As required by Chapter 262 of the Laws of 1996, the following is a list of rules which were adopted by the State Commission of Correction in calendar years 2001, 2006, 2011, and 2016 which must be reviewed in calendar year 2021. Public comment on the continuation or modification of these rules is invited. Comments should be received by April 1, 2021. Comments may be directed to: Brielle Christian, Senior Attorney A.E. Smith State Office Building, 80 S. Swan Street, 12th Floor, Albany, New York 12210-8001.

CMC-03-01-00002 Amendment of subdivision (a) of section 7028.2 and subdivision (c) of section 7028.4 of Title 9 NYCRR.

Analysis of the need for the rule: The rule is needed to clarify the situations when outdoor exercise at local correctional facilities may be canceled.

Legal basis for the rule: Correction Law section 45(6).

CMC-43-00-0005 Amendment of section 7621.6, renumber 7621.7-11 to be 7621.8-12 and addition of new section 7621.7 of Title 9 NYCRR.

Analysis of the need for the rule: The rule is needed to provide minimum standards for the use of double occupancy housing units originally designated and constructed for double occupancy.

Legal basis for the rule: Correction Law section 45(6).

CMC-06-11-00001-P Amendment of section 7003.10 of Title 9 NYCRR.

Analysis of the need for the rule: The rule is needed to extend the intervals within which locks and securing devices must be inspected.

Legal basis for the rule: Correction Law sections 45(6) and 45(15).

CMC-06-11-00002-P Amendment of section7063.6 of Title 9 NYCRR.

Analysis of the need for the rule: The rule is needed to extend the intervals within which certain chemical agents must be inspected.

Legal basis for the rule: Correction Law sections 45(6) and 45(15).

CMC-45-15-00024-A Amendment of sections 7022.3, 7022.4, 7406.3, 7406.4 and 7508.2 of Title 9 NYCRR.

Analysis of the need for the rule: The rule is needed to allow electronic filing of reportable incidents to the Commission of Correction.

Legal basis for the rule: Correction Law sections 45(6), 45(6-b), 45(15) and 47(2).

Introduction

Each year, pursuant to SAPA, the Department publishes a Review of Rules in the State Register and on its website. This is a review of Department rules adopted 3 years previous.

SAPA Section 207 -- 3-Year Rule Review

The following rules were adopted by the New York State Department of Environmental Conservation (Department) during 2018, and pursuant to SAPA Section 207 have been reviewed. Comments on the rules that are being amended this year should be directed to the contact person listed in the main body of the Regulatory Agenda. Comments on any rules that are not being changed at this time will be accepted for 45 days from the date of publication in the State Register and should be directed to the regulatory coordinator for the appropriate program, as listed below the rules.

Division of Air Resources

6 NYCRR Part 232, “Dry Cleaning Facilities.” Statutory authority: Environmental Conservation Law Sections 3-0301, 3-0303, 19-0103, 19-0105, 19-0107, 19-0301, 19-0302, 19-0303, 19-0305, 71-2103, and 71-2105. Part 232 was updated for consistency with federal requirements and amended to improve compliance and program delivery; reduce perc and alternative solvent emissions to the environment; address advancements in technology and changes in the industry regarding the use of alternative dry cleaning solvents; and finally prohibit the use of perc in dry cleaning machines at co-located residential facilities after December 21, 2020. No amendments are planned at this time.

6 NYCRR Part 243, “CSAPR NOx Ozone Season Group 2 Trading Program,” 6 NYCRR Part 244, “CSAPR NOx Annual Trading Program,” 6 NYCRR Part 245 “CSAPR SO2 Group 1 Trading Program” and 6 NYCRR Part 200, “General Provisions.” Statutory authority: Environmental Conservation Law Sections 1-0101, 3-0301, 19-0103, 19-0105, 19-0107, 19-0301, 19-0302, 19-0303, 19-0305, 19-0311, 71-2103 and 71-2105. On September 7, 2016, EPA finalized the Cross-State Air Pollution Rule (CSAPR) Update to address the air quality impacts that result from the interstate transport of ozone air pollution in the eastern United States, particularly the transport of Ozone Season NOx. In the December 19, 2018 rulemaking the Department repealed and replaced existing Parts 243, 244 and 245 to address issues raised by EPA and to conform new Parts 243, 244 and 245 to CSAPR Update. No amendments are planned at this time.

