payments to NYSNIP Partici-pants

11/02/04 04TA/DC028 Implementation of Standardized FoodStamp Benefits for Group Home Residents

10/14/04 04TA/DC025 FS Policy on Medicare RX Drug Discountprograms

08/17/04 04TA/DC019 Updated Food Stamp Standards for October1, 2004

07/06/04 04TA/DC018 Follow-up to GIS 04TA/DC005: Shortening24-Month FS Certification Periods

06/30/04 04TA/DC016 Periodic Reports for Non-TA Food StampHouseholds

06/02/04 04TA/DC014 Food Stamp Disaster Plan: Local DistrictContacts

05/11/04 04TA/DC013 Clarification of FS TBA Policy reissued

05/11/04 04TA/DC011 Clarification of FS TBA Policy

03/18/04 04TA/DC005 Shortening 24-Month FS CertificationPeriods/New B80 CNS Code

02/18/04 04TA/DC002 SUA for Telephone


D 06/25/2004 Document Data Sheets

D 05/03/2004 Letter: Calculation of Unreimbursed Assistance

D 05/03/2004 Calculation/Payment of Support In Excess of Assis-tance Paid

D 05/03/2004 Response to Specific Questions

D 03/24/2004 Unreimbursed Assistance

D 03/23/2004 Letter: Medical Execution Frequently Asked Ques-tions

D 03/23/2004 Medical Execution Frequently Asked Questions

D 03/02/2004 Issuance of Medical Execution and Alternative Cover-age

D 02/26/2004 Medical Execution Cover

D 02/26/2004 National Medical Execution Notice Revised

2003

ADMs

D 2003 ADM-11 Emergency Assistance to Families (EAF): Changesto Part 372 of 18 NYCRR 372 and to the TANF State Plan

D 2003 ADM-10 TA Policy Changes: Lump Sum Set Asides andResource Two-Year College Fund Exemption

D 2003 ADM-09 Regulatory Changes: Temporary Assistance (TA)Budgeting: Percentage Earnings Disregard Extended to Pregnant SNAWomen and Trust Fund Policy Clarification

D 2003 ADM-08 Issuing Nonrecurring Temporary Assistance (TA)Emergency Payments and TANF Services Block Grant Payments onan Active Non-Temporary Assistance Food Stamp Case, an ActiveMedicaid Case or at the Time of a TA Application Denial

D 2003 ADM-07 Temporary Assistance: New Shelter Allowancesand Related Changes

D 2003 ADM-03 New Food Stamp-Only Application Form

D 2003 ADM-02 Desk Reference for DV Screening under the Fam-ily Violence Option

D 2003 ADM-01 Eligibility of Alien Victims of Severe Form ofTrafficking in Persons

INFs

D 2003 INF-43 Food Stamp Deductions for Medical Expenses

D 2003 INF-42 Elimination of Social Security Numbers from SSI,Interim Assistance Reimbursement, and Social Security Checks

D 2003 INF-41 Revisions to Client Notices

D 2003 INF-40 SSA COLA for January 2004 - SSI and Food StampCharts

D 2003 INF-39 New Statewide “Common Application”, LDSS –2921 Statewide (Rev. 7/03) and New Statewide “How to Complete”Publication, PUB – 1301 Statewide (Rev. 7/03)

D 2003 INF-38 Availability of the Following Forms in Arabic andChinese: LDSS-2921 Statewide “Common Application” form andPUB-1301 Statewide “How to Complete the Application” form

D 2003 INF-37 Revision to Spanish Versions of the Client Informa-tion Books and the Introduction of Other Available Languages Includ-ing Russian, Arabic and Chinese


D 2003 INF-35 Clarification of Temporary Assistance DiversionPayment Types for Families

D 2003 INF-34 Limiting Emergency/Immediate Needs Grants Dueto Frequent Applications for Recurring and Emergency TemporaryAssistance

D 2003 INF-33 Revision of the LDSS-3151: “Food Stamp ChangeReport Form” (Rev. 6/03)


134

D 2003 INF-32 LDSS-4682: Notification of Overpayment of PublicAssistance to a Former Recipient and Demand For Repayment (5/03)and LDSS-4682 NYC: Notification of Overpayment of Public Assis-tance to a Former Recipient and Demand For Repayment (NYC) (5/03)

D 2003 INF-31 Revision of the LDSS-3558: “Food Stamp SeparateDetermination Input Form” (Rev. 5/03)

D 2003 INF-29 Family Violence Option: Domestic Violence Liai-son List

D 2003 INF-27 Temporary Assistance Date of Eligibility

D 2003 INF-26 Introduction of a Statewide LDSS-3174: “Recertifi-cation Form” and The Associated PUB-1313: “How to Complete”Publication

D 2003 INF-25 Temporary Assistance Questions and AnswersRevision: July 7, 2003 Original Release: June 19, 2003

D 2003 INF-22 Temporary Assistance: Individuals in ResidentialTreatment Programs

D 2003 INF-20 Availability of the Statewide Common Applicationand the How to Complete the Application in Spanish and Russian

D 2003 INF-19 Expired or Lost Immigration Documents

D 2003 INF-18 Obsolete Form DSS-2215: “Report of Claim/BenefitRestoration Determination” Food Stamp Program

D 2003 INF-17 Recoupment Procedures When Temporary Assis-tance (TA) Recipients Change Districts

D 2003 INF-16 Revisions to the Food Stamp Benefits Budget Work-sheets

D 2003 INF-15 Compromise of Food Stamp Claims for Overissu-ance

D 2003 INF-14 Food Stamp Program Eligibility for Aliens

D 2003 INF-13 Revision to LDSS-4753: “Food Stamps – Requestfor Contact/Missed Interview”

D 2003 INF-12 Revision of the “Food Stamp Household Composi-tion Desk Guide” (LDSS-4314) (Rev. 1/03)

D 2003 INF-11 Revisions to the LDSS-4791: Important InformationAbout What Changes You Must Report for Food Stamp Benefits

D 2003 INF-10 Food Stamp Program Questions and Answers: Ap-plication Processing, Six-Month Reporting, Transitional Benefits andStandard Utility Allowances

D 2003 INF-07 State Sixty-Month Time Limit and Essential Persons


D 2003 INF-04 Time Limit Counts and Family Assistance PaymentCorrections

D 2003-INF-02 Revision of the LDSS-3151 “Food Stamp ChangeReport Form” (Rev. 1/03)

D 2003 INF-01 Earned Income Tax Credit and Other Tax Credits

LCMs

D 2003 LCM-09 Refunds of Treasury Offset Program (TOP) Mon-ies

D 2003 LCM-08 Safeguarding of Personal Information for FoodStamp and Temporary Assistance Applicants and Recipients


D 2003 LCM-05 Termination of Certain Food Stamp OverissuanceClaims

D 2003 LCM-03 Food Stamp Program Civil Rights Complaint Pro-cedures

D 2003 LCM-02 New Hires Match

D 2003 LCM-01 Clothing Allowance Under the Emergency Assis-tance to Adults Program

GIS Messages

09/25/03 03TA/DC028 24-month FS certification periods forhouseholds in which all adults are elderly/disabled

08/15/03 03TA/DC022 Response to Power Outages

08/13/03 03TA/DC021 IPV Notices for PA and FS now availableon OTDA Forms Website

08/11/03 03TA/DC020 Updated-Food Stamp Standards for October1, 2003

07/31/03 03TA/DC019 Subscribe to the Automated SubscriberSystem for Updates to the Temporary Assistance Source Book - TASBand the Food Stamp Source Book – FSSB

07/28/03 03TA/DC018 Temporary Assistance (TA), Medicaid andFood Stamps (FS) Policy Regarding the Treatment of Federal TaxVariables

07/14/03 03TA/DC017 Treasury Offset Program Fairness Letter

07/02/03 03TA/DC015 Introduction of LDSS-4826B: ‘‘Interview/Verification Guide for the LDSS-4826: ‘Food Stamp Benefits Applica-tion’ ’’

02/06/03 03TA/DC003 Food Stamp Eligibility of Certain Aliens



D 10/21/2003 Private Collection Agencies

D 07/11/2003 $500 Arrears Cap

D 06/27/2003 Intrastate Transfer of Cases

D 06/10/2003 HIPAA Rules and Child Support

D 05/01/2003 Department of Taxation and Finance: Kennedy En-hancements

D 01/28/2003 Cost Recovery of Legal Representation/InternationalChild Support Cases


03-22 Revised OTDA-4420 Notice of Aid Status

03-10 Revised OAH-457

2002

ADMs

D 2002 ADM-08 Repeal of NYCRR 352.31(B) “Claimant forIncome Tax Exemption”

D 2002 ADM-07 Food Stamp Program Reauthorization Changes

D 2002 ADM-06 Change in the Food Stamp Vehicle Resource Policy

D 2002 ADM-02 Meeting the Emergency/Immediate needs ofTemporary Assistance (TA) Applicants/Recipients

D 2002 ADM-01 Food Stamp Treatment of Individual DevelopmentAccounts

INFs

D 2002 INF-41 Revision to Food Stamp Benefits ABEL Budget Nar-ratives (LDSS-3959, LDSS-3960 and LDSS-3961)

D 2002 INF-39 Conditions and Costs Associated with Removals,Revision: December 10, 2002

D 2002 INF-37 Temporary Assistance Periodic Reporting Regula-tion Filing

D 2002 INF-36 Family Violence Option Questions and Answers

D 2002 INF-35 SSA COLA for January 2003 – SSI and Food StampCharts

D 2002 INF-34 Treatment of Crime Victims Compensation Benefitsfor Temporary Assistance (Correction of November 1st Release)

D 2002 INF-33 Receipts for Recipients Who Drop Off Documenta-tion


D 2002 INF-30 Revision of the “Food Stamp Household Composi-tion Desk Guide” (LDSS-4314) (Rev. 6/02)

D 2002 INF-29 Necessity of Accurate Social Security Numbers inthe Welfare Management System

D 2002 INF-28 Revision to Public Assistance ABEL Budget Narra-tives (LDSS-3951, LDSS-3952, LDSS-3953 and LDSS-3954)

D 2002 INF-27 Domestic Violence: Frequently Asked Questions onReimbursement, General and Programmatic Issues

D 2002 INF-26 Revisions to the System Generated Periodic ReportForm (LDSS-4310) and the Printed Follow-Ups to the Periodic ReportForm (LDSS-4310A and LDSS-4310A NYC)

D 2002 INF-25 Section 8 Certificate Shelter Type Codes

D 2002 INF-22 Drug and Alcohol Frequently Asked Questions


135

(FAQs), U.S. Department of Veteran Affairs (VA) Drug and AlcoholTreatment Programs; and OTDA Audit and Quality Control (A&QC)Drug and Alcohol Abuse Screening/Assessment Process Review/Findings

D 2002 INF-21 Temporary Assistance Procedures; CertificationPeriods of TA Cases With Earned Income

D 2002 INF-19 Revision of the LDSS-3708: “School AttendanceVerification Form” (Rev. 4/01)

D 2002 INF-18 Revision of the LDSS-3151: “Food Stamp ChangeReport Form”

D 2002 INF-17 Food Stamp Questions and Answers

D 2002 INF-15 Revised Issue July 23, 2002 (Original Issued June27, 2002) Recurring Limited Temporary Assistance Energy Payments

D 2002 INF-14 Charitable Choice Provision, Personal Responsibil-ity and Work Opportunity Reconciliation Act of 1996, P.L. 104-193(Reissued June 3, 2002)

D 2002 INF-09 Certification/Recertification Checklist: Changes InRequirements

D 2002 INF-06 Clarification of Retention Policy of DomesticViolence (DV) Screening Forms and Related Case Records

D 2002 INF-03 Responses to Questions Raised at Time Limit/Tracking Conference Calls

D 2002 INF-02 Obsolete Certification Guide (DSS-3570)

D 2002 INF-01 Expansion of the Eligibility of Certain Minors forTANF Service Programs

LCMs

D 2002 LCM-13 Extension of Food Stamp Administrative CostReductions

D 2002 LCM-12 Work Experience Placements Reimbursement

D 2002 LCM-11 Model HEAP Cooperative Agreement/Contract

D 2002 LCM-10 Changes to Food Stamp Employment and TrainingParticipant Expenditures

D 2002 LCM-8 Claiming Federal Reimbursement for Reserved Ac-commodations

D 2002 LCM-07 Americans with Disabilities Act (ADA) – Accessto Local District Social Services Programs and Services and Activities


D 2002 LCM-05 Submission of TANF Special Project Claims

D 2002 LCM-02 Suspension of Local MOE Plans Submission

GIS Messages

09/17/02 02TADC024 Additional Food Stamp Resource Exclusion

08/13/02 02TADC018 Updated - Food Stamp Standards for October1, 2002

04/10/02 02TADC009 Requirement to send the LDSS 4735 FS‘‘Request for Contact/Notice of Missed Interview’’ when an initial FSeligibility interview is missed

03/11/02 02TADC007 Revised Message: GIS 02 TA/DC004

03/01/02 02TADC004 Printing and Delivery of Manual NoticesReferenced in 01 INF-17

02/22/02 02TADC003 Request for Contact Language for FoodStamp 6 Month Reporters on Transitional Benefits

01/08/02 02TADC001 Correction of LDSS 4753 - Request forContact/Notice of Missed Interview


D 12/16/2002 Modifications to Driver’s License Suspension Process

D 08/29/2002 PIC Enforcement Procedures

D 07/29/2002 Liens

D 07/19/2002 Property Execution Against Jointly Owned Bank Ac-counts

D 06/03/2002 Wage and Health Benefit Report

D 05/21/2002 Drivers’ License Suspension Modifications


02-01 EA and Foster Care Processing

2001

ADMs

D 2001 ADM-16 Transitional Benefit Alternative: Transitional FoodStamp Benefits for Family Assistance Leavers

D 2001 ADM-14 Temporary Assistance Procedures: District WaiverOption of Quarterly Reporting Requirements (QRS) and Attachments

D 2001 ADM-13 Temporary Assistance Budgeting: Initial andIncreased Earnings of Recipients

D 2001 ADM-12 Temporary Assistance Budgeting: The Treatmentof Retroactive SSI and Social Security (RSDI) Corrective Payments

D 2001 ADM-11 Safety Net Assistance Recoupment Rate Change

D 2001 ADM-10 Revised Alcohol and Drug Abuse Screening andReferral Form, Revised Referral Protocols, Targeting TANFApplicants/Recipients

D 2001 ADM-09 Six-Month Reporting Rules Food Stamp House-holds With Earned Income

D 2001 ADM-08 Changes in Food Stamp Application and Recertifi-cation Procedures

D 2001 ADM-07 Food Stamp and Temporary Assistance Treatmentof Family Subsistence Supplemental Allowance Payments

D 2001 ADM-06 Revised Letter of Notification (LON) and Letter ofIntent (LOI) Approval Process for the Acquisition of EDP Equipmentand/or Related Services

D 2001 ADM-04 Reporting Requirement for TANF Assistance: Reg.351.1(b)(2)

D 2001 ADM-03 Errata: Exemptions to the State Sixty-Month CashTime Limit/Evaluation for Safety Net Assistance

D 2001 ADM-03 Exemptions to the State Sixty-Month Cash TimeLimit/Evaluation for Safety Net Assistance

D 2001 ADM-02 Expansion of Food Stamp Categorical Eligibility

D ADM-01 Continuation of Food Stamps on TA Case During Move

INFs

D 2001 INF-28 Digest of Laws of 2001 Relating to Programs of theOffice of Temporary and Disability Assistance and Attachment

D 2001 INF-27 SSA Cost of Living Adjustment for January 2002-SSI Benefit Levels Chart

D 2001 INF-25 Treatment of Income/Resources of Participants inOperation Enduring Freedom

D 2001 INF-24 Obsolete Form DSS-632: “Consent for Verificationof Information”

D 2001 INF-22 Revisions of LDSS-2921 Upstate Common Applica-tion and PUB-1301 Upstate “How to Complete” Publication

D 2001 INF-21 Food Stamp Questions and Answers

D 2001 INF-20 Providing Temporary Assistance to IndividualsSanctioned From Supplemental Security Income

D 2001 INF-19 Responses to Questions Raised at Time Limit/Tracking Regional Meetings

D 2001 INF-18 Clarification of Temporary Assistance Drug andAlcohol Employment Coding and Case Type Policy/Procedures

D 2001 INF-17 Revisions to Manual Notices

D 2001 INF-14 Converting EBT Food Stamp Benefits to EBT CashWhen Recipients Move Out of State

D 2001 INF-12 Temporary Assistance Sanctions: Budgeting for TAand FS, Treatment of Income for FS When the TA Case Closes, andMedicaid Implications

D 2001 INF-11 Temporary Assistance Questions and Answers andAttachment

D 2001 INF-10 Clarification of Food Stamp Denials When anEligibility Interview is Missed

D 2001 INF-09 Application Access for Non-Citizens: TemporaryAssistance and Food Stamps

D 2001 INF-08 Temporary Assistance (TA) and Food Stamps (FS)Policy: The Treatment of Supplemental Needs Trusts (SNTs) and Re-verse Annuity Mortgage (RAM) Loans

D 2001 INF-04 The 2001 New York State and Federal EarnedIncome Credit Campaign


136

D 2001 INF-03 Clarification of Policy Relating to the Provision ofthe Emergency Shelter Allowance for Persons with AIDS or HIV-Related Illness


LCMs

D 2001 LCM-12 Availability of the Spanish Version of the “YouthApplication for TANF Services” Form and Attachment