Contact: Richard McAuley, Regulatory Coordinator for the Division of Air Resources, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-3258. Telephone: 518-402-8438. E-mail: [email protected]

Division of Environmental Permits

6 NYCRR Part 617, State Environmental Quality Review Act. Statutory authority: Environmental Conservation Law Sections 3-0301(1)(b), 3- 0301(2)(m) and 8-0113. In June of 2018 the Department adopted amendments to the SEQR regulations with the intent to streamline and improve the SEQR process without sacrificing meaningful environmental review. The amendments expand the statewide Type II list of activities (actions not subject to further review under SEQR), modify certain thresholds in the Type I list of actions (actions deemed more likely to require the preparation of an environmental impact statement (EIS)), make scoping of environmental impact statements mandatory, better define the acceptance procedures for draft EISs, and modify section 617.9 (b)(5)(iii)(i) to include, where applicable and significant, discussion in an EIS of measures to avoid or reduce both an action’s environmental impacts and vulnerability from the effects of climate change such as sea level rise and flooding. The Department has not received many comments regarding issues with compliance or implementation of amendments since the amendments were adopted and is not planning any additional amendments at this time.

Contact: James Eldred, Regulatory Coordinator for the Division of Environmental Permits, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-1750. Telephone: 518-402-9158. E-mail: [email protected]

Division of Fish and Wildlife

6 NYCRR NY Part 3.1 and 3.2, Pertaining to the harvest of diamondback terrapins. Statutory authority: Environmental Conservation Law Sections 11-0107, 11-0905, 11-0103, 11-0311, 11-0535 and 11-0536. Commercial harvest of diamondback terrapins was identified as one of the threats to the species across its range. New York was the only state still allowing commercial take. Part 3.1 was repealed to close the open season for commercial trapping of diamondback terrapins. Part 3.2 was amended to add the eastern diamondback terrapin to the list of native New York turtle species considered small game with no open season. This will give the species protection from taking without a special license. No further action is being undertaken.

Contact: Ashley Ferrusi, Regulatory Coordinator for the Division of Fish and Wildlife, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-4750. Telephone: (518) 402-8924. E-mail: [email protected]

Office of Climate Change

6 NYCRR Part 492, Climate Smart Communities Projects. Statutory Authority: Environmental Conservation Law (ECL) Article 54, Title 15. Part 492 establishes procedures to implement climate smart communities projects per ECL Article 54, Title 15. The rule is effective as written and requires no amendment.

Contact: Suzanne Hagell, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-3258. Telephone: 518-402-8448. E-mail: [email protected]. Please include the Part number when emailing.

Division of Lands and Forests

6 NYCRR Section 190.35, Peekamoose Valley Riparian Corridor. Statutory authority: ECL sections 1-0101(3)(b), 3-0301(1)(b), 3-0301(1)(d), 3-0301(2)(m), 9-0105(1) and 9-105(3). This regulation was amended in 2018 to establish a permit system for weekends and holidays to protect public safety and natural resources on this corridor. It will be amended again in the upcoming year to expand the permit system to address continued public safety and natural resource degradation issues.

6 NYCRR Section 190.36, Northern Catskill Riparian Areas. Statutory authority: Environmental Conservation Law, sections, 1-0101(3)(b), 3-0301(1)(b), 3-0301(1)(d), 3-0301(2)(m), 9-0105(1) and 9-0105(3). This regulation protects public safety and natural resources on the Northern Catskill Riparian Areas. No amendments to this regulation are planned for the coming year since implementation has been satisfactory.

6 NYCRR Section 192.7, Control of the Emerald Ash Borer. Statutory authority: Environmental Conservation sections 1-0101(3)(b), 1-0101(3)(d), 3-0301(1)(b), 3-0301(1)(d), 3-0301(2)(m), 9-0105(1), 9-0105(3) and 9-1303. This regulation was repealed in 2015. The regulation no longer served its purpose of slowing the spread of Emerald Ash Borer, therefore no additional rulemaking is necessary.

Contact: Linda Kashdan-Schrom, Regulatory Coordinator for the Division of Lands and Forests, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-4250. Telephone: 518-402-9417. Email: [email protected]

Division of Marine Resources

6 NYCRR Part 40, Marine Fish. Statutory authority: Environmental Conservation Law sections 11-0303, 13-0105 and 13-0340-f. Part 40 was amended to reduce the recreational harvest for black sea bass. This rulemaking was necessary to ensure New York State maintained compliance with the Atlantic States Marine Fisheries Commission Interstate Fishery Management Plan (FMP) for Black Sea Bass. Amendments to Part 40 will be proposed as necessary for New York to remain in compliance with federal rules and interstate fishery management plans.

6 NYCRR Part 40, Marine Fish. Statutory authority: Environmental Conservation Law sections 11-0303, 13-0105 and 13-0340-d. Part 40 was amended to reduce the recreational and commercial harvest for tautog. This rulemaking was necessary to ensure New York State maintained compliance with the Atlantic States Marine Fisheries Commission Interstate Fishery Management Plan (FMP) for Tautog. Amendments to Part 40 will be proposed as necessary for New York to remain in compliance with federal rules and interstate fishery management plans.

6 NYCRR Part 40, Marine Fish. Statutory authority: Environmental Conservation Law sections 11-0303, 13-0105, 13-0340-b, and 13-0340-e. Part 40 was amended to increase the recreational harvest limits for scup and summer flounder. This rulemaking was necessary to ensure New York State maintained compliance with the Atlantic States Marine Fisheries Commission Interstate Fishery Management Plan (FMP) for Scup and Summer Flounder. Amendments to Part 40 will be proposed as necessary for New York to remain in compliance with federal rules and interstate fishery management plans.

6 NYCRR Part 41, Sanitary Condition of Shellfish Lands. Statutory authority: Environmental Conservation Law sections 13-0307 and 13-0319. Part 41 was amended to reclassify underwater shellfish lands to protect public health. The amendments designated as uncertified (closed to shellfish harvest) either year-round or seasonally shellfish growing areas in the Towns of Hempstead, Southampton, East Hampton, and Southold; designated as certified (open to shellfish harvest) a growing area in the Town of Southold; and clarified the location of a closure description in the Town of Smithtown. Shellfish harvested from growing areas that fail to meet bacteriological water quality standards may cause illness in those individuals who consume them. Bacteriological water quality testing is an ongoing task; shellfish growing areas will be classified as necessary based on the results of the water quality studies. Amendments to Part 41 will be proposed as needed.

6 NYCRR Part 43, Surf Clam/Ocean Quahog Fishery Management. Statutory authority: Environmental Conservation Law section 13-0309. Part 43 was amended in order to reduce paperwork and streamline the surf clam permitting process. The amendment eliminated two out of three required shellfishing permits for those who harvest surf clams by mechanical means from waters other than the Atlantic Ocean. Amendments to Part 43 will be proposed as necessary for New York to remain in compliance with state laws and fishery management plans.

6 NYCRR Part 44, Lobsters and Crabs. Statutory authority: Environmental Conservation Law sections 11-0303, 13-105 and 13-0329. Part 44 was amended to repeal section 44.1(h) (3) of Title 6 NYCRR and expand lobster fishing opportunities. Amendments to Part 44 will be proposed as necessary for New York to remain in compliance with state laws and fishery management plans.

6 NYCRR Parts 44 and 50, Lobsters and Crabs; and Miscellaneous Marine Species. Statutory authority: Environmental Conservation Law sections 13-0330 and 13-0331. Parts 44 and 50 were amended to modify rules on terrapin excluder devices; horseshoe crab harvest limits; and whelk reporting. The amendments implemented requirements for terrapin excluder devices on crab traps; allowed two horseshoe crab permit holders to harvest from a single vessel; and required mandatory catch reporting for whelk permit holders. Amendments to Parts 44 and 50 will be proposed as necessary for New York to remain in compliance with state laws and fishery management plans.

6 NYCRR Part 49, Shellfish Management. Statutory authority: Environmental Conservation Law section 13-0327. Part 49 was amended to clarify size limit provisions for the taking of bay scallops. Amendments to Part 49 will be proposed as necessary for New York to remain in compliance with state laws and fishery management plans.

Contact: Carol Hoffman, Regulatory Coordinator for the Division of Marine Resources, New York State Department of Environmental Conservation, 205 North Belle Mead Road, Suite 1, East Setauket, NY 11733. Telephone: 631-444-0476. E-mail: [email protected]

Division of Materials Management

6 NYCRR Part 380, Prevention and Control of Environmental Pollution by Radioactive Materials. Statutory Authority: Environmental Conservation Law (ECL) Articles 1, 3, 17, 19, 27, 29 and 37. The 2018 amendments to Part 380 updated provisions that were required for compatibility with federal regulations and simplified and updated language for the purpose of improving clarity and filling regulating gaps. No further amendments to this Part are planned at this time.

Contact: Melissa Treers, Regulatory Coordinator for the Division of Material Management, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-7250. Telephone: 518-402-8678. E-mail: [email protected]

Introduction

Each year, pursuant to SAPA, the Department publishes a Review of Rules in the State Register and on its website. This is a review of Department rules adopted 5 years previous.

SAPA Section 207 -- 5-Year Rule Review

The following rules were adopted by the New York State Department of Environmental Conservation (Department) during 2016, and pursuant to SAPA Section 207 have been reviewed. Comments on the rules that are being amended this year should be directed to the contact person listed in the main body of the Regulatory Agenda. Comments on any rules that are not being changed at this time will be accepted for 45 days from the date of publication in the State Register and should be directed to the regulatory coordinator for the appropriate program, as listed below the rules.