D 2001 LCM-11 Reserved Accommodations

D 2001 LCM-10 Availability of the “Youth Application for TANFServices” Form

D 2001 LCM-08 Two Year Claiming Deadlines

D 2001 LCM-06 IRS-1099 Match

D 2001 LCM-05 EBT Fedwire Settlement Process

D 2001 LCM-02 Special Claim Forms for TANF Services PlanPrograms and TANF MOE

GIS Messages

10/23/01 TADC045 Exemption of Disaster Relief Payments Re-minder

09/21/01 TADC040 Exemption of Disaster Relief Payments

09/20/01 TADC039 New Food Stamps Poster

09/06/01 TADC034 Revised Manual Notices (01 INF-17)

08/20/01 TADC030 Updated-FS Standards for October 1, 2001

08/10/01 TADC029 Updated-Food Stamp Standards for October 1,2001

08/07/01 TADC028 Quarterly Reporting Mailers

06/25/01 TADC024 June mail out to Non-TA/FS cases regardingthe six-month reporting rule

06/20/01 TADC023 Treatment of Federal Tax Rebates

06/13/01 TADC021 Exclusion of Certain Retroactive SSI Paymentsas Lump Sums for FS

06/01/01 TADC018 Changes in the Food Stamps Vehicle ResourceExemption Policy

02/27/01 TADC009 Client Benefit Access

02/27/01 TADC008 FS Cash-Out Conversion

02/06/01 TADC005 FS Cashout Conversion

01/24/01 TADC004 Food Stamp Casefile Documentation

01/24/01 TADC003 Updated-Food Stamp SUA Standards forMarch 1, 2001


D 03/06/2001 Re-Assignment of Permanently Assigned Arrears

D 08/06/2001 Tax Off-Set Distribution Rules

D 12/18/2001 Letter: Continuation of Services

D 12/18/2001 Notice: Continuation of Services


01-51 Upstate Emergency Hearing Procedures

01-45 Action Taken by NYC HRA MAP Due to Ineligibility for SSI

01-35 Appellant Identification Procedure

01-15 Procedure for Handling Non-hearing Inquiries and Com-plaints

2000

ADMs

D 2000 ADM-08 Errata: Electronic Benefit Transfer (EBT)

D 2000 ADM-07 Non-Cash Safety Net Assistance (SNA) for OtherThan Grantee (OTG) Cases

D 2000 ADM-06 Initial Notice of Overpayment to Closed Cases(Revised)

D 2000 ADM-01 TANF Funding Swap From Public Assistance toEAF Foster Care for the 1999-2000 State Fiscal Year

INFs

D 2000 INF-21 Policy Clarification on TANF Funded Assistance

D 2000 INF-20 WMS Input Directions to Assure Accurate andComplete Federal Reports

D 2000 INF-19 District of Fiscal Responsibility (DFR) Procedures

D 2000 INF18 Clarification of Relationship Between the StandardUtility Allowance (SUA) and Receipt of HEAP

D 2000 INF-16 Temporary Assistance (TA), Food Stamps (FS), andMedicaid (MA) Budgeting: Out-of-State Temporary Assistance Pay-ment


D 2000 INF-14 Revised “Request for Voluntary Restricted Pay-ments” Form (LDSS-4580) (Rev. 1/00)

D 2000 INF-13 Alien Eligibility Desk ID Card (Rev. 4/00)

D 2000 INF-11 Revision of “Food Stamp Separate DeterminationInput Form” (LDSS-3558)

D 2000 INF-10 Welfare Reform Community-Based OrganizationResource Guide (Pub No. 4663)

D 2000 INF-08 Office of Temporary and Disability Assistance(OTDA) Census 2000 Campaign

D 2000 INF-07 Interim Printings of LDSS-2921, LDSS-2921(NYC),LDSS-3174 and LDSS-3174(NYC)

D 2000 INF-06 Verifying Relationship of the Caretaker Relative tothe Child

D 2000 INF-05 LDSS-3343: “Quarterly Roster of Good CauseClaims”

D 2000 INF-02 Child Support Cooperation: Questions and Answers

D 2000 INF-01 Errata: Revision of Mandatory Client Notice:Repayment of Interim Assistance Notice (LDSS-2425)

D 2000 INF-01 Revision of Mandatory Client Notice “Repaymentof Interim Assistance Notice” LDSS-2425

LCMs

D 2000 LCM-21 Temporary Assistance to Needy Families Mainte-nance of Effort (MOE) Local Initiative

D 2000 LCM-20 TANF Services for Individuals and Families WithIncomes Up To 200% of The Federal Poverty Level

D 2000 LCM-18 Availability of Funds to Provide Services to CertainSafety Net Recipients (SNAP – Safety Net Assistance Project)

D 2000 LCM-15 TANF and TANF Maintenance-of-Effort (MOE)Program Reporting

D 2000 LCM-13 Proposals Requested for the Establishment ofTransitional Opportunities Program (TOP) Offices/Units

D 2000 LCM-11 Earned Income Credit (EIC)

D 2000 LCM-10 Certain Employment Costs not Allowed as FoodStamp Employment and Training Expenditures

D 2000 LCM-09 Domestic Violence Allocation Use

D 2000 LCM-08 Separate State Maintenance-of-Effort (MOE)Program Reporting

D 2000 LCM-07 Emergency Assistance to Families (EAF) for Juve-nile Delinquents and Persons In Need of Supervision (JD/PINS)

D 2000 LCM-04 2000 Census Promotion

D 2000 LCM-01 Temporary Assistance to Needy Families Mainte-nance of Effort FY 2000


D 05/16/2000 Policy: DNA Labs + Attachment

D 03/02/2000 CSMS Modification: Distributions/PROWRA

D 01/19/2000 CSMS Modification: Distributions/PROWRA


00-30 OTDA Initiative to Encourage and Monitor Compliance withFH Decisions

00-05 Document Imaging Implementation (Instructions for LocalAgencies)

00-04 Document Imaging Implementation

1999

ADMs

D 1999 ADM-09 The Automated Finger Imaging System (AFIS) forPA, FS, FAP, EAF, ESNA, PICA and Medicaid

D 1999 ADM-08 Domestic Violence: Final TANF Regulations andthe Family Violence Option


137

D 1999 ADM-07 Errata: Time Limit Tracking and System Support

D 1999 ADM-07 Time Limit Tracking and System Support

D 1999 ADM-05 Cooperation with Child Support Enforcement forTemporary Assistance, Medicaid, Foster Care and Child Care ServicesApplicants and Recipients

D 1999 ADM-04 Changes to Supervisory Review Approval forTemporary Assistance and Food Stamps

D 1999 ADM-02 Alien Sponsorship – Deeming of Sponsor’s Incomeand Resources

D 1999 ADM-01 Administration Issuance of Subpoenas in ChildSupport Cases

INFs

D 1999 INF-21 Child Assistance Program (CAP) Eligibility:Procedures for Employment Sanctions


D 1999 INF-19 Drug/Alcohol Treatment: Option for In-District Care

D 1999 INF-18 Non-Recoverability of Child Support Pass-ThroughPayments

D 1999 INF-17 Reporting of Aliens Known to be Unlawfully in theUnited States

D 1999 INF-16 HUD Welfare-to-Work Housing Vouchers – PotentialRent Subsidy Assistance for Some Temporary Assistance Families

D 1999 INF-15 Emergency Assistance and Sanctioned Persons

D 1999 INF-14 LDSS-4600: LDSS-4600 Drug and Alcohol Screen-ing, Assessment, and Treatment Implications Desk Guide (6/98)

D 1999 INF-13 Questions and Answers on Temporary AssistanceEnergy Policy

D 1999 INF-11 Potential Eligibility for Food Stamps: Hmong andOther Highland Laotian Tribe Members

D 1999 INF-10 Domestic Violence Waiver of Temporary AssistanceLien Requirements; Recovery of Temporary Assistance From LegallyResponsible Batterers

D 1999 INF-09 Temporary Assistance/Medicaid Eligibility: Expan-sion of Who Can Conduct Drug/Alcohol Assessments

D 1999 INF-08 Food Stamp Program Application Requirements

D 1999 INF-07 Amended State Version of Federal Form SS-5 “Ap-plication for a Social Security Card” (LDSS-4000)

D 1999 INF-06 Medicaid Determinations When Public Assistance isDenied or Closed or the PA Application is Withdrawn

D 1999 INF-05 Child Assistance Program (CAP): Questions andAnswers

D 1999 INF-04 Public Assistance Eligibility: Clarification of Drugand/or Alcohol Issues

D 1999 INF-02 Revision to Budget Worksheet – Public Assistance(LDSS-548)

LCMs

D 1999 LCM-40 Information on Problem Gambling

D 1999 LCM-39 TANF Funded Employment Program Contracts

D 1999 LCM-37 Claiming Deadlines – TANF Programs

D 1999 LCM-32 Updated District of Fiscal Responsibility and Drug/Alcohol Contacts

D 1999 LCM-31 Y2K Readiness Planning

D 1999 LCM-30 Claiming of JD/PINS for Youth in Voluntary Agen-cies and Foster Boarding Homes

D 1999 LCM-29 TANF MOE Expenditures

D 1999 LCM-28 Domestic Violence Allocations: July 1999-June2001

D 1999 LCM-26 Merit Incentive Awards Allocations

D 1999 LCM-23 Implementation of the Systematic Alien Verifica-tion for Entitlements (SAVE) Program – Interim Process

D 1999 LCM-22 Expansion of the Child Assistance Program (CAP)

D 1999 LCM-20 Non-Cash Safety Net Assistance (SNA) Restric-tion Hierarchy and Available Restriction and Payment Options

D 1999 LCM-19 Notice: LDSS-4647: “Important InformationAbout Child Care”

D 1999 LCM-17 TANF State Plan Forums

D 1999 LCM-15 Allocations for TANF & SNA Drug & Alcohol As-sessments and the Availability of Funds to Operate an Enhanced Drug/Alcohol Program for TANF Recipients

D 1999 LCM-14 Temporary Assistance to Needy Families Mainte-nance of Effort

D 1999 LCM-13 Local District Year 2000 Contingency Plan Survey

D 1999 LCM-12 Survey of Social Welfare Examiner Job Tasks

D 1999 LCM-11 Federal Tax Refund Offset Program (FTROP)

D 1999 LCM-10 Year 2000 Compliance Requirements


D 1999 LCM-08 “New York State Touchstones/Kids Count DataBook”


D 1999 LCM-03 “Notice of Claim Settlement” (OTDA-591, 591-A& 907)

D 1999 LCM-01 Food Stamp Program: Clarification of Definitionof Disability


99-40 Hearing Right for Former Recipients when Challenging theAmount of a Claim for Overpayment of PA

99-13 Changes to the Outcome Reason Codes and the Decision Is-suance Screen (PFHISS)

1998

ADMs

D 1998 ADM-14 Procedures for Cost of Living Adjustments(COLA) and One-Time Review and Adjustments for Child SupportOrders

D 1998 ADM-12 Recovery of Overpayments: Modification of PAThreshold

D 1998 ADM-11 Authorization For Social Services Districts to Ap-prove Adoption Subsidies

D 1998 ADM-09 Public Assistance Eligibility: Time Limit for InitialInterview

D 1998 ADM-06 Procedures for Establishing Paternity with Ac-knowledgments and

Administrative Orders for Genetic/DNA Tests

D 1998 ADM-05 Merit Incentive Awards for Children in Receipt ofTANF Funded Public Assistance

D 1998 ADM-03 Errata: Domestic Violence: Family Violence Op-tion Under the Welfare Reform Act of 1997

D 1998 ADM-03 Domestic Violence: Family Violence Option Underthe Welfare Reform Act of 1997

D 1998 ADM-02 Change of Payee Policy and Procedure for ChildSupport

Enforcement

D 1998 ADM-01 Local Flexibility Incentive Pilot Programs

INFs

D 1998 INF-16 Obsolete Form: DSS-2502: “ADC-U ScreeningChecklist”

D 1998 INF-15 Deadline Extension for Local District NegotiatedPerformance Award Plans and Transmittal of Baseline PerformanceData on Job Placements for 98-ADM-13

D 1998 INF-13 State Assumption of Local Districts’ Share ofSupplemental Payments


D 1998 INF-06 Child Assistance Program (CAP); Questions andAnswers on Changes Due to the Welfare Reform Act of 1997

D 1998 INF-04 Consolidated Services Plan: 1998 Income Eligibil-ity Standards

D 1998 INF-03 Food Stamp Program: Record Retention


138

D 1998 INF-02 Revised Request for Voluntary Restriction Form(DSS-4580 Rev. 12/97)

D 1998 INF-01 Annual Index of Administrative Directives and In-formational Letters

LCMs

D 1998 LCM-46 “Notice of Claims Settlement” Claims AgainstHouseholds Report” (DSS-3214)

D 1998 LCM-43 Automated Claiming System (ACS) Re-HostingProject

D 1998 LCM-40 National Voter Registration Act (NVRA) Litiga-tion

D 1998 LCM-39 Drug and Alcohol Services: Availability of Fundsto Provide Enhanced Drug and Alcohol Services to Victims of Domes-tic Violence


D 1998 LCM-34 Clarification of Fair Hearing and Special HearingsProcesses

D 1998 LCM-30 Survey of Drug and Alcohol Assessment Costs

D 1998 LCM-29 1998 Multidisciplinary Team Building Request forProposals Grant Selections

D 1998 LCM-28 Case Management Funding Application

D 1998 LCM-27 Homeless Information Reporting

D 1998 LCM-26 Informational Mailing to All Public AssistanceHouseholds (FA, CAP, SNA)

D 1998 LCM-25 Adult Care Facilities: Prohibition of Referrals toCertain Facilities

D 1998 LCM-23 FISCAL: Allocation of $100,000,000 TANF Set-Aside for Family and Children’s Services (EAF Allocation)

D 1998 LCM-21 Food Stamp Earned Income Deduction

D 1998 LCM-19 Reimbursement Ceilings for Social Services forthe Period October 1, 1997 Through September 30, 1998

D 1998 LCM-18 DSS-3803 “Monthly Report of Collections ofOverpayments to Families with Dependent Children and Home Relief”

D 1998 LCM-17 Disability Advocacy Program (DAP) RFP

D 1998 LCM-15 Federal/State Tax Refund Offset Reports Federal/State Tax Refund Offset

D 1998 LCM-14 Availability of Funds to Operate an EnhancedDrug/Alcohol Services Program for Family Assistance Recipients

D 1998 LCM-11 Retroactive TANF Conversions Retroactive TANFConversions

D 1998 LCM-09 Tax Refund Offset Process – 1998 General Instruc-tions

D 1998 LCM-07 Enhanced PA Earned Income Disregard (42%)Mailing

D 1998 LCM-06 Extension of Claiming for the Child Care andDevelopment Block Grant Subsidy Program

D 1998 LCM-05 Deadlines for Submitting Claims to Close OutADC (Including EAF and Administration), JOBS, At Risk andTransitional Child Care, as a Result of TANF


98-51 NYC Department of Homeless Services Shelter Placementsfor SNA Singles

98-17 Responsibility of Local Agencies to Provide Documents toRepresentatives

98-05 Krieger v. Perales Notification

1997

ADMs

D 1997 ADM-25 Food Stamp Eligibility of Non-Citizens

D 1997 ADM-24 Child Assistance Program (CAP): Impact of theWelfare Reform Act of 1997

D 1997 ADM-23 Public Assistance (Family Assistance/Safety NetAssistance) Changes Resulting From The Welfare Reform Act of 1997

D 1997 ADM-20 Family Assistance Program (Welfare Reform Actof 1997)

D 1997 ADM-19 Reporting and Monitoring of the DSS-3214, FoodStamps Claims Against Household Report

D 1997 ADM-18 Student Grants and Supportive Services Budget-ing (Williams vs. Dowling)

D 1997 ADM-17 Elimination of the Child Care Earned Income Dis-regard and the Implementation of Child Care Payments for Public As-sistance Cases with Earned Income

D 1997 ADM-13 Procedure for Requesting Approval of LocalEquivalent Forms

D 1997 ADM-11 Assessment Requirement for Recipients of Tempo-rary Assistance for Needy Families (TANF)

D 1997 ADM-08 Re-categorization of ADC and CAP Cases as aResult of the Personal Responsibility and Work Opportunity Recon-ciliation Act (PRWORA)

D 1997 ADM-06 Immunization Information for PA Applicants andRecipients

D 1997 ADM-05 Option to Extend Certification Periods for CertainNon-Citizen Food Stamp Recipients

D 1997 ADM-03 Prohibition Against Concurrent Benefits

D 1997 ADM-01 Federal Cost-of-Living Adjustment in Social Se-curity and Supplemental Security Income (SSI) Benefits and Impactof Department Programs

INFs

D 1997 INF-18 Digest of Laws of 1997 Relating to Social Services

D 1997 INF-17 DSS-4148D: Supplement to Client InformationBooks DSS-4148A, 4148B, and 4148C

D 1997 INF-16 Model Drug and/or Alcohol Assessment Form forPublic Assistance

D 1997 INF-14 Obsolete Form: DSS-4232; “JOBS (Job Opportuni-ties and Basic Skills Training Program)” Form

D 1997 INF-12 Revisions of the Quarterly Report (DSS-4310) andthe Follow-Up to the Quarterly Report (DSS-4310A) and (DSS-4310ANYC)

D 1997 INF-09 Automated Finger Imaging System (AFIS) PolicyClarifications

D 1997 INF-07 Revision of DSS-3604: “Notification of ADCChange”

D 1997 INF-06 District of Fiscal Responsibility

D 1997 INF-05 Consolidated Services Plan: 1997 Income Eligibil-ity Standards

D 1997 INF-04 Temporary Assistance to Needy Families (TANF)State Plan

D 1997 INF-01 Annual Index of Administrative Directives, Infor-mational Letters and Manual Bulletins for 1996

LCMs

D 1997 LCM-68 Preventive Services: Reduction/Waiver of Mainte-nance of Effort (MOE) Penalty Amount

D 1997 LCM-64 1997 Federal Family Violence Prevention and Ser-vices Act Grant


D 1997 LCM-56 Recoupments, Screen 6 Changes and Attachment

D 1997 LCM-52 Welfare Reform Act of 1997

D 1997 LCM-51 Federal Changes in SSI Eligibility for Children

D 1997 LCM-49 Local District Training CAP

D 1997 LCM-44 Agency-Based Voter Registration (Motor Voter)Training Program

D 1997 LCM-42 Local District Closings

D 1997 LCM-38 Temporary Assistance to Needy Families (TANF)State Plan

D 1997 LCM-37 SSN Validation

D 1997 LCM-32 Notice to Certain Disabled Children Affected byWelfare Reform

D 1997 LCM-31 Tax Refund Offset Program (FTROP)

D 1997 LCM-23 Home and Community-Based Services Waiver for


139

Persons with Traumatic Brain Injuries (HCBS/TBI Waiver): New Re-cipient Restriction/Exception Code for Waiver Participants

D 1997 LCM-22 Revised Disability Criteria for Children

D 1997 LCM-21 Food Stamp Eligibility for Non-Citizens Prior toApril 1, 1997

D 1997 LCM-20 Waiver of Food Stamp ABAWD Eligibility Re-quirements

D 1997 LCM-07 Home and Community-Based Services Waiver forPersons with Traumatic Brain Injuries (HCBS/TBI Waiver): Authori-zation, Provision and Payment of Transportation

D 1997 LCM-01 Tax Refund Offset Process – 1997 General Instruc-tions


97-25 Requests from Local Agencies for Additional Copies of De-cisions

97-21 Administrative Disqualification Hearing (ADH) Reopen Pro-cedures

97-07 Local District Letter Request Notification (Letter Requests)

1996

ADMs

D 1996 ADM-09 Utility Arrears Repayment Agreement

D 1996 ADM-08 OBRA’93 Provisions on Transferees and Trusts

D 1996 ADM-05 Article VII Changes – 1995/96 State Budget

D 1996 ADM-04 The Automated Finger Imaging System (AFIS) forPublic Assistance

INFs


D 1996 INF-28 Questions and Answers from the Drug and AlcoholStatewide Regional Meetings, the Introduction of Four New FormsThat Will Assist Local Districts In Working With Their Client Popula-tion, and the Obsoletion of DSS-2355 and DSS-2356

D 1996 INF-26 Revisions to Applications (DSS-2921, DSS-2921NYC), Recertification Forms (DSS-3174, DSS-3174 NYC) andtheir “How to Complete” Publications (PUB-1301, PUB-1301 NYC,PUB-1313, PUB -1313 NYC)

D 1996 INF-21 Home and Community-Based Services Waiver forPersons with Traumatic Brain Injuries (HCBS/TBI Waiver)

D 1996 INF-19 Paper Reduction/Reports Distribution

D 1996 INF-16 Implementation of the Revised DSS-876: “RequestFor Forms or Publications” (Rev. 2/96)

D 1996 INF-12 Obsolete Form: DSS-4158: “Home Relief Notifica-tion of Job Readiness and The Right To Contest” (Rev. 8/93)

D 1996 INF-11 Temporary Assistance Forms Implemented, Revisedor Made Obsolete in 1995

D 1996 INF-05 Revision of DSS-4231: “Option To End Your Sanc-tion”

D 1996 INF-04 Blue Book Internet Project

D 1996 INF-01 Annual Index of Administrative Directives and In-formational Letters for 1995

LCMs

D 1996 LCM-110 FY 1996/97 Maximum State Aid Rates (MSARs)For Foster Care Programs and SED Approved Residential Schools forthe Period September 1, 1996 – June 30, 1997

D 1996 LCM-108 Adult Care Facilities: Prohibition of Referrals toCertain Facilities

D 1996 LCM-107 FY 1996/97 Maximum State Aid Rates (MSAR)for Foster Care Programs and In-State Approved Private Schools forthe Period July 1, 1996-August 31, 1996

D 1996 LCM-106 Competency-Based Training

D 1996 LCM-105 1996/97 Committee on Special Education (CSE)Maintenance Rates for Approved Schools Located Out-of-State

D 1996 LCM-104 Child and Adolescent Sexual Offense MedicalProtocol

D 1996 LCM-103 New Address and Telephone Numbers for StateMA Disability Review Team

D 1996 LCM-102 Claiming Instructions - $50 Child Support Disre-gard

D 1996 LCM-100 Annual Implementation Report of the Consoli-dated Services Plan

D 1996 LCM-99 Supplemental Security Income (SSI) Cost of Liv-ing Adjustment for Family Type Home for Adult Residents

D 1996 LCM-98 Notification of the Lack of Federal Funding for theNon-Federal Costs of ADC Type Refugees

D 1996 LCM-87 National Association of Counties Teleconference“Counties and the New Welfare Law”

D 1996 LCM-86 Federal Welfare Reform “Food Stamp Eligibilityof Aliens”

D 1996 LCM-85 Lottery Intercept Program

D 1996 LCM-83 Food Stamp Impact of New Federal Welfare Law

D 1996 LCM-76 State Assumption of Local Districts’ Share ofSupplemental SSI Payments

D 1996 LCM-75 Local District Training CAP

D 1996 LCM-72 1995 Domestic Violence Annual Report

D 1996 LCM-63 Revised Reimbursement Ceilings for Social Ser-vices for the Period October 1, 1995 through September 30, 1996

D 1996 LCM-62 Food Stamp Error Rate for FFY 1995

D 1996 LCM-59 1996-97 Domestic Violence State Aid Rates(DVSAR) for Domestic Violence Residential Programs in New YorkCity

D 1996 LCM-58 Update to Emergency Assistance to FamiliesClaiming for JD/PINS

D 1996 LCM-47 TASA Client Outcomes

D 1996 CLM-45 Employees Separated from Employment Due toDomestic Violence

D 1996 LCM-29 Local District Clearances

D 1996 LCM-26 Department Report to Governor Pataki

D 1996 LCM-21 Authorizing EAF For Services Provided by Non-DSS Agencies

D 1996 LCM-17 DSS-3214 “Claims Against Households” Reten-tion Amounts

D 1996 LCM-14 FS Error Rate/Sanction for FFY ‘94

D 1996 LCM-12 AFDC Error Rate/Sanction for FFY ‘94

D 1996 LCM-11 1996 Domestic Violence State Aid Rates (DVSAR)for Domestic Violence Residential Programs in New York State

OAH PPROCEDURES TRANSMITTALS

96-22 Provision of Aid Continuing for Food Stamp RecertificationIssues

1995

ADMs

D 1995 ADM-24 Home Visits for Public Assistance Eligibility andContinuing Eligibility

D 1995 ADM-20 Food Stamps: Stipulation and Order of Settlementin Huberman, et al. v. Espy, et al.

D 1995 ADM-15 Food Stamp Program Implications of the MickeyLeland Childhood Hunger Relief Act

D 1995 ADM-09 PA Budgeting: The Treatment of New York StateDisability Benefits

D 1995 ADM-08 Food Stamps: Selection of Head of Household forEmployment Purposes

D 1995 ADM-05 SSI Case Correction Procedure: Use of Form SSA-3911 (Cancels 79-ADM-72)

D 1995 ADM-04 Public Assistance and Medical Assistance Benefitsfor Infants Residing with their Incarcerated Mothers

D 1995 ADM-01 National Voter Registration Act

INFs

D 1995 INF-46 Revision of Client Information Books


D 1995 INF-41 Food Stamps: Clarification of Treatment of Earned


140

Income Tax Credit (EITC) as a Resource and Introduction of EITCDesk Chart

D 1995 INF-40 Food Stamps Expedited Authorization Report(WINR 3195 Expedited Food Stamps)

D 1995 INF-39 Revision of “How to Apply for Food Stamps If YouAre Also Applying For SSI/Are Getting SSI/Are Living In A GroupHome…” Booklet (DSS-3035A)

D 1995 INF-35 Food Stamps: SSI or SSDI When Disability is Basedon Drug Addition or Alcoholism

D 1995 INF-33 PA Budgeting: Self-Employment Income

D 1995 INF-31 Frequent Reapplications for Emergency Home Re-lief

D 1995 INF-30 Clarification of the Treatment of Americorps Awards

D 1995 INF-28 Economic Security Forms Implemented, Revised orMade Obsolete in 1994

D 1995 INF-27 Federal OSHA Regulations on Blood Borne Patho-gens

D 1995 INF-24 Revision of “Action Taken On Your Request ForAssistance To Meet An Immediate Need Or A Special Allowance”(DSS-4002) (Rev. 9/94)

D 1995 INF-22 FS: Students on Meal Programs and Eligibility ofStudents Campus Housing

D 1995 INF-20 The Family Protection and Domestic ViolenceIntervention Act

D 1995 INF-19 Quarterly Reporting System (QRS) Questions andAnswers

D 1995 INF-12 Treatment of Americorps Awards

D 1995 INF-05 Direct Shelter and Child Care Payments

D 1995 INF-04 Revision of “Determination of Eligibility For Emer-gency Assistance To Families (EAF)” (DSS-4403) (Rev. 10/94)


LCMs

D 1995 LCM-138 Emergency Assistance to Families Claiming forJD/PINS

D 1995 LCM-132 HR Requirements to Sign Agreement and Assign-ment Forms

D 1995 LCM-129 Reimbursement Ceilings for Social Services forthe Period of October 1, 1995 through September 30, 1996

D 1995 LCM-128 Additional Office of Administrative HearingsStaff Chargeback

D 1995 LCM-126 ADC Minors – Living Arrangements

D 1995 LCM-123 SFY 1995/96 Preventive Services MOE Amountsfor Social Services Districts Spending Under the Family and Chil-dren’s Services Block Grant

D 1995 LCM-114 National Voter Registration Act

D 1995 LCM-108 Family and Children’s Services Block Grant

D 1995 LCM-104 Paper Reduction/Reports Survey

D 1995 LCM-94 Questions and Answers from the May 3, 1995Teleconference on Changes to the Local District Claiming Schedules

D 1995 LCM-88 Claiming Instructions for the Finger Imaging Dem-onstration Project

D 1995 LCM-78 Treatment of Student Grants When Determiningthe Need for Supportive Services

D 1995 LCM-75 Announcement of the Availability of Federal Fundsfor “Changing the Culture of Welfare” Demonstration Projects

D 1995 LCM-66 1995 Domestic Violence State Aid Rates (DVSAR)for Domestic Violence Residential Programs In New York State


D 1995 LCM-54 Emergency Assistance to Families (EAF) for Divi-sion for Youth Placements

D 1995 LCM-42 Updated Information Concerning Velasquez v.Bane

D 1995 LCM-17 Food Stamp Computer Assisted Instruction (CAI)

D 1995 LCM-09 Interim Assistance Reimbursement for New Drug/Alcohol SSI Recipients

D 1995 LCM-07 Report of District Organization and Operation –Staffing Schedule (Form DSS-1023)



95-28 Home Hearings Pursuant to Varshavsky v. Perales (IssueCode 900)

95-25 New Issue Code: 994 McMahon v. Dowling Disabled AdultChildren (DAC)

95-14 Phone Numbers to Request Fair Hearings

95-06 Transmittal of FH Decisions

95-04 Issue Code 997 Agency Field NYS6

1994

ADMs

D 1994 ADM-20 Preventing Homelessness and Providing Assis-tance to Homeless Persons

D 1994 ADM-17 Treatment of Personal Needs Allowance ofInstitutional Persons and Disposition Upon Death

D 1994 ADM-15 Food Stamps: Expansion of Definition of FoodStamp Eligibles Who Reside in Certain Group Living Arrangements

D 1994 ADM-13 Deeming of Parental Income to SSI-Related Chil-dren

D 1994 ADM-11 Domestic Violence: Eligibility and Payment forResidential Services for Victims

D 1994 ADM-10 Budgeting of a Home Relief (HR) Case When aLegally Responsible Relative in Receipt of Supplemental Social Se-curity Income (SSI) is in the Household (Rice vs. Perales)

D 1994 ADM-05 Writing Off Uncollectible Amounts from ClosedCases

D 1994 ADM-01 Interim Assistance Reimbursement (IAR) for Non-IV-E Child Welfare (CW) Benefits

INFs

D 1994 INF-58 FS: Medical Deductions Clarification

D 1994 INF-54 Revision to ABEL Input Sheet (DSS-3570A)


D 1994 INF-45 PA Budgeting and Case Category for Joint CustodyCases

D 1994 INF-44 Revision of Mandatory Client Notice “Repaymentof Interim Assistance Notice” (DSS-2425)

D 1994 INF-43 Obsoletion of Food Stamp Client Notices DSS-4050,DSS-4051 and DSS-4052

D 1994 INF-40 Microenterprises and Public Assistance Recipients

D 1994 INF-39 Revision of DSS-4398: “WMS Non-Services CodeCards” (April 1994 Update) (Upstate Only)

D 1994 INF-38 Revision of “Shelter Verification” Form (DSS-3668)

D 1994 INF-37 Revision of “Life Insurance Information Request –Prudential and Metropolitan” Form (DSS-1410)

D 1994 INF-36 Revised “Programmatic Action Regulations Guide”DSS-4168

D 1994 INF-35 Obsoletion of the 7/91 (Brown) Upstate Version ofthe “Recertification For PA, MA, FS” (DSS-3174) and the 7/91(Brown) Upstate Version of the “How To Complete…Recertification”(Pub. 1313)

D 1994 INF-34 Introduction of New Informational Book DSS-3035A to Accompany the DSS-3035/DSS-3035 NYC “Food StampApplication for SSI Recipients and Group Living Residents”

D 1994 INF-32 Revision of “Determination of Eligibility for Emer-gency Assistance to Families (EAF)” (DSS-4403) (Rev. 5/94)

D 1994 INF-29 Food Stamps: Child and Adult Care Food ProgramPayments


D 1994 INF-23 Food Stamps: Deduction for Recurring Medical Ex-penses


141

D 1994 INF-22 Obsoletion of “Right To Claim Good Cause ForRefusal To Cooperate With Child Support Enforcement (Second No-tice)” (DSS-4280)

D 1994 INF-16 Food Stamps Clarification of Effective Date of aTimely Adverse Action Notice

D 1994 INF-11 Intentional Program Violation (IPV) – RegionalMeetings Questions and Answers

D 1994 INF-10 Food Stamps: Waiver of In-Office Interviews forCertain Applicants

D 1994 INF-09 Limitations on HR for New Residents – Standardsof Payment Update

D 1994 INF-05 Revision of Public Assistance ABEL Budget Narra-tive (DSS-3951) (Rev. 11/93)

D 1994 INF-04 Revision of Food Stamp Application for SSIRecipients and Group Living Residents (DSS-3035) and (DSS-3035NYC) (Rev. 9/93)

D 1994 INF-03 The 1994 Earned Income Credit Campaign


LCMs

D 1994 LCM-155 Reimbursement Ceilings for Social Services forthe Period of October 1, 1994 through September 30, 1995

D 1994 LCM-153 Domestic Violence: Questions and Answers

D 1994 LCM-148 National Voter Registration Act Supplies

D 1994 LCM-145 Tax Refund Offset Process – 1995 General In-structions

D 1994 LCM-133 Front End Detection System Teleconference Is-sues

D 1994 LCM-129 Food Stamp Data Analysis Report with UpstateCase Detail for 10/1/92 through 9/30/93

D 1994 LCM-119 AFDC Error Rate/Sanction for FFY ‘91

D 1994 LCM-106 Providing Local District Job Opportunities forPublic Assistance Applicants/Recipients


D 1994 LCM-91 Teleconference on Front End Detection System –September 30, 1994

D 1994 LCM-81 Velasquez Injunction Required Action with Re-spect to Poverty

Level Respondents

D 1994 LCM-70 1994 Domestic Violence State Aid Rates (DSVAR)for Domestic Violence Residential Programs in New York State

D 1994 LCM-54 Three Informational Brochures

D 1994 LCM-53 Implementation of Emergency Assistance to Fami-lies (EAF) in Child Welfare


D 1994 LCM-41 Teenage Custodial Parents

D 1994 LCM-29 Food Stamp Employment and Training (FSE&T)Work Experience Programs

D 1994 LCM-15 Reimbursement Ceilings for Social Services forthe Period October 1, 1993 through September 30, 1994

D 1994 LCM-05 RFI High Risk Report

1993

ADMs

D 1993 ADM-39 Use of EAF for the Provision of Services RevisedSeptember 30, 1996

D 1993 ADM-38 Public Assistance Category Clarification

D 1993 ADM-35 Shelter Arrears Payments Above Shelter Maxi-mums for Recipients of Aid to Dependent Children and Home Reliefand Revised Method of Calculating Income Under Emergency HomeRelief

D 1993 ADM-34 Foster Care and Adoption Assistance: EligibilityUnder Title IV-E, Emergency Assistance for Families (EAF), and theSupplemental Security Income Program (SSI)

D 1993 ADM-33 Filing Unit: Adding Persons Reported or Found toBe in The Household

D 1993 ADM-31 Filing Unit: Social Security Benefits Received byChildren and Their Parents

D 1993 ADM-26 Social Services District Implications of Chapter713 of the Laws of 1981 (Home Energy Fair Practices Act)

D 1993 ADM-24 Model Contract for Local Purchase of ResidentialDomestic Violence Services Agreements

D 1993 ADM-21 Utilization of Veteran’s Benefits as a Resource

D 1993 ADM-20 DSS-2642 Documentation Requirements

D 1993 ADM-14 New Procedures for Eligibility Workers RegardingInquiry of Third Party Resources