Division of Air Resources

6 NYCRR Part 200, “General Provisions.” Statutory authority: Environmental Conservation Law Sections 1-0101, 3-0301, 19-0103, 19-0105, 19-0301, 19-0303, and 19-0305. In 2016, the Department undertook a rulemaking to accept delegation of new and updated federal New Source Performance Standards and National Emission Standards for Hazardous Air Pollutants. Doing so provided the Department with the legal authority to implement and enforce these federal regulations on behalf of the United States Environmental Protection Agency. The Department is working on a rulemaking to update the list of these federal rules as stated in the 2021 Regulatory Agenda.

6 NYCRR Part 218, “Emission Standards for Motor Vehicles and Motor Vehicle Engines.” Statutory Authority: Environmental Conservation Law Sections 1-0101, 1-0303, 3-0301, 19-0103, 19-0105, 19-0107, 19-0301, 19-0303, 19-0305, 19-1101, 19-1103, 19-1105, 71-2103, 71-2105; Federal Clean Air Act, § 177. Part 218 was amended in 2012, 2015, 2016, and 2020 to incorporate California's low emission vehicle (LEV), zero emission vehicle (ZEV), and greenhouse gas (GHG) new vehicle emission standards, and environmental performance label, aftermarket catalytic converter, and warranty requirements. These changes were necessary to maintain the federal Clean Air Act § 177 identicality requirement, to achieve necessary emission reductions for the attainment and maintenance of ozone and carbon monoxide standards, and to realize greenhouse gas emission reductions. The Department may amend Part 218 to include California’s latest revisions to their medium and heavy-duty truck standards including the Advanced Clean Truck program.

6 NYCRR Part 222, “Distributed Generation Sources.” Statutory Authority: Environmental Conservation Law Sections 1-0101, 3-0301, 19-0103, 19-0105, 19-0301, 19-0303, 19-0305, 19-0311, 71-2103 and 71-2105. The June 14, 2015 rulemaking established emission standards, monitoring requirements and record keeping requirements for certain Distributed Generation Sources in New York State. This rulemaking and associated regulations were repealed and replaced by subsequent rulemaking finalized on February 19, 2020. No further action is anticipated at this time.

Contact: Richard McAuley, Regulatory Coordinator for the Division of Air Resources, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-3258. Telephone: 518-402-8438. E-mail: [email protected]

Division of Environmental Remediation

6 NYCRR Part 375, Environmental Remediation Programs; Statutory Authority: Environmental Conservation Law (ECL) Sections 1-0101, 3-0301, ECL Article 27, Title 14. Part 375 was amended to meet statutory mandates in Part BB of Chapter 56 of the Laws of 2015, which amended and added new language to ECL Article 27, Title 14 (Brownfield Cleanup Program, BCP) and certain other laws. The proposal of these regulations resulted in amendments to the BCP law becoming effective on July 1, 2015. The amendments to Part 375 were adopted on July 4, 2016 and effective on August 12, 2016. They included (1) the addition of two new definitions, “affordable housing project” and “underutilized” in 6 NYCRR Subpart 375-3; (2) revisions to the existing “brownfield site” definition at 6 NYCRR 375-1.2(b) to meet the definition in the 2015 BCP law; and (3) deletion of 6 NYCRR 375-3.3(a)(1) to conform to the revised ‘brownfield site’ definition. No amendments will be made at this time. See 2021 Division of Environmental Remediation Regulatory Agenda regarding the next rule making for amendments to 6 NYCRR Part 375.

Contact: Jennifer Dawson, Regulatory Coordinator for the Division of Environmental Remediation, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-7012. Telephone: 518-402-9764. E-mail: [email protected]

Division of Fish and Wildlife

6 NYCRR Parts 1.11 and 1.18, Pertaining to Deer Hunting and the Issuance and Use of Deer Hunting Tags, and Part 1.31, Pertaining to Hunting Black Bear. Statutory Authority: Environmental Conservation Law Sections 11-0303, 11-0903, 11-0907. This rulemaking was necessary to: (1) provide additional opportunity to junior hunters by allowing them to take bear as well as deer during the youth firearms hunt over Columbus Day Weekend; (2) rescind an antlerless-only requirement established in 2015 during portions of the bow and muzzleloader season in some Wildlife Management Units (WMUs); (3) reduce the take of antlerless deer in WMUs 6F and 6J by allowing hunters to only take antlered deer during the early muzzleloader season to prevent further population decline and stimulate population growth; and (4) make a technical correction to clarify that bow/muzzleloader either-sex and antlerless-only deer tags may both be used during either bow or muzzleloader seasons by properly licensed hunters. There is a current regulatory