D 1993 ADM-13 Public Assistance Alien Sponsor Deeming Modi-fied by the Minino and Ruiz vs. Perales Decision

D 1993 ADM-10 Public Assistance Consolidated Policy on Secur-ing Housing

D 1993-ADM-09 Quarterly Reporting System (QRS)

D 1993 ADM-08 Disqualifications for Intentional Program Viola-tions

D 1993 ADM-07 PA and MA Eligibility: Changes in ADC-UEligibility Requirements

D 1993 ADM-05 Public Assistance Eligibility: Retroactive PaymentProcess (DeAllaume vs. Perales)

D 1993 ADM-04 Furnishing of Social Security Numbers as a Condi-tion of Public Assistance Household Eligibility

D 1993 ADM-02 Public Housing: Changes to Shelter Allowances

INFs


D 1993 INF-45 Revisions to Mandatory Client Notices

D 1993 INF-42 Revision of Follow-Up to the Quarterly Reports(DSS-4310A and DSS-4310A NYC)

D 1993 INF-40 Revision of Certification Guide (DSS-3570)

D 1993 INF-34 Department of Housing and Community Renewal(DHCR) Regulation on Security Agreements in Public Housing

D 1993 INF-30 Social Security Enumeration

D 1993 INF-29 Restaurant Allowances When Three Meals Are Pro-vided


D 1993 INF-27 Revision of “Food Stamp Change Report Form”(DSS-3151) Rev. 3/93

D 1993 INF-26 Revision of Client Information Books: DSS-4148A– “What You Should Know About Your Rights and Responsibilities(When Applying For or Receiving Social Services)”; DSS-4148B –“What You Should Know About Social Services Programs”; DSS-4148C – “What You Should Know If You Have An Emergency”

D 1993 INF-25 Revision of DSS-4398: “WMS Non-Services CodeCards” (December, 1992 Update)

D 1993 INF-23 Revision of Mandated “Public Assistance Recertifi-cation – Medical Assistance Status” (DSS-2114)


D 1993 INF-18 Clarification of Lump Sum Policy for RetroactiveSSI Recipients

D 1993 INF-11 PA Cost Containment: Implementation of CertainProvisions of Chapter 41 of the Laws of 1992 – Questions and Answers

D 1993 INF-10 Electronic Benefit Issuance and Control System(EBICS) Questions and Answers


D 1993 INF-08 Food Stamp Income Exclusions: National Com-munity Service Act Funds

D 1993 INF-07 Revision of Applications (DSS-2921 and DSS-2921NYC) and Accompanying “How to Complete” Publications (PUB.1301 and PUB. 1301 NYC) and “Declaration of Citizenship/Immigration Status” Form (DSS-4060)

D 1993 INF-03 Questions and Answers from May 21, 1992 Telecon-ference on Immediate Needs



142


LCMs

D 1993 LCM-158 Treatment of Accelerated Life Insurance Pay-ments

D 1993 LCM-150 Clarification to 93 LCM-26, dated March 22,1993, on HIV/AIDS Confidentiality

D 1993 LCM-147 Food Stamp Provisions of the 1993 OmnibusBudget Reconciliation Act: Mickey Leland Childhood Hunger ReliefAct

D 1993 LCM-141 Social Services Block Grant Report and IV-BPlan for 1993 – 1997

D 1993 LCM-138 Fraud Prevention Booklet

D 1993 LCM-136 1993 Domestic Violence State Aid Rates(DVSAR) for Domestic Violence Residential Programs in New YorkState

D 1993 LCM-132 1993 Forms Survey

D 1993 LCM-127 National Voter Registration Act of 1993 (“MotorVoter”)


D 1993 LCM-120 Food Stamp Nutrition Education

D 1993 LCM-99 Providing Food Stamp and ADC Program Partici-pation Information to Local School Authorities

D 1993 LCM-65 Reimbursement Ceilings for Social Services forthe Period October 1, 1992 through September 30, 1993

D 1993 LCM-58 Food Stamp Data Analysis Report for 10/1/91through 9/30/92

D 1993 LCM-20 Food Stamp Reinvestment Plan

D 1993 LCM-14 Food Stamp Sanction Settlement

D 1993 LCM-04 Lashieka Jackson vs. Perales: The Effect of theFiling Unit of the Lifting of The Jackson Injunction (83 ADM-7)

1992

ADMs

D 1992 ADM-46 Shelters for Families: Pre-Approval Process

D 1992 ADM-44 Transfer of Resources: Changes in the Method ofCalculating Transfer Penalty Periods

D 1992 ADM-43 Disregard of Loans for ADC Public AssistanceCases

D 1992 ADM-42 Public Assistance Budgeting: Treatment of Adop-tion Subsidies

D 1992 ADM-41 Quality Control Reviews: Penalty for Non-Cooperation

D 1992 ADM-40 Pursuing Support for Home Relief Applicants/Recipients and Revision of Related Forms (DSS-4279 and DSS-4280)

D 1992 ADM-39 Reimbursement Ceilings for Social Services forthe Period October 1, 1991 through September 30, 1992

D 1992 ADM-37 Home Relief (HR) Plan of Self-Support

D 1992 ADM-33 Front End Detection Systems (FEDS)

D 1992 ADM-31 Filing Unit Rules for Sanctioned Persons

D 1992 ADM-30 PA Budgeting: Prorating Grants According to DateSpecific Eligibility Rules

D 1992 ADM-26 PA Cost Containment Implementation of CertainProvisions of Chapter 41 of the Laws of 1992

D 1992 ADM-22 Required Corrective Action Plan

D 1992 ADM-20 PA Budgeting: Income of Sanctioned Public Assis-tance Recipients

D 1992 ADM-19 Absent Parent/Legally Responsible Relative Sub-rogation

D 1992 ADM-17 PA Budgeting: Lump Sum Notification Procedures

D 1992 ADM-10 Requirement for Declaration of Citizenship/Immigration Status – Change in Food Stamp Requirement

D 1992 ADM-09 Food Stamps: Income Exclusion for HomelessHouseholds in Transitional Housing

D 1992 ADM-07 Treatment of Lump Sum Workers’ CompensationAwards

D 1992 ADM-06 Treatment of Earned Income Tax Credit (EITC)

D 1992 ADM-03 Food Stamps: Failure to Comply with Employ-ment and Training Requirements (Non-Head of Household)

INFs



D 1992 INF-49 Introduction of Combined Recertification Form(DSS-3174) and Accompanying “How To Complete” Publication(Pub. 1313)

D 1992 INF-48 Home Relief Drug/Alcohol Abuse Sanctions – Ques-tions and Answers

D 1992 INF-45 PA, MA, and FS Treatment of Escrow AccountsUnder the Family Self-Sufficiency (FSS) Program Administered bythe Department of Housing and Urban Development (HUD)

D 1992 INF-42 Revision of Continuous Pinfeed Version of “Noticeof Intent to Change Benefits: PA, FS, MA Coverage and Services(Timely and Adequate)” (DSS-4015C)


D 1992 INF-38 Revision of Two Food Stamp ABEL Budget Narra-tives (DSS-3959 and DSS-3961)

D 1992 INF-34 Revision to Mandatory Client Notices


D 1992 INF-30 Revision of Mandated “Public Assistance Recertifi-cation – Medical Assistance Status” (DSS-2114)

D 1992 INF-28 Income Maintenance Forms Implemented, Revisedor Made Obsolete in 1991

D 1992 INF-24 Revision of Certification Guide (DSS-3570)

D 1992 INF-22 Food Stamp Program: Processing of and Revisionsto Form DSS-2291 (Rev. 10/91), Statement of Non-Receipt of FoodStamp Benefits

D 1992 INF-21 Verification of Social Security Numbers

D 1992 INF-17 Revision to Budget Worksheet – Public Assistance(DSS-548) (Rev. 12/91)

D 1992 INF-16 Food Stamp Treatment of Payments to QualifiedOrganizations serving as Representative Payees in the SSI Program


D 1992 INF-09 Verifying Eligibility: Special Determinations forPublic Assistance Cases

D 1992 INF-08 Public Assistance Paternity Acknowledgment

D 1992 INF-07 Verification of Information Maintained by Banksand Financial Institutions

D 1992 INF-06 Revision to Budget Worksheet – Public Assistance(DSS-548) (Rev. 12/91)

D 1992 INF-03 Revision of Continuous Pinfeed Version of “Noticeof Intent to Change Benefits: PA, FS, MA Coverage and Services(Timely and Adequate)” (DSS-4015C)

D 1992 INF-02 Revision to ABEL Input Sheet (DS-3570A)


LCMs

D 1992 LCM-197 Review of Local Rules, Regulations and Proce-dures 18NYCRR 300.6 – New Contact Person

D 1992 LCM-193 Tax Refund Offset Process – 1993 General In-structions

D 1992 LCM-182 Supplemental Security Income (SSI) Cost of Liv-ing Adjustment for Family Type Home for Adults Residents

D 1992 LCM-175 Quarterly Client Contact

D 1992 LCM-149 NYPWA Committee Meetings: Distribution ofMaterials

D 1992 LCM-140 Final AFDC Data Analysis Report for 10/1/90Through 9/30/91

D 1992 LCM-122 Electronic Benefit Issuance and Control System(EBICS) PIN Security Requirements


143

D 1992 LCM-116 Client Informational Material – Forty Five DayWaiting Period for Home Relief Applicants

D 1992 LCM-112 Recovery of Security Deposits from Landlords

D 1992 LCM-106 Providing Food Stamp and ADC Program Partici-pation Information to Local School Authorities

D 1992 LCM-104 Domestic Violence: Questions and Answers


D 1992 LCM-93 Resource File Integration

D 1992 LCM-59 Twelve Month Food Stamp Data Analysis Reportwith Upstate Case Detail for 10/1/90 through 9/30/91

D 1992 LCM-34 1992 Domestic Violence State Aid Rates (DVSAR)for Domestic Violence Residential Programs in New York State

D 1992 LCM-24 Photo ID’s – CBIC Cards EMEVS Processing

D 1992 LCM-22 Photo ID Requirements for AFSI Phase III (EBICS)

D 1992 LCM-06 Non-Residential Services for Victims of DomesticViolence

1991

ADMs

D 1991 ADM-49 Reimbursement for Burials

D 1991 ADM-45 Recovery/Recoupment of Security Deposits or Se-curity Agreements, Finders’/Brokers’ Fees and Moving Expenses Dueto Non-Payment of Rent

D 1991 ADM-44 Changes to Home Relief (HR/PG-ADC) DrugAlcohol Rehabilitation Requirements

D 1991 ADM-43 Emergency Home Relief Income EligibilityCriteria and Other Changes to the Emergency Home Relief Program

D 1991 ADM-41 Food Stamps: Replacement of Coupons and Food

D 1991 ADM-25 Section 8: Amendment to Department Regulation352.3(d) and the Effect of PA Households in Section 8 Rent Subsidyprograms

D 1991 ADM-23 Treatment of German Reparation PaymentsReceived by Institutionalized Individuals

D 1991 ADM-09 Cancellation of Outdated or Duplicative Adminis-trative Directives

D 1991 ADM-06 PA and FS Disregards: Treatment of Agent OrangePayments

D 1991 ADM-03 Fuel Allowances for Dependent Children Residingwith Self-Maintaining Non-Legally Responsible Caretakers (McMul-len vs. Perales, et al.)

D 1991 ADM-01 Public Assistance Shelter and Fuel Needs for Chil-dren in Foster Care

INFs

D 1991 INF-69 Revision of Applications and Recertification Ap-plication (DSS-2921, DSS-2921(NYC), DSS-3174), Accompanying“How To Complete” Publications (Pub.1301, Pub. 1301(NYC), Pub1313) and “Declaration of Citizenship/Immigration Status” Form(DSS-4060)

D 1991 INF-68 Food Stamps: MA Referral of Persons Termed Dis-abled to Local District FS Staff

D 1991 INF-66 Public Assistance Sewer, Water and GarbageCharges

D 1991 INF-65 Revision to Public Assistance ABEL Budget Narra-tives (DSS-3951, DSS-3952, DSS-3953, DSS-3954) (Rev. 10/91)


D 1991 INF-60 Revision of Client Information Books: DSS-4148A– “What You Should Know About Your Rights and Responsibilities(When Applying for or Receiving Social Services)” DSS-4148B –“What You Should Know About Social Services Programs” DSS-4148C – “What You Should Know If You Have An Emergency”

D 1991 INF-58 Clarification of Policy on Income-Producing Prop-erty


D 1991 INF-56 Fair Hearings – Compliance with Favorable Deci-sions


D 1991 INF-49 Food Stamps Quality Control Alert: Failure toBudget Correct Shelter Costs for Households Reporting Changes inHUD Rent Subsidies

D 1991 INF-48 Food Stamps Policy Clarification Regarding Aged,Blind or Disabled Aliens Under the Immigration and Nationality Act(INA)

D 1991 INF-47 Food Stamps Quality Control Alert

D 1991 INF-41 Use of Uniform Terms and Names

D 1991-INF-38 Food Stamps: SSI/Food Stamp Joint ProcessingProcedures

D 1991 INF-35 Clarification of Requirements to Provide Client In-formation Books (DSS-4148A – “What You Should Know About YourRights and Responsibilities (When Applying for or Receiving SocialServices)” and DSS-4148B – “What You Should Know About SocialServices Programs”)

D 1991 INF-25 Resources File Integration

D 1991 INF-24 Reduction of Certain Institutionalized Veterans’Pension Benefits


D 1991 INF-19 Revision of Applications and Recertification Ap-plication (DSS-2921, DSS-2921(NYC), DSS-3174) and Accompany-ing “How To Complete” Publications (Pub. 1301, Pub. 1301(NYC),Pub. 1313)

D 1991 INF-18 Unemployment Insurance Benefits (UIB): Perma-nent Provision to Extend Benefits to UIB Claimants in Training


D 1991 INF-16 Income Maintenance Forms Implemented, Revisedor Made Obsolete in 1990

D 1991 INF-15 Revision of “Bank Inquiry and Clearance Report”(DSS-760) (Rev.1/91)

D 1991 INF-12 Filing Unit: A Non-Legally Responsible CaretakerRelative and a Natural Parent Reside with A Minor Dependent Child

D 1991 INF-10 Introduction of Continuous Pinfeed Version of “No-tice of Intent to Change Benefits: PA, FS, MA Coverage and Services(Timely and Adequate)” (DSS-4015C)

D 1991 INF-07 Monthly Reporting Retrospective Budgeting(MRRB): Prospective Budgeting

D 1991 INF-06 Food Stamps: Treatment of Federal Pension Income

D 1991 INF-04 Unemployment Insurance Benefits (UIB): Perma-nent

D 1991 INF-03 1990 Income Maintenance Regional Meetings Ques-tions and Answers


LCMs

D 1991 LCM-218 Individual Categorical Code 04 Military Serviceof Parent

D 1991 LCM-212 Domestic Violence Maintenance Grants

D 1991 LCM-210 Declaration of Citizenship/Alien Status

D 1991 LCM-181 Payment of Child Care for Employed CaretakerRelatives Prior to the Application of the Child Care Disregard

D 1991 LCM-149 Domestic Violence, Provisions of Chapter 53 ofthe Laws of 1991

D 1991 LCM-139 Preventive Housing Grants

D 1991 LCM-129 Recovery of Security Deposits from Landlords

D 1991 LCM-122 Energy Reconciliation Procedures

D 1991 LCM-91 DSS-3214 “Claims Against Households” Reten-tion Amounts

D 1991 LCM-80 Increase in Federal Minimum Wage Level

D 1991 LCM-79 Child Support Pass-Throughs

D 1991 LCM-60 Disclosure of Information to the U.S. Departmentof Veterans’Affairs

D 1991 LCM-48 Filed Regulation 352.22(o) Filed Regulation352.22(v) Filed Regulation 504.5

D 1991 LCM-46 Section 8: Proposed Change to Department


144

Regulation 352.3(d) to Establish a Shelter Schedule for Public Assis-tance Tenants Who Participate In The Section 8 Certificate Program

D 1991 LCM-45 Education for Homeless Children

D 1991 LCM-32 Federal Reimbursement for Cash/Medical Assis-tance and Administration Under the Refugee/Entrant AssistanceProgram(R/EAP) for FFY 91

D 1991 LCM-28 Filed Regulation 352.22(x)

D 1991 LCM-19 Information on High School Diploma Programs

D 1991 LCM-17 Fair Hearing Chargebacks

1990

ADMs

D 1990 ADM-45 Emergency Assistance for Adults (EAA) – Perma-nent Authorization

D 1990 ADM-44 Recipient Restriction Program Policy Changes

D 1990 ADM-41 New Client Informational Books: DSS-4148A –“What You Should Know About Your Rights and Responsibilities(When Applying for or Receiving Social Services)” and DSS-4148B –“What you Should Know About Social Services Programs”

D 1990 ADM-39 Revision of Public Assistance “Undue Hardship”Policy

D 1990 ADM-38 Public Service Commission Regulations Regard-ing Certain Private Waterworks Corporations

D 1990 ADM-23 Food Stamps: Changes in Social Security NumberPolicy

D 1990 ADM-22 Reimbursement Ceilings for Social Services forthe Period October 1, 1989 Through September 30, 1990

D 1990 ADM-19 Preventive Services/Housing Services: Chapter542 of the Laws of 1988

D 1990 ADM-18 ADC and Food Stamps for Individuals in Congre-gate Care Facilities

D 1990 ADM-17 Mandatory Notice: Disability Determinations


D 1990 ADM-13 Eligibility Criteria for Emergency Home Relief

D 1990 ADM-08 Emergency Shelter Allowances for Persons withAIDS or HIV-Related Illness Faced with Homelessness

D 1990 ADM-05 Claiming Burial Expenses Under the Aid to De-pendent Children(ADC) Program

D 1990 ADM-03 Changes in Earned Income Disregards: Amend-ments to Department Regulations

INFs

D 1990 INF-67 Revision of “Emergency Assistance For Adults Ap-plicant Statement” (DSS-2921A)

D 1990 INF-66 Revision of “Documentation/Verification Desk Aid”(DSS-3666)

D 1990 INF-65 Revision of Client Information Books: DSS4148A –“What You Should Know About Your Rights and Responsibilities(When Applying for or Receiving Social Services)” and DSS-4148B –“What You Should Know About Social Services Programs”

D 1990 INF-62 Errata 90 INF-62 (Revisions to DSS-3825 andCancellation of DSS-3824), Transmittal Date November 9, 1990


D 1990 INF-53 Errata 90 INF-53 (Food Stamp; ComplaintProcedures/Requirements) transmittal Date October 1, 1990

D 1990 INF-52 Grants of Assistance to Guide Dogs: Elimination ofQuarterly Report (DS-3094)

D 1990 INF-49 Revision of “ADC-U Screening Checklist” (DSS-2502)

D 1990 INF-47 Food Stamp Notice for October 1, 1990 Food StampChanges

D 1990 INF-46 Revision of “Emergency Assistance For Adults Ap-plicant Statement” (DSS-2921A)

D 1990 INF-40 Revision of “Documentation Requirements” (DSS-2642)

D 1990 INF-39 Incapacity as an ADC Deprivation Factor

D 1990 INF-34 Revision to Monthly Reporting Data Mailers (DSS-3469; DSS-3469A) and Monthly Reporting Instructions (DSS-3469B;DSS-3469B(S))

D 1990 INF-33 Treatment of Income from Certain Seniors CitizenPrograms for Public Assistance, Medical Assistance and Food Stamps

D 1990 INF-32 Revisions to Applications (DSS-2921 and DSS-2921(NYC))

D 1990 INF-31 The Earned Income Credit Campaign

D 1990 INF-30 Home Relief (HR) Job Search Program Questionsand Answers

D 1990 INF-27 Revision of “School Attendance Verification” Form(DSS-3708)

D 1990 INF-26 Food Stamp Program: Revision of ReplacementClaim Statement – Food Stamp Program (DSS-2291, Rev. 1/90)


D 1990 INF-22 SSI: Budgeting of Income for Persons Living withADC Households

D 1990 INF-21 Revisions to Recertification Application (DSS-3174)and its Companion Publication (PUB-1313)

D 1990 INF-18 Food Stamps: Medicare Part B Premiums as a Medi-cal Deduction

D 1990 INF-17 Revision of Recertification Guide (DSS-3608)

D 1990 INF-13 Revision of “Declaration of Citizenship/AlienStatus” form (DSS-4060)

D 1990 INF-08 “Programmatic Action Regulations Guide” DSS-4168

D 1990 INF-06 Food Stamp Certification of Self Employed Farmers

D 1990 INF-05 Revision to Food Stamp ABEL Budget Narratives(DSS-3959, DSS-3960, DSS-3961

D 1990 INF-04 Food Stamp Program Treatment of Child Care FoodProgram (CCFP) Payments

D 1990 INF-03 Revisions to Applications and Recertification Formsand Their Companion Publications (DSS-2921, 2921(S), 2921(NYC),2921(NYC)(S), 3174, 3174(S); PUB-1301, 1301(S), 1301(NYC),1301(NYC)(S), 1313 and 1313(S))

D 1990 INF-02 Public Assistance Security Deposits


LCMs

D 1990 LCM-182 Revised SDX (SSI) Instructions

D 1990 LCM-181 Filed Regulation 352.30(F)

D 1990 LCM-169 Training Fees Increase

D 1990 LCM-168 Local district IV-D Cooperative Agreements

D 1990 LCM-165 Federal Lobbying Act-Certification Requirements

D 1990 LCM-157 Welfare Reform Conference

D 1990 LCM-155 Burials – Itemized Billing

D 1990 LCM-153 Domestic Violence Maintenance Grants

D 1990 LCM-135 PA Closing Reports for Notification of Transi-tional Child Care Benefits

D 1990 LCM-132 Teenage Services Act (TASA)

D 1990 LCM-131 Case Management Reimbursement for AIDS

D 1990 LCM-77 “Face Facts” Family Violence Prevention Cam-paign

D 1990 LCM-73 AFDC Transitional Housing Demonstration

D 1990 LCM-54 Teenage Services Act Evaluation

D 1990 LCM-42 Earned Income Credit Campaign

D 1990 LCM-41 PG-ADC Case Count Procedures

D 1990 LCM-39 Unapplied/Undistributed Support Collections

D 1990 LCM-37 Effect of the Computer Matching and PrivacyProtection Act of 1988 on Automated SDX/WMS Interface (ASWI)Processing

D 1990 LCM-27 Income and Resource Collection Subsystems(IRCS)


145

D 1990 LCM-22 Child Support Enforcement Referral for Title IV-EFoster Care Cases

D 1990 LCM-18 Lump Sum Retroactive SSI and RSDI Payments

D 1990 LCM-14 PG-ADC Adult Only Cases and Good CauseClaims

D 1990 LCM-13 Aliens and Public Assistance Applications

1989

ADMs


D 1989 ADM-50 New Regulatory Requirements Regarding Eligibil-ity Mailout Questionnaires

D 1989 ADM-44 Home Relief Job Search Program

D 1989 ADM-41 Change of Policy Concerning Public AssistanceBudgeting of Income From Roomers and Room and Boarders(Boarder/Lodger Income)

D 1989 ADM-25 Elimination of the Six Month Hotel and MotelWaiver Process

D 1989 ADM-21 Mandatory Client Notices (Public Assistance,Food Stamps, Medical Assistance)


D 1989 ADM-12 Transmitting Applications for Social SecurityNumbers (SS-5s) to the Local Social Security Office

D 1989 ADM-9 Notification to Monthly Reporting Households thatReturn a Late Incomplete Monthly Report Form & Language for Cli-ent (Ruffin v. Perales)

D 1989 ADM-06 Public Assistance Additional Allowances Forms(DSS-3813, DSS-3814, & DSS-3815)

D 1989 ADM-02 Home Relief Cash Allowance for Persons in Pub-lic Shelters for Adults (Thrower v. Perales)

INFs

D 1989 INF-70 Food Stamps: Budgeting of Certain Student Income

D 1989 INF-61 Fire Insurance on Client Owned Property

D 1989 INF-60 Non-Public Assistance Food Stamp Notice for theFederal Cost of Living Adjustment in Social Security and Supplemen-tal Security Income (SSI)

D 1989 INF-55 Lump Sums

D 1989 INF-54 Participation by Pregnant Women in Emergency As-sistance To Families (EAF)


D 1989 INF-46 Food Stamps: Application Processing for Migrant/Seasonal Farm workers

D 1989 INF-34 Food Stamp Policy Regarding Eastern Airlines Strik-ers

D 1989 INF-33 Page Replacements for 89 ADM-18

D 1989 INF-32 Payment of Sales Tax for Public Assistance Recipi-ents Placed in Hotels/Motels

D 1989 INF-31 Food Stamp Household Composition: Three Gener-ation Household and Living With Siblings

D 1989 INF-29 Revision of “MA/FS Separate Determination InputForm” (DSS-3558)

D 1989 INF-25 Incapacity as an ADC Deprivation Factor

D 1989 INF-22 SSI/SSA: Pursuit of Benefits by Certain Public As-sistance Applicants/Recipients

D 1989 INF-15 SSI Referrals of Individuals Dependent on Alcoholor Drugs

D 1989 INF-14 Digest of Laws of 1988 Relating To Social Services

D 1989 INF-12 Clarification of Alien Issues

D 1989 INF-03 1988-89 Home Energy Assistance Program (HEAP)Questions and Answers


LCMs

D 1989 LCM-170 Claiming Reimbursement of Filing Fees for CourtCases

1988

ADMs

D 1988 ADM-52 Cancellation of Outdated Administrative Direc-tives

D 1988 ADM-46 July 1, 1988 Increases in the SSI and HR Congre-gate Care Level II Rates and in the PNA For SSI Recipients in Medi-cal Facilities

D 1988 ADM-40 Exclusion of Senior Community Service Employ-ment Program (SCSEP) Income as Food Stamp Income



D 1988 ADM-06 Comprehensive Employment Report (CER) DSS-3545 (Re 11/87)


INFs

D 1988 INF-81 Clarification of Food Stamp Regional MeetingsQuestions and Answers

D 1988 INF-75 Burial Spaces/Plots

D 1988 INF-71 Social Security Numbers Issued Prior to January 1,1972 for Purposes of Verifying Alien Status

D 1988 INF-68 Graduate Student Assistantships

D 1988 INF-67 Refugee/Entrant Assistance Program: Eligibility ofCertain Amerasian Immigrants

D 1988 INF-64 PA/Energy Voluntary Restriction Form

D 1988 INF-58 Revision to Form DSS-2502: “ADC-U ScreeningChecklist” and DSS-548 “Budget Worksheet – Public Assistance”

D 1988 INF-53 Availability of Special Funding to Operate ExpandedEducational and Occupational Training Programs for HR & NPA FoodStamp Recipients

D 1988 INF-50 Food Stamp Categorical Eligibility: Budgeting ofFood Stamp Households Retroactively Determined Eligible for SSI

D 1988 INF-47 Amendment to Department Regulations IncreasingPublic Assistance Exemption of Earnings of Family Day Care Provid-ers

D 1988 INF-45 Amendment of Department Regulation RegardingPublic Assistance Exemption of Student Earnings

D 1988 INF-38 Revision to DSS-3342: “Food Stamp ProgramDisqualification Notice/Notice of Food Stamp Overissuance Action”

D 1988 INF-36 Revision of DSS-3153: “Continuing Your FoodStamps”

D 1988 INF-34 Food Stamp Categorical Eligibility 87 ADM-35

D 1988 INF-30 Biggs v. Lyng – Home Relief/Interim AssistancePayments

D 1988 INF-23 1988-1989 Comprehensive Employment Program(CEP) and the Food Stamp Employment and Training Program(FSET): Guidelines and Planning Documents

D 1988 INF-16 Revised DSS-3890 Comment Sheet

D 1988 INF-11 Increase in Maximum Amount of Grant Which MayBe Provided Toward Purchase of an Interest In a Cooperative in aLow Cost Housing Unit

D 1988 INF-10 Revisions to the Second Monthly Reporting Mailer(DSS-3469A)


LCMs

D 1988 LCM-43 Non-Discrimination Policy Concerning HIV andAIDS

D 1988 LCM-32 Public Assistance Training Manual

D 1998 LCM-11 Transfer of Assets

D 1988 LCM-3 Filed Regulations


146

D 1988 LCM-1 New Communication Vehicle: Local Commission-ers Memorandum (LCM)

1987

ADMs

D 1987 ADM-52 Community Work Experience Program (CWEP) –ADC Work Experience

D 1987 ADM-28 Monthly Reporting (Jensen v. Perales)

D 1987 ADM-25 Social Security Number Validation Process

D 1987 ADM-24 Assistance for Newborns (Vega v. Perales)

D 1987 ADM-14 Special Monthly Restaurant Allowance forPregnant Women and Children

D 1987 ADM-05 Increase in Grants of Assistance to Guide Dogs(GAGD) Program

INFs

D 1987 INF-66 Increase in the State Supplemental Personal NeedsAllowance (SSPNA)

D 1987 INF-64 Increase in Camp Fees

D 1987 INF-58 Elimination of 60 Day Limit on the Storage ofFurniture and Personal Belongings Under the Emergency Assistanceto Adults Program (EAA)

D 1987 INF-54 the Revision of the DSS-2425, Repayment ofInterim Assistance Notice

D 1987 INF-53 SSI Related Case Closing


D 1987 INF-50 Prenatal Care Act of 1987: Chapter 822 of the Lawsof 1987

D 1987 INF-48 Education Services: Payment of Reduced Tuitionfor Vocational Training at Board of Cooperative Education Services(BOCES) Facilities

D 1987 INF-47 Literacy Volunteers of New York State. Inc.

D 1987 INF-45 Expanded Child Care Demonstration Project

D 1987 INF-42 Sales Tax on Food Stamp Purchases

D 1987 INF-40 The Amendment of Subdivision (b) of Section 372.4of Title 18 NYCRR (EAF Property Repairs)

D 1987 INF-38 Food Stamp Client Education Video

D 1987 INF-37 Responsibility of Local Districts During the FairHearings Process

D 1987 INF-35 Food Stamp Eligibility for the Disabled: Press Re-lease

D 1987 INF-32 Tax Credit Programs: Targeted Jobs Tax Credit(TJTC)

D 1987 INF-31 Energy Conservation Bank (ECB)

D 1987 INF-30 New York Telephone Life Line

D 1987 INF-29 Income Maintenance Regional Meetings: Questionsand Answers

D 1987 INF-28 Adult Educational Services: Welfare EducationProgram (WEP), Employment Preparation Education Program (EPE),and Adult Education Act (AEA – Also Known as Adult Basic Educa-tion (ABE)

D 1987 INF-27 Job Training Partnership Act (JTPA): Remediationand Assessment Requirements Amendments for Summer Program-ming

D 1987 INF-26 “Food Stamp Restaurant Program for the Elderlyand Disabled:” List of Authorized Restaurants

D 1987 INF-25 Job Training Partnership Act (JTPA): Schedule forModifications of the Job Training Plan JTPA Allocations (1987-88)Changes in the JTPA Title IIB Program – (Summer Youth)

D 1987 INF-23 Job Training Partnership Act (JTPA): Title IIAStatewide Summary Report for July 1985 – June 1986

D 1987 INF-19 Clarification of Excess Income Policy

D 1987 INF-18 Food Stamp Eligibility of Certain Aliens Admittedas Permanent Residents

D 1987 INF-17 Revised Food Stamp Standard Utility Schedules

D 1987 INF-16 Reimbursement for Educationally HandicappedChildren Placed in Child Care Institutions or RTFs

D 1987 INF-15 The Revision of the DSS-3021, AFDC/SSI Inter-agency Request Form

D 1987 INF-14 Submission of DSS-2550: Application Register (orWINR 1140 – DS-2550 Food Stamp Application Register)

D 1987 INF-12 Planning Year (PY) ’86 Hard to Serve IncentiveAwards

D 1987 INF-10 Jobs Created by the NYS Job Development Author-ity Available to Public Assistance Recipients

D 1987 INF-07 Department of Social Services/State EducationDepartment Employment Program Initiatives

D 1987 INF-05 Interagency Agreement Between the Department ofSocial Services and Office of Mental Health on Discharge Planning

D 1987 INF-03 Clarification of Employability Status of ADCCaretaker Relative with Children Under Six

D 1987 INF-01 Annual Index of Administrative Directives/Informational Letters, Manual Bulletins 1986

1986

ADMs

D 1986 ADM-42 Retroactive Budgeting of Three GenerationHouseholds (Yates et al. v. Buscaglia et al.)

D 1986 ADM-40 Assistance to Recipients Who Move from OneDistrict to Another (Rogers v. Kramer)

D 1986 ADM-27 Retroactive Aid Category Changes

D 1986 ADM-13 Client Requested Restricted Payments

D 1986 ADM-10 Revision of PA-Employment Related SanctioningProcedures

INFs

D 1986 INF-47 Licensure of Home Care Services Agencies and Cer-tification of Home Health Agencies

D 1986 INF-43 Permanency Practice Issue: Parental InvolvementWith Their Children and With The Supervising Agencies

D 1986 INF-41 1986 Legislation Related to Victims of DomesticViolence

D 1986 INF-37 Clarification of Certain Environmental Standardsfor Family Type Homes (Dept. Regulation Part 489)

D 1986 INF-34 Revised State Form DSS-1552 and Instructions

D 1986 INF-25 Home Energy Assistance Program (HEAP) Report-ing Requirements of Section 6041 of the Internal Review Code (IRC)

D 1986 INF-23 WMS Homeless Indicator

D 1986 INF-18 Family-Type Homes for Adults: Responses to Ques-tions Raised by Local Staff at Regional Technical Assistance Sessions


D 1986 INF-12 Interstate Compact for the Placement of Children

D 1986 INF-11 Utilization Trends of Section 473-a of the SSL ShortTerm Involuntary Protective Services Orders

D 1986 INF-07 Regulations for the Shelter for Families Program

D 1986 INF-03 Parental Visiting of Children in Foster Care

D 1986 INF-02 Annual Index of Administrative Directives INF’s,1985


All Commissioners Letters

06/13/86 – Availability of Non-Liquid Resources

03/18/86 – Allowance for Furniture and Supplies

03/18/86 – Increase in Visitor Allowance

03/05/86 – Recoupment of Shelter Allowances

1985

ADMs

D 1985 ADM-49 Monthly Allowances for Supplemental HomeEnergy Assistance

D 1985 ADM-45 Fair Hearings to Contest Determinations of Em-ployability

D 1985 ADM-38 Implementation in Local Social Services Districtsof New and Revised Eligibility Documents for Public Assistance,Medical Assistance and Food Stamps


147

D 1985 ADM-31 Underwood and Morgan v. Blum – RetroactiveSSI Invisibility

D 1985 ADM-24 Work Incentive Program (WIN Demonstration)and Other Changes that Affect All Districts

D 1985 ADM-17 Procedures for Implementation of LegislationRegarding Recipient Noncompliance with Employment RelatedRequirements (SSL § 131.5)

D 1985 ADM-09 Cooperative Cases (Danks v. Perales)

D 1985 ADM-01 Burial Trusts for SSI Recipients

INFs

D 1985 INF-10 Case Assessment and Prioritization

D 1985 INF-02 Annual Index of Administrative Directives/Informational Letters 1984

D 05/02/85 EIC

D 02/14/85 Public Housing

D 02/01/85 Support Pass-through

1984

ADMs

D 1984 ADM-42 Water Allowances for PA Recipients

D 1984 ADM-39 Implementation of the Applicable Provisions ofthe Deficit Reduction Act of 1984 (Public Law 98-369)

D 1984 ADM-25 Fiscal Responsibility for Recipients DischargedDirectly from Mental Hygiene Institutions into Community Resi-dences Certified by the Office of Mental Health

D 1984 ADM-20 PA Recertification – MA Status Notice to Recipi-ents

D 1984 ADM-10 Payment of the Supplemental Security Income(SSI) Rate to Home Relief (HR) Recipients in Congregate Care Facil-ities

D 1984 ADM-01 Exemption of JTPA Allowances

INFs


D 1984 INF-06 Changes in the Preparation of Social SecurityNumber Applications (Form SS-5)

D 1984 INF-03 Annual Index of ADM Directives/INF Letters, 1983

Letters

09/25/1984 Prospective Budgeting

07/02/1984 Danks v. Perales

01/17/1984 – IAR

1983

ADMs

D 1983 ADM-67 Grazyna Pasternak v. Blum: Exemption of Gradu-ate School Grants and Loans

D 1983 ADM-55 Stepparent Deeming (Kelly v. Perales)

D 1983 ADM-53 Clarifications of Procedures in Authorizing EAFPayments

D 1983 ADM-49 EAF Modification Confirmed by the U.S. SupremeCourt in the Blum v. Bacon Litigation

D 1983 ADM-48 Changes in the Refugee Assistance Program (RAP)and Cuban/Haitian Entrant Program (CHEP)

D 1983 ADM-45 Budgeting of Individuals and Families Temporar-ily Housed in Hotels/Motels

D 1983 ADM-38 Determining the Standard of Need for the GrossIncome Limitation

D 1983 ADM-37 Tax Equity and Fiscal Responsibility Act of 1982(P.L. 97-248) and Chapter 548 of the Laws of 1983: Rounding DownProvision

D 1983 ADM-30 Deeming of a Stepparent’s Income to PA Depen-dents

D 1983 ADM-25 Tax Equity and Fiscal Responsibility Act of 1982(P.L. 97-248): Military Service No Longer Deprivation Factor forADC

D 1983 ADM-12 Clarification of New SSI Requirement: Disclosureof Tax Return Information (82 ADM-67)

D 1983 ADM-10 Failure to Cooperate with Child support Enforce-ment Requirements: Vasquez v. Blum

INFs

D 1983 INF-14 Burial Set Asides for SSI Recipients

D 1983 INF-08 Voter Registration Activities

D 1983 INF-07 Retrospective Monthly Accounting (RMA) in theSupplemental Security Income (SSI) Program


D 1983 INF-02 Removal of the Remaining Sex Based Distinctionsin Social Services Law Section 131.5; Chapter 388 of the Laws of1983

All Commissioners Letters

12/29/1983 IAR

08/15/1983 Transportation for Homeless Children

05/05/1983 Cooperation with CSEU

1982

ADMs

D 1982 ADM-78 Allen v. Blum: Budgeting the Income of a Spouseor Parent Who Fails to Apply for Public Assistance

D 1982 ADM-75 Elimination of Proration in PA cases Affected bythe Swift v. Toia Case

D 1982 ADM-74 Provision of Adequate and Timely Notice for HRSupplemented Recipients of SSI Benefits When the HR Benefit isReduced or Discontinued

D 1982 ADM-68 Public Work Project Worksites at Religious Institu-tions; Atchinson et al. v. Blum

D 1982 ADM-65 Nafziger et al. v. Blum

D 1982 ADM-55 Rivers v. Schweiker et al. Federal Court DecisionRegarding 10-day Interim Assistance Accounting Period and Authori-zation Processing Procedures.

D 1982 ADM-49 Treatment of Earned Income Credits and FurtherClarification of Other Provisions Covered in 81 ADM-55

D 1982 ADM-24 Changes to the Refugee Social Services Assis-tance Program and the Cuban/Haitian Entrant Program (CHEP)

D 1982 ADM-17 Assignment and Subrogation (Chapter 319 Lawsof 1981)

D 1982 ADM-15 Budgeting Sick Pay Benefits as Earned Income(Pennick v. Blum and Buscaglia)

D 1982 ADM-03 Folsom v. Blum: New Developments

INFs

D 1982 INF-24 Emergency Nutrition Aid Program for PregnantWomen and Adolescents

D 1983 INF-20 Procedures for the Use of the General InformationSystem (GIS)

D 1982 INF-19 State Supplemental Personal Needs Allowance(SSPNA) to SSI Recipients Placed in Certain Health Care FacilitiesOut-of-State

D 1982 INF-13 State Supplemental Personal Needs Allowance


D 1982 INF-01 Increase in Veterans Pension Benefits for ServiceConnected Disability

All Commissioners Letter

09/08/1982 Recoupment Rate 10%

1981

ADMs

D 1981 ADM-67 EAF Modification Ordered by the U.S. Court ofAppeals in the Bacon v. Toia Litigation

D 1981 ADM-65 U.S. District Court Settlement: Montes v. Blum,Treatment of Shelter Allowance in Rental Disputes in ADC Cases

D 1981 ADM-63 Percey v. Blum Budgeting Earned Income onNon-PA Legally Responsible ADC Caretaker Relatives

D 1981 ADM-61 Further Court Order in the Swift v. Toia Case

D 1981 ADM-56 ADC Child Care Allowance for Student Parents


148

D 1981 ADM-52 Public Law 97-35: Repealing the 20% VendorRestricted Payment Limitation and the Montes v. Blum Case

D 1981 ADM-51 Freedman v. Blum Decision

D 1981 ADM-44 PA/SSI Households: Income of SSI Recipients –Further Development in the Folsom v. Blum Case

D 1981 ADM-38 U.S. Circuit Court of Appeals Decision, Hayes andWarren v. Blum, and U.S. District Court Decisions, Jamroz v. Blumand Markel v. Blum: Treatment of Educational Grants, Loans andScholarships

D 1981 ADM-27 Riddick v. Blum Court Decision

D 1981 ADM-26 Monthly Allowances for Home, Energy Needs, Ef-fective July 1, 1981

D 1981 ADM-25 IV-A/IV-D Interface Record Keeping in GoodCause Claims

D 1981 ADM-24 SSI/AFDC Payment Coordination Form DSS-3021

D 1981 ADM-01 Income of Illegal Aliens Ineligible for Public As-sistance and Care

INFs


D 1981 INF-28 New Interim Assistance Legislation Chapter 433 ofLaws of 1981

D 1981 INF-14 Addendum to 1981 INF-10

D 1981 INF-12 Recently Enacted Federal Legislation Related to theSupplemental Security Income (SSI) Program

D 1981 INF-10 Clarification of Certain Issues Regarding BurialTrust for SSI Recipients

D 1981 INF-09 Allocation of WIN Medical Expenditure Funds forthe Period October 1, 1979 through September 30, 1980


D 1981 INF-02 Reallocation of WIN Services Funds for FederalFiscal Year 1980

D 1981 INF-01 Reallocation of WIN Medical Expenditure Fundsfor the Period October 1, 1979 through September 30, 1980

1980

ADMs

D 1980 ADM-98 Restricted Payments in ADC Cases

D 1980 ADM-86 Cooperative Agreements and Inter-Agency Con-tracts with Other Local Governmental Units

D 1980 ADM-64 Tax Credit Programs

D 1980 ADM-44 Exception to procedures requiring PA applicant/recipients to reapply for SSI benefits

D 1980 ADM-42 Necessity of obtaining correct SSN for allapplicant/recipients and absent parents

D 1980 ADM-11 U.S. Supreme Court Decision in the Matter ofCalifano v. Westcott: Extension of ADC-U Eligibility to UnemployedMothers and Its Impact on the Work Incentive and Work Rules Pro-grams

D 1980 ADM-4 Inter-district jurisdictional disputes

INFs

D 1980 INF-23 1981 Clients’ Reporting Date Schedule – WorkReferral

D 1980 INF-14 Revised DSS 1776 Work Relief Project ActivityWork Sheet

D 1980 INF-10 Reallocation of WIN Services Funds for FederalFiscal Year 1979

D 1980 INF-07 1980 Census

D 1980 INF-06 List of Records Maintained by DSS (Freedom of In-formation Law)

D 1980 INF-04 Allocation of WIN Medical Expenditures Funds forthe Period October 1, 1978 through September 30, 1979


All Commissioners Letter

08/20/1980 Swift v. Toia

1979

ADMs

D 1979 ADM-82 Burial Trust for SSI recipients

D 1979 ADM-02 Child Care for Employed ADC/HR Applicants/Recipients

INFs

D 1979 INF-32 Automatic Four-Month Extension of MA for CertainFamilies who Become Ineligible for ADC


D 1979 INF-19 Revised CETA Referral/Enrollment Form

D 1979 INF-18 Reference Guide to SSI – Related IM Activities andPrograms

D 1979 INF-17 Section 8 – Housing Assistance Payments (HAP)Program for Lower-Income Families

D 1979 INF-15 Revised CETA Desk Aid

D 1979 INF-14 Settlement of International Union of ElectricalWorkers (I.U.E.) v. Bergland Lawsuit

D 1979 INF-13 Aliens – Permanent Residence Under Color of Law

D 1979 INF-08 Emergency Assistance for Adults (EAA) – A DeskReference Outlining Available Benefits

D 1979 INF-07 Pen and Ink Correction of ‘78 INF-8 (EAA DeskReference)

D 1979 INF-05 Disregard of Per Capita Judgment Fund Paid toIndians

1978

ADMs

D 1978 ADM-95 Foran v. Dimitri – Sanctioned for Failure toComply with Part 385 Requirements

D 1978 ADM-93 Maximum Utilization of SSI Program by Requir-ing ADC Applicants/Recipients Who Appear Disabled to Apply forSSI

D 1978 ADM-76 SSI/AFDC Payment Coordination Form DSS-3021

D 1978 ADM-71 Nondiscrimination-Handicapped Section 504-Rehabilitation Act of 1973

D 1978 ADM-56 Public Assistance and Care for Migratory SeasonalFarm Workers

D 1978 ADM-55 Emergency Home Relief Grants for PresumptiveSSI-Eligible Persons

D 1978 ADM-48 Services to Victims of Domestic Violence: SpecialCare Homes as Authorized by Chapter 450 of the Laws of 1977

D 1978 ADM-26 Definition of “Appropriate Rehabilitative Pro-gram” for Purposes of Home Relief Eligibility

INFs

D 1978 INF-37 Additional Food Stamp Reimbursement

D 1978 INF-32 Automatic Four-Month Extension of MA for CertainFamilies Who Become Ineligible for ADC


D 1978 INF-19 Eligibility for Services to Victims of DomesticViolence Programs

D 1978 INF-18 Reference Guide to SSI – Related IM Activities andPrograms

D 1979 INF-17 Section 8 – Housing Assistance Payments (HAP)Program for Lower-Income Families

D 1978 INF-08 Emergency Assistance for Adults (EAA) – A DeskReference Outlining Available Benefits

1977

ADMs

D 1977 ADM-138 Court of Appeals Decision: Lee v. Smith and ItsEffect on the Home Relief Program

D 1977 ADM-134 Treatment of Educational Grants, Loans andScholarships

D 1977 ADM-130 Federal Regulations Concerning Nondiscrimina-tion against the Handicapped


149

D 1977 ADM-96 Budgeting of Applicant Who is an “EssentialPerson” in an Active SSI Case

D 1977 ADM-85 Congregate Care Directory

D 1977 ADM-59 Separation of Services from Income Maintenance

D 1977 ADM-56A Initial Case Review MIL Maintenance Programand Rebudgeting

D 1977 ADM-56 Minimum Income Level (MIL) Maintenance Pro-gram

D 1977 ADM-54 Emergency Assistance to Adults (EAA) – DirectDeposit Program for SSI Checks

D 1977 ADM-40 Change in Procedures Regarding the Use of Timelyand Adequate Notices During an Eligibility Questionnaire Mail-OutProject

D 1977 ADM-26B Citizenship and Alien Status as a Condition forPublic Assistance and Care

D 1977 ADM-26 Citizenship and Alien Status as a Condition forPublic Assistance and Care

D 1977 ADM-25 Chapter 77 of the Laws of 1977: Duplicate Assis-tance Payments

D 1977 ADM-22 Settlement in the Case of Jefferies v. Sugerman,Clarification of Policy with Respect to Four-Year College StudentsWho Are Applicants and Recipients of AFDC

D 1977 ADM-06 Recoveries of Advance Allowances for Rent and/orUtilities (Reves v. Dumpson & Lavine)

INFs

D 1977 INF-23 Access to Social Security Administration IncomeInformation

D I977 INF-15 Pass-Through of Federal Cost-of-Living Increases toSSI Recipients and Increases in State Supplement Payments

D 1977 INF-12 List of Available Records for NYS DSS - Freedomof Information Law

D 1977 INF-09 Upgrading of “Less Than Honorable Discharge fromMilitary Service”

D 1977 INF-01 Recent SSI Legislation

1976

ADMs

D 1976 ADM-122 Clarification of Policy, Sanctions for VoluntarilyTerminating Employment, Milne, et al. vs. Lavine, et al.

D 1976 ADM-121 Miscellaneous Shelter Grants and Allowances

D 1976 ADM-115 Date of Initial Entitlement of Assistance forEligible Applicants

D 1976 ADM-110 EAA Policy: Claiming for Repairs To, or Mainte-nance On, Property Not Owned by the SSI Occupant

D 1976 ADM-104 Exceptions to the Timely Notice Requirement inCertain Cases of Proposed Adverse Action

D 1976 ADM- 87 EAF Clarification of Policy

D 1976 ADM-60 Privacy Act Notice – Disclosure and Use of SocialSecurity Number

D 1976 ADM-31 Replacement Cost of Clothing

D 1976 ADM-09 Client Reminder to Report Change

D 1976 ADM-09A Client Reminder to Report Change (Spanish Ver-sion)

D 1976 ADM-07 Welfare Enumeration – Revision of Required Pro-cedures

INFs

D 1976 INF-35 Requirement for Use of New Forms DSS-2655 andDSS-2657

D 1976 INF-34 Bonus Payments to ADC Families Under Title IV-D

D 1976 INF-33 List of Available Records for NYS DSS Freedom ofInformation Law

D 1976 INF-25 Federal Policy Clarification


D 1976 INF-22 Family Planning Services Flyer, “The Stork ShouldBe An Invited Guest”


D 1976 INF-13 Evidentiary Requirements for Case Actions and FHfor “Man-in-House” Cases

D 1976 INF-09 Title IV-D, Change of Payee Under Assignment ofRight

D 1976 INF-02 EAF Court Decision – Baumes v. Lavine

D 1976 INF-01 Introduction to DSS-2487, Notice of CETA Referralor Enrollment

1975

ADMs

D 1975 ADM-131 1975 Index to ADM/INF Letters and List ofReleases Superseded in 1975

D 1975 ADM-108 EAA-Program Amendment and Expansion

D 1975 ADM-86 N.Y. Court of Appeals Decision: Jones v. Lavine(Westchester Co.); Domine and Gipson v. Lavine (Albany Co.);Duplicate Assistance Payments Under the Emergency Assistance forFamilies (EAF) Program (S.S.L. § 350-j; 18 NYCRR § 372.2(c);Expedited Hearings Under EAF

D 1975 ADM-85 MA Eligibility of Children in Foster Care

D 1975 ADM-78 Expedited Hearings for EAF/EAA

D 1975 ADM-73 Family Planning Services

INFs


D 1975 INF-45 Federal Legislation, “Emergency Housing Act of1975” (PL 94-50)

D 1975 INF-42 Improper Practices by Rental Brokers

D 1975 INF-33 Final Federal Regulations Under Title XX

D 1975 INF-29 Implementation of New Federal Paternity and Sup-port Requirements

D 1975 INF-25 Desk Aid – CETA - Program and Policies

D 1975 INF-11 Model Regulations for Public Access to RecordsFreedom of Information Law

D 1975 INF-09 Interim Payments Under Home Relief for SSIEligibles – Continuation of Instructions in 74-ADM-176

D 1975 INF-07 Family Planning Services – Flyer “The Smaller Size”

1974

ADMs

D 1974 ADM-132 Freedom of Information Law: Implementation byLocal Districts

D 1974 ADM-124 Emergency Assistance to Adults (EAA)

D 1974 ADM-96 Continuation of Assistance Payments, Medical As-sistance Authorization and Food Stamp Authorization When FairHearing is Requested

D 1974 ADM-83 Fraud Investigations of Voluntary Case ClosingsOccurring During the Public Assistance and Medical Assistance Face-to-Face Recertification Programs

D 1974 ADM-79 Standards of Assistance – Monthly Grants and Al-lowances

D 1974 ADM-26 Recommended Procedure to Reduce the Incidenceof Illegal Welfare Check Cashing

D 1974 ADM-24 Shelter Allowances

D 1974 ADM-11 Averaging of Earned Income for ADC Recipients

D 1974 ADM-06 Emergency Assistance to Adults

INFs

D 1974 INF-34 PA for Strikers

D 1974 INF-28 Disregards of Payment Received Pursuant to theAlaska Native Claims Act

D 1974 INF-20 Information Flow and Processing, PA Eligibility

1973

WIN ADM

D 1973 WIN ADM-09 Application of #30 and 1/3 Earned IncomeDisregard


150

PWDs (Administrative Letters)

D 1973 PWD-182 Clarification of Admin. Letter 73 PWD-159 Re-lating to Investigation and Eligibility; Continued Federal Court Orderin Lewis v. Lavine Admin. Letter 73 PWD-88

D 1973 PWD-173 Right to Apply for Public Assistance and Actionof Suspension of Assistance Eliminated

D 1973 PWD-161 Addendum to Admin. Letter 73 PWD-93 of6/18/73 (Requirements Applicable to Fraud Cases)

D 1973 PWD-159 Investigation and Eligibility

D 1973 PWD-157 Application for Public Assistance

D 1973 PWD-131 Dublino v. NYS DSS (Non-Win Districts Only)

D 1973 PWD-124 Security Deposit for Gas and Electric Service

D 1973 PWD-09 (1) State Approval for Sale of Conveyed RealEstate prior to Death of Recipient (2) Redemption of Real PropertyAfter a Deed or Mortgage Has Been Given to a Social Services District

INFs

D 1973 INF-48 Recipient Non-Payment of Shelter Expenses


D 1973 INF-13 NYS DSS Response to Natural Disasters

D 1973 INF-01 Release of Information to Internal Revenue Service

1972


D 1972 PWD-157 Decisions & Actions

D 1972 PWD-149 Dublino Case Court Order: HR Employables;Notice to Recipients Relative To Right to Fair Hearing on Determina-tion of Employability pursuant to Section 131.4 of the Social Serviceslaw and Part 385 of the Regulations

D 1972 PWD-148 Court Order in Case of Dublino v. Wyman (NewYork State Work Rules)

D 1972 PWD-147 Inclusion of Full Shelter Allowance in One Semi-Monthly Check

D 1972 PWD-137 Shelter Payments – Chapter 943 Laws of 1972

D 1972 PWD-133 laws of 1972 – Amendment to Social ServicesLaw, in Relation to Rent Security Deposits

D 1972 PWD-84 Revised WIN Program (III), Budgeting of WINEnrollees Who Are Employed or in OJT

D 1972 PWD-23 Public Works Project – Workmen’s Compensation

D 1972 PWD-16 Inquiry and Report on Unemployment InsuranceBenefits Form DSS-1416

D 1972 PWD-08 FSP – Instructions for Local Districts on RecipientClaim Determinations

INF

D 1972 INF-37 Educational Services for Children of Families Resid-ing in Motel/Hotels

1971


D 1971 PWD-105 Photo ID Cards

D 1971 PWD-103 Grouping of Districts by PA Caseload

D 1971 PWD-81 Photo ID Cards

D 1971 PWD-75 Possible Travel to be Reporting to DA

D 1971 PWD-68 Chapter 123 of the Laws of 1971

D 1971 PWD-63 Photo Identification Cards

D 1971 PWD-62 Volunteers

D 1971 PWD-61 Lopez v. Wyman

D 1971 PWD-55 Welfare Residency Requirements

D 1971 PWD-46 Study of Characteristics of Recipients of HomeRelief

D 1971 PWD-41 Separation of Services, Guidelines Pursuant toChapter 109, Laws of 1971, Supplemental to Admin Letter ’71PWD-23

D 1971 PWD-21 Standards of Assistance

1970

PWD (Administrative Letter)

D 1970 PWD-84 Location of SSD Office

INF


1968


D 1968 PWD-41 Exemption of Income and Resources

D 1968 PWD-13 Reporting of ADC Children in Need Due toAbsence of Parents

INFs


D 1968 INF-17 Cuban Refugee Program: Adjustment of Status fromParolee to Permanent Resident

Manual Bulletins (undated)

MB 195 - Compilation of Requirements for the Provision of SocialServices

MB 185 - EAF

MB 181 - Work – Related Benefits

MB 178 - Protection Against Discriminatory Practices

MB 175 - Caseload and Supervisory Standards

MB 169 - Requirements Applicable to Fraud Cases

MB 137b - Disclosure of Information

MB 134 - Standard of Need

MB 128 - Fair Hearings

MB 91b - Determination of Initial and Continuing Eligibility forPublic Assistance or Care

MB 90h - Official Releases

MB 26a - Restoring Employables to Self-Support

MB 17h - Distribution of Informational Pamphlets and Notificationto Applicants and Recipients of Public Assistance and Care


151

SECURITIESOFFERINGS

STATE NOTICES

Published pursuant to provisions of General Business Law[Art. 23-A, § 359-e(2)]

DEALERS; BROKERS

1735 Ashley Grove, LLC181 Main St., Suite 100, Huntington, NY 11743State or country in which incorporated — South Carolina

AEA Investors SBF IV LP666 Fifth Ave., 36th Fl., New York, NY 10103Partnership — AEA Investors SBF IV Partners LP

AG Realty Value Fund X (Cayman), L.P.c/o Angelo, Gordon & Co., L.P., 245 Park Ave., New York, NY 10167Partnership — AGR X LLC

Black Creek Industrial Reit IV Inc.518 Seventeenth St., 17th Fl., Denver, CO 80202State or country in which incorporated — Maryland

BTA Oil Producers, LLC104 S. Pecos, Midland, TX 79701State or country in which incorporated — Texas

BVP V Special Affiliates Limited Partnership777 E. Wisconsin Ave., Milwaukee, WI 53202Partnership — Baird Venture Partners Management Company V, LLC

CAI Real Estate Income Fund I, LLC9325 W. Sahara Ave., Las Vegas, NV 89117State or country in which incorporated — Nevada

Cincinnati BusinessPlex, LLC3000 Race St., Suite 100, Fort Worth, TX 76111Partnership — WIP Frontline Management, LLC

Douglas Scott Securities, Inc.1700 Alma Dr., Suite 110A, Plano, TX 75075State or country in which incorporated — Texas

Drexel Properties GP, LLC926 W. Walnut St., Allentown, PA 18102

Elk Ranch Investors, LLC718 W. Business Hwy. 60, Dexter, MO 63841State or country in which incorporated — Missouri

Energy Capital Partners Credit Solutions II, LP51 John F. Kennedy Pkwy., Suite 200, Short Hills, NJ 07078Partnership — Energy Capital Partners Credit Solutions GP II, LP

Eureka Dimensional Stone Investors, LLC718 W. Business Hwy. 60, Dexter, MO 63841State or country in which incorporated — Missouri

Legacy Historic 2018 Opportunity Fund, LLC718 W. Business Hwy. 60, Dexter, MO 63841State or country in which incorporated — Missouri

LineVision, Inc.444 Somerville Ave., Somerville, MA 02143State or country in which incorporated — Delaware

M3dicine Holdings Inc.2229 Beach St., San Francisco, CA 94123State or country in which incorporated — Delaware

Monterey Investments, LLC718 W. Business Hwy. 60, Dexter, MO 63841Partnership — Monterey Property Manager, LLC

Niblett Farms Investors, LLC718 W. Business Hwy. 60, Dexter, MO 63841Partnership — Redwood Equity Partners, LLC

Nighthawk Wedgewood, LLC1035 Barkston Dr., Katy, TX 77450State or country in which incorporated — Texas

Olivian Investments, LLC335 N. Jeff Davis Dr., Fayetteville, GA 30214State or country in which incorporated — Georgia

P4G Capital Partners I Co-Invest Fund, L.P.455 Market St., Suite 620, San Francisco, CA 94105Partnership — P4G Capital Associates, L.P.

Pender East Credit 1 Reit, L.L.C.11766 Wilshire Blvd., Suite 460, Los Angeles, CA 90025State or country in which incorporated — Delaware

Rand Road Community, LLC650 N. Dearborn St., Suite 850, Chicago, IL 60654State or country in which incorporated — Delaware limited liabilitycompany

Red Claw Investments, LLC718 W. Business Hwy. 60, Dexter, MO 63841State or country in which incorporated — Missouri

Saddle Ranch Media, Inc.5020 Campus Dr., Newport Beach, CA 92660State or country in which incorporated — Utah

153

Sakal U.S. Fund, LLC323 Sunny Isles Blvd., Fl. 7, Sunny Isles Beach, FL 33160State or country in which incorporated — Delaware limited liabilitycompany

SimpleBet, Inc.435 W. 31st St., PH 3C, New York, NY 10001State or country in which incorporated — Delaware

Summit Partners Technology L/S QP Fund, L.P.222 Berkeley St., 18th Fl., Boston, MA 02116Partnership — Summit Partners Alydar GP, L.P.

Texas Securities, Inc.4024 Nazarene Dr., Suite B, Carrollton, TX 75010State or country in which incorporated — Texas

Thrivent Investment Management, Inc.625 Fourth Ave. S, Minneapolis, MN 55415State or country in which incorporated — Delaware

Tripkicks, Inc.c/o Acquis Consulting Group, 299 Broadway, 12th Fl., New York, NY10007State or country in which incorporated — Delaware

TYZ Investments, LLC718 W. Business Hwy. 60, Dexter, MO 63841State or country in which incorporated — Missouri

TZP Small Cap Partners II, L.P.Seven Times Square, Suite 4307, New York, NY 10036Partnership — TZP Small Cap Partners GP II, L.P.

Wells Fargo Investment Institute, Inc.401 S. Tryon St., Charlotte, NC 28202State or country in which incorporated — Delaware

WPCM Wildts Battery Holdings, LLCSeven E. Congress St., Savannah, GA 31401State or country in which incorporated — Delaware

NYS Register/January 30, 2019Securities Offerings

154

ADVERTISEMENTS FORBIDDERS/CONTRACTORS

SEALED BIDS

PROVIDEMASONRY REPAIR

State ArmoryNew York, NY, New York County

Sealed bids for Project No. 45661-C, for Construction Work,Provide Masonry Repair, State Armory, 2366 5th Avenue, New York(New York County), NY, will be received by the Office of GeneralServices (OGS), Design & Construction Group (D&C), Division ofContract Management, 35th Fl., Corning Tower, Empire State Plaza,Albany, NY 12242, on behalf of the Division of Military and NavalAffairs, until 2:00 p.m. on Wednesday, February 6, 2019, when theywill be publicly opened and read. Each bid must be prepared andsubmitted in accordance with the Instructions to Bidders and must beaccompanied by a certified check, bank check, or bid bond in theamount of $76,400 for C.

Further, Wicks Exempt Projects require a completed form BDC 59(Wicks Exempt List of Contractors) be filled out and submitted(included in a separate, sealed envelope) in accordance with Docu-ment 002220, Supplemental Instructions to Bidders – Wicks Exempt.Failure to submit this form correctly will result in a disqualification ofthe bid.

All successful bidders will be required to furnish a PerformanceBond and a Labor and Material Bond in the statutory form of publicbonds required by Sections 136 and 137 of the State Finance Law,each for 100% of the amount of the Contract estimated to be between$2,000,000 and $3,000,000 for C.

Pursuant to State Finance Law §§ 139-j and 139-k, this solicitationincludes and imposes certain restrictions on communications betweenOGS D&C and a bidder during the procurement process. A bidder isrestricted from making contacts from the earliest posting, on the OGSwebsite, in a newspaper of general circulation, or in the ContractReporter of written notice, advertisement or solicitation of offersthrough final award and approval of the contract by OGS D&C andthe Office of the State Comptroller (“Restricted Period”) to other thandesignated staff unless it is a contact that is included among certainstatutory exceptions set forth in State Finance Law § 139-j(3)(a).Designated staff are Jessica Hoffman, Carl Ruppert, and Pierre Alricin the Division of Contract Management, telephone (518) 474-0203,fax (518) 473-7862 and John Lewyckyj, Deputy Director, Design &Construction Group, telephone (518) 474-0201, fax (518) 486-1650.OGS D&C employees are also required to obtain certain informationwhen contacted during the restricted period and make a determinationof the responsibility of the bidder pursuant to these two statutes.Certain findings of non-responsibility can result in rejection forcontract award and in the event of two findings within a four-year pe-riod, the bidder is debarred from obtaining governmental ProcurementContracts. Bidders responding to this Advertisement must familiarizethemselves with the State Finance Law requirements and will beexpected to affirm that they understand and agree to comply on the bidform. Further information about these requirements can be foundwithin the project manual or at: http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

As a condition of award, within 48 hours of receipt of the proposedContract Agreement from the State, the low bidder shall return the

Contract Agreement to the State, properly executed, along with theBonds if required by said Agreement. Low bidders who cannot meetthese provisions may be subject to disqualification and forfeiture ofthe bid security.

The State intends to expedite award of this Contract and theContractor shall be prepared to proceed with the Work accordingly.Bidders are warned that time is of the essence of the Contract andsubstantial completion of the Work must be within 493 days after theAgreement is approved by the Comptroller. Due to the tightness of theconstruction schedule, bidders should consider the necessity for anincreased work force and shift operations.

The only time prospective bidders will be allowed to visit the jobsite to take field measurements and examine existing conditions of theproject area will be at 10:00 a.m. on January 24, 2019 at State Armory,2366 5th Avenue, New York, NY. Meet outside the 143rd StreetConstruction Entrance, by the Security Guard. Hard hats and OSHA-compliant Construction Shoes are mandatory. Prospective bidders areurged to visit the site at this time. Prospective bidders or theirrepresentatives attending the pre-bid site visit will not be admitted onfacility grounds without proper photo identification. Note that parkingrestrictions and security provisions will apply and all vehicles will besubject to search.

Phone the office of Robin Griffiths, (845) 365-0730 a minimum of24 hours in advance of the date to provide the names of those who willattend the pre-bid site visit.

Pursuant to New York State Executive Law Article 15-A and therules and regulations promulgated thereunder, OGS is required topromote opportunities for the maximum feasible participation of NewYork State-certified Minority- and Women-owned Business Enter-prises (“MWBEs”) and the employment of minority group membersand women in the performance of OGS contracts. All bidders areexpected to cooperate in implementing this policy. OGS herebyestablishes an overall goal of 30% for MWBE participation, 15% forMinority-Owned Business Enterprises (“MBE”) participation and15% for Women-Owned Business Enterprises (“WBE”) participation(based on the current availability of qualified MBEs and WBEs). Thetotal contract goal can be obtained by utilizing any combination ofMBE and /or WBE participation for subcontracting and suppliesacquired under this Contract.

The Office of General Services reserves the right to reject any or allbids.

The Bidding and Contract Documents for this Project are availableon compact disc (CD) only, and may be obtained for an $8.00 depositper set, plus a $2.00 per set shipping and handling fee. Contractorsand other interested parties can order CD’s on-line through a secureweb interface available 24 hours a day, 7 days a week. Please use thefollowing link for ordering and payment instructions: http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp

For questions about purchase of bid documents, please send ane-mail to [email protected], or call (518) 474-0203.

155

http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

http://www.ogs.ny.gov/aboutOGS/regulations/defaultAdvisoryCouncil.html

http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp

http://www.ogs.ny.gov/bu/dc/esb/acquirebid.asp

For additional information on this project, please use the link belowand then click on the project number: https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp

By John D. Lewyckyj, Deputy DirectorOGS - Design & Construction Group

NYS Register/January 30, 2019Advertisements for Bidders/Contractors

156

https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp

https://online.ogs.ny.gov/dnc/contractorConsultant/esb/ESBPlansAvailableIndex.asp

MISCELLANEOUSNOTICES/HEARINGS

Notice of Abandoned PropertyReceived by the State Comptroller

Pursuant to provisions of the Abandoned Property Law and relatedlaws, the Office of the State Comptroller receives unclaimed moniesand other property deemed abandoned. A list of the names and lastknown addresses of the entitled owners of this abandoned property ismaintained by the office in accordance with Section 1401 of theAbandoned Property Law. Interested parties may inquire if they ap-pear on the Abandoned Property Listing by contacting the Office ofUnclaimed Funds, Monday through Friday from 8:00 a.m. to 4:30p.m., at:

1-800-221-9311or visit our web site at:

www.osc.state.ny.us

Claims for abandoned property must be filed with the New YorkState Comptroller’s Office of Unclaimed Funds as provided in Section1406 of the Abandoned Property Law. For further information contact:Office of the State Comptroller, Office of Unclaimed Funds, 110 StateSt., Albany, NY 12236.

PUBLIC NOTICEDepartment of Civil Service

PURSUANT to the Open Meetings Law, the New York State CivilService Commission hereby gives public notice of the following:

Please take notice that the regular monthly meeting of the StateCivil Service Commission for February 2019 will be conducted onFebruary 13 and February 14 commencing at 10:00 a.m. This meetingwill be conducted at NYS Media Services Center, Suite 146, SouthConcourse, Empire State Plaza, Albany, NY with live coverage avail-able at https://www.cs.ny.gov/commission/

For further information, contact: Office of Commission Opera-tions, Department of Civil Service, Empire State Plaza, Agency Bldg.One, Albany, NY 12239 (518) 473-6598

PUBLIC NOTICEDepartment of Health

Pursuant to 42 CFR Section 447.205, the Department of Healthhereby gives public notice of the following:

The Department of Health proposes to amend the Title XIX(Medicaid) State Plan for non-institutional services. The followingchanges are proposed:

Non-Institutional Services

Effective on or after February 1, 2019, this notice proposes toamend the New York State Plan to add conditions to the Health Homeauthority to ensure that any child eligible for Home and Community-Based Services (HCBS) under a waiver, demonstration or State Planauthority will be eligible to receive comprehensive care managementunder the Health Home authority. All children receiving HCBS al-ready receive care management under the existing HCBS authorities.

There is no additional estimated annual change to gross Medicaidexpenditures as a result of the clarifying proposed amendments.

The public is invited to review and comment on this proposed StatePlan Amendment, a copy of which will be available for public review

on the Department’s website at http://www.health.ny.gov/regulations/state_plans/status. Individuals without Internet access may view theState Plan Amendments at any local (county) social services district.

For the New York City district, copies will be available at the fol-lowing places:

New York County250 Church StreetNew York, New York 10018

Queens County, Queens Center3220 Northern BoulevardLong Island City, New York 11101

Kings County, Fulton Center114 Willoughby StreetBrooklyn, New York 11201

Bronx County, Tremont Center1916 Monterey AvenueBronx, New York 10457

Richmond County, Richmond Center95 Central Avenue, St. GeorgeStaten Island, New York 10301

For further information and to review and comment, please contact:Department of Health Division of Finance and Rate Setting, 99Washington Ave., One Commerce Plaza, Suite 1432, Albany, NY12210, [email protected]

PUBLIC NOTICENew York Homes and Community Renewal

Consolidated Annual Performance and Evaluation Report

In accordance with the provisions of the National Affordable Hous-ing Act, the State of New York is making a draft of its ConsolidatedAnnual Performance and Evaluation Report (CAPER) for programyear 2018 available for public comment. The CAPER analyzes NewYork States’ progress in implementing its HUD-approved Annual Ac-tion Plan for 2018. The public is invited to review the draft New YorkState CAPER and to offer comments on the document. The draft 2018CAPER, as published for public comment, will be available duringthe public comment period on the New York State Homes and Com-munity Renewal (HCR) website at www.nyshcr.org. In addition, cop-ies can be requested by e-mail at [email protected] or bytelephoning 1-518-486-3452. The public comment period will beginon Monday, February 18, 2019 and end on Monday, March 4, 2019.Written comments must be postmarked no later than March 4, 2019and addressed to Rachel Yerdon, HCR, Hampton Plaza, 38-40 StateSt., Albany, NY 12207. E-mail comments must be sent be that dateand e-mailed to: [email protected]

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http://www.health.ny.gov/regulations/state_plans/status

http://www.health.ny.gov/regulations/state_plans/status

PUBLIC NOTICEMadison County

Pursuant to Section 120-W of the New York State General Munici-pal Law, Madison County hereby gives notice that it is issuing a FinalRequest For Proposals (RFP 0519) on January 30, 2019 to requestcomments from companies that are interested in developing a facilityin the County’s Agriculture and Renewable Energy (ARE) Park lo-cated in the Town of Lincoln at the County’s landfill site on BuyeaRoad that will use non-recyclable plastic material from MadisonCounty and elsewhere to produce energy products. Interested compa-nies may access the Final RFP at https://www.madisoncounty.ny.gov/bids.aspx. The deadline for written proposals is April 30, 2019. Con-tact person: Laurie Winters, Madison County Purchasing Director,(315) 366-2247, e-mail: [email protected]

PUBLIC NOTICENew York City Deferred Compensation Plan & NYCE IRA

The New York City Deferred Compensation Plan & NYCE IRA(the “Plan”) is seeking proposals from insurance consultants orbrokers to provide a range of consulting services in the area of cyberinsurance. The Request for Proposals (“RFP”) will be available begin-ning on Thursday, January 10, 2019. Responses are due no later than4:30 p.m. Eastern Time on Tuesday, February 12, 2019. To obtain acopy of the RFP, please visit www1.nyc.gov/site/olr/about/about-rfp.page and download the RFP along with the applicable documents.

If you have any questions, please submit them by fax to GeorgetteGestely, Director, at (212) 306-7376.

Consistent with the policies expressed by the City, proposals fromNew York City certified minority-owned and/or women-owned busi-nesses or proposals that include partnering arrangements with NewYork City certified minority-owned and/or women-owned firms areencouraged. Additionally, proposals from small and New York City-based businesses are also encouraged.

PUBLIC NOTICETown of Ramapo, New York

The Town of Ramapo is soliciting proposals from AdministrativeService Agencies, Trustees, and Financial Organization for services inconnection with a Deferred Compensation Plan that will meet therequirements of Section 457 of the Internal Revenue Code and Sec-tion 5 of the State Finance Law, including all rules and regulations is-sued pursuant thereto.

A copy of the proposal questionnaire may be obtained from: LindaM. Condon, Plan Administrator, Town of Ramapo, 237 Rte. 59, Suf-fern, NY 10901 or by email at [email protected]

All proposals must be submitted not later than 30 days from thedate of publication in the New York State Register.

PUBLIC NOTICEDepartment of State

F-2018-1018Date of Issuance – January 30, 2019

The New York State Department of State (DOS) is required byFederal regulations to provide timely public notice for the activitiesdescribed below, which are subject to the consistency provisions ofthe Federal Coastal Zone Management Act of 1972, as amended.

The applicant has certified that the proposed activities comply withand will be conducted in a manner consistent to the maximum extentpracticable with the federally approved New York State CoastalManagement Program (NYSCMP). The applicant’s consistency certi-fication and accompanying public information and data are availablefor inspection at the New York State Department of State offices lo-cated at One Commerce Plaza, 99 Washington Avenue, in Albany,New York.

In F-2018-1018, the applicant, Bardo, LLC/ JovPaul RealtyCorporation, is seeking authorizations to 1) remove two existing docks

and their creosote piles at the East Mill Basin that suffered damageduring Hurricane Sandy and are deterioration; to 2) construct a newcommercial dock and private float with associated pilings. The newcommercial dock would provide storage (mooring) for (18) eighteenboats and the applicant states this would increase water access for theMill Basin community. The project site is located at 2210 East 69thStreet and 6807 Avenue V, Block 8437, Lots 34 and 36 and Block8428, Lot 1, Brooklyn, County of Kings, NY.

According to the information submitted to the Department of State,the site currently consists of two docks and creosote piles totaling2,575 square feet. The upland property consists of a commercial build-ing and parking. The new dock would attach to the northwest edge ofthe upland property and would run southeast. The new private floatwould attach to the southeastern edge of the property. New pilingswould not contain creosote. After removal of the existing structures,approximately (61) sixty-one piles, 12 inches in diameter each wouldbe driven with an impact hammer for support of the new dock. No ad-ditional fill or dredging is proposed.

The new structures would occupy 3,916 square feet with 3,863square feet over the water. This would result in a net increase in areaof over water coverage. The size and draft of new vessels to be mooredat the site is not stated in the application as submitted to the Depart-ment of State.

The proposed activities would be undertaken within the New YorkCity Waterfront Revitalization Program (WRP) planning area. As theWRP is a component of the NYSCMP, activities under federal permit-ting authority are also subject to review for their consistency with thelocal program and its specific provisions and policies. More informa-tion regarding the WRP and its policies may be found at: https://docs.dos.ny.gov/opd-lwrp/ LWRP/New%20York%20City/IndexAmd2.html

Any interested parties and/or agencies desiring to express theirviews concerning any of the above proposed activities may do so byfiling their comments, in writing, no later than 4:30 p.m., 15 days fromthe date of publication of this notice or February14, 2019.

Comments should be addressed to the Department of State, Officeof Planning and Development and Community Infrastructure, Consis-tency Review Unit, One Commerce Plaza, Suite 1010, 99 WashingtonAve., Albany, NY 12231, (518) 474-6000, Fax (518) 473-2464. Com-ments can also be submitted electronically via e-mail to:[email protected]

This notice is promulgated in accordance with Title 15, Code ofFederal Regulations, Part 930.


ProclamationRevoking Limited Liability Partnerships

WHEREAS, Article 8-B of the Partnership Law, requires registeredlimited liability partnerships and New York registered foreign limitedliability partnerships to furnish the Department of State with a state-ment every five years updating specified information, and

WHEREAS, the following registered limited liability partnerships andNew York registered foreign limited liability partnerships have notfurnished the department with the required statement, and

W HEREAS, such registered limited liability partnerships and NewYork registered foreign limited liability partnerships have beenprovided with 60 days notice of this action;

NOW, THEREFORE, I, Rossana Rosado, Secretary of State of theState of New York, do declare and proclaim that the registrations ofthe following registered limited liability partnerships are herebyrevoked and the status of the following New York foreign limited li-ability partnerships are hereby revoked pursuant to the provisions ofArticle 8-B of the Partnership Law, as amended:

DOMESTIC REGISTERED

LIMITED LIABILITY PARTNERSHIPS

A

NYS Register/January 30, 2019Miscellaneous Notices/Hearings

158

ABBE & LAMARCO CPA’S., LLP (08)

ALLEVA & KELLERMANN CPA’S LLP (13)

APPELBAUM, FARKASH & WALDMAN, LLP (98)

ARLIA & ASSOCIATES CPA’S LLP (08)

B

BOGAL & KAHN LLP (13)

BOLATTI & GRIFFITH, LLP (98)

BOURNE & ZAKHEIM LLP (13)

BOURNE & ZAKHEIM LLP (13)

BREW & EPSTEIN, LLP (08)

C

CANTOR, COSCIA & SCHUSTAL, LLP (98)

CHAMBERLAIN D’AMANDA OPPENHEIMER & GREEN-FIELD, LLP (03)

COHEN LANS LLP (03)

D

D. SMITH & ASSOCIATES, LLP (03)

D’ERRICO DREEBEN, LLP (03)

DEL VECCHIO & PACOR, LLP (13)

DESANTIS & PELLECCHIA, LLP (03)

DIMAGGIO & ROCCAMO, CPA’S, LLP (08)

DUBIN & DUBIN, LLP (08)

F

FERBER CHAN ESSNER & COLLER, LLP (98)

FREY & KOZAK, LLP (13)

G

GLEIT & DUSZAK, LLP (13)

GOSSEL KRIEGER LLP (98)

H

HAYT, HAYT & LANDAU LLP (03)

HERSHMAN & LEICHER, LLP (03)

K

KBL, LLP (03)

L

LAW OFFICE OF MICHAEL DELUCA, LLP (13)

LIANG & FRANK LLP (13)

M

MAD ABACUS, L.L.P. (13)

MANHASSET PHYSICAL THERAPY ASSOCIATES L.L.P. (08)

MARKOWITZ, FENELON & BANK, LLP (98)

MATERA & ELBERT, LLP (13)

MOLINA THE PT, LLP (13)

N

NAPOLI, BERN, KRENTSEL & GUZMAN, LLP (03)

O

ORTHOPAEDIC ASSOCIATES OF GREAT NECK, LLP (98)

P

PAIN MEDICINE AND WELLNESS CENTER OF NEW YORK,LLP (98)

PENINO & MOYNIHAN, LLP (98)

POSNER & GOULD LLP (08)

PRICE WATERHOUSE LLP (98)

Q

QUEENS REHABILITATION CENTER LLP (98)

R

REGINA M. MCGOWAN, LLP (03)

RICONDA & GARNETT, LLP (98)

RO MEDICAL GROUP, LLP (08)

ROBERT L. FOLKS & ASSOCIATES, LLP (98)

ROURA, MELAMED, SHANNON, LLP (98)

S

SAITO & SORENSON LLP (13)

SCHWARTZ & KRYSINSKI, LLP (08)

SMALLMAN & HANS LLP (08)

STERNBACH, LAWLOR & RELLA LLP (13)

T

THE WALDON LAW GROUP, LLP (08)

THOMAS, SPIKES & EMEFIEH, LLP (08)

U

ULLOA STEPHENS & CASTILLO LLP (13)

Y

YRA ASSOCIATES LLP (98)

FOREIGN REGISTERED

LIMITED LIABILITY PARTNERSHIPS

B

BALLARD SPAHR LLP (13) (PA)

D

DAVIDSON & GRANNUM, LLP (13) (NY)

DAVIDSON, DOYLE & HILTON, LLP (13) (VA)

E

ESPINOSA & ESPINOSA, L.L.P. (08) (NJ)

L

LAW OFFICES OF NAPOLI BERN RIPKA & ASSOCIATES LLP(13) (DE)

LAW OFFICES OF NAPOLI BERN RIPKA SHKOLNIK LLP (13)(DE)

LAW OFFICES OF NAPOLI BERN, LLP (13) (DE)

R

REICH, LANZA AND EBELING, LLP (13) (DE)

S

SPEIGHTS & WORRICH NEW JERSEY, LLP (13) (TX)

T

THE MCCANN LAW GROUP, LLP (13) (FL)

TSA OF MASSACHUSETTS, LLP (03) (MA)

[SEAL] WITNESS my hand and the official sealof the Department of State at its office inthe City of Albany this 30th day of Janu-ary in the year two thousand nineteen.

ROSSANA ROSADO

Secretary of State


Uniform Code Variance / Appeal Petitions

Pursuant to 19 NYCRR Part 1205, the variance and appeal petitionsbelow have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2018-0403 Matter of Mark Vincent Kruse, Achitect, AIA, 308 EastMeadow Avenue, East Meadow, NY 11554, for a variance concerningfire safety requirements, including ceiling heights and stairwayprofiles. Involved is an existing one family dwelling located at 36North Court, Town of North Hempstead, County of Nassau, State ofNew York.

2018-0404 Matter of Christina Fry, Esq., Seven Pine Ridge Drive,Smithtown, NY 11787 for a variance concerning fire safety require-

NYS Register/January 30, 2019 Miscellaneous Notices/Hearings

159

ments, including the requirement for an automatic fire sprinklerinstallation. Involved is an existing mixed used building of businessand one family occupancy located at or about 529 South Oyster BayRoad, Town of Oyster Bay, County of Nassau, State of New York.

2018-0419 Matter of Salman Sheikh, 77 Shepard Lane, RoslynHeights, NY 11570, for a variance concerning fire safety requirements,including ceiling heights. Involved is an existing one or two familydwelling located at 200 Marcus Avenue, Town of North Hempstead,County of Nassau, State of New York.

2018-0489 Matter of Domingo Mucia, 27 Hoff Court, Hempstead,NY 11550, for a variance concerning fire safety requirements, includ-ing ceiling heights. Involved is an existing one family dwelling lo-cated at 27 Hoff Court, Incorporated Village of Hempstead, County ofNassau, State of New York.


Uniform Code Variance / Appeal PetitionsPursuant to 19 NYCRR Part 1205, the variance and appeal petitions

below have been received by the Department of State. Unless other-wise indicated, they involve requests for relief from provisions of theNew York State Uniform Fire Prevention and Building Code. Personswishing to review any petitions, provide comments, or receive actualnotices of any subsequent proceeding may contact Brian Tollisen orNeil Collier, Building Standards and Codes, Department of State, OneCommerce Plaza, 99 Washington Ave., Albany, NY 12231, (518) 474-4073 to make appropriate arrangements.

2019-0006 Matter of Powell and Associates, Robert T. Powell, P.O.Box 438, West Stockbridge, MA 01266, for a variance concerningsafety requirements, including the required height under a girder/soffit.Involved is existing one family dwelling, located at 159 Sherman Av-enue, Village of Rockville Ctr, County of Nassau, State of New York.

2019-0010 Matter of DEF Management LLC., Diego E. Fuschetto,15 Buckram Road, Locust Valley, NY 11560, for a variance concern-ing safety requirements, including; the requirements for a sprinkler in-stallation throughout. Involved is existing one family dwelling, lo-cated at 406 Centre Island Road, Village of Centre Island, County ofNassau, State of New York.

2019-0020 Matter of Woodhull Expediting, Amy M. Devito, 332Woodhull Avenue, Port Jefferson Station, NY 11776, for a varianceconcerning safety requirements, including the required height under agirder/soffit. Involved is existing single family dwelling, located at 11Wheat Path, Town of Brookhaven, County of Suffolk, State of NewYork.

2019-0032 Matter of Katherine Bucking, 273 George Street, WestIslip, NY 11795, for a variance concerning safety requirements,including the required height under a girder/soffit. Involved is existingsingle family dwelling, located at 273 George Street, Town of Islip,County of Suffolk, State of New York.




2019-0039 In the matter of Roberts Rentals, Robert D. Terry, 312Washington Street, Ithaca, NY 14850 concerning safety requirementsincluding a variance for reduction in required height of existinghandrails and guardrails.

Involved is the certificate of compliance inspection of an existingresidential occupancy, two stories in height, located at 412 WestSeneca Street, City of Ithaca, County of Tompkins, New York.

2019-0040 In the matter of Vincent Mulcahy, 3 Fountain Place,Ithaca, NY 14850 concerning safety requirements including a vari-ance for reduction in required height of existing exterior porchguardrails.

Involved is the certificate of compliance inspection of an existingresidential occupancy, three stories in height, located at 502 NorthTioga Street, City of Ithaca, County of Tompkins, New York.




2019-0045 In the matter of Ernest Hauser, 1941 Canal Road,Hamilton, Ohio 45011 concerning safety requirements including avariance for reduction in required height of existing interior handrailsand guardrails.

Involved is the certificate of compliance inspection of an existingresidential occupancy, three stories in height, located at 405 SouthAlbany Street, City of Ithaca, County of Tompkins, New York.

2019-0046 In the matter of Destiny USA Holdings, LLC. RobertSchoeneck, 9090 Destiny Usa Drive, Syracuse, NY 13204 concerningsafety requirements including a variance for requirements for exitramps within a tenant space for a Laser Tag Arena.

Involved is the alteration of an existing assembly occupancy knownas “Apex Entertainment at Destiny USA” within a covered mall lo-cated at 306 West Hiawatha Boulevard, City of Syracuse, County ofOnondaga, New York.




2019-0047 In the matter of Paul Wu & Emily Vogel, Four EvergreenLane, Ithaca, NY 14850 concerning safety requirements including avariance for reduction in required height of existing exterior porchguardrails.

Involved is the certificate of compliance inspection of an existingresidential occupancy, three stories in height, located at 442 NorthGeneva Street, City of Ithaca, County of Tompkins, New York.

2019-0048 In the matter of Paul Wu & Emily Vogel, Four EvergreenLane, Ithaca, NY 14850 concerning safety requirements including avariance for reduction in required height of existing exterior porchguardrails.

Involved is the certificate of compliance inspection of an existingresidential occupancy, two stories in height, located at 242 Floral Ave-nue, City of Ithaca, County of Tompkins, New York.

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NYS Register/January 30, 2019Financial Reports

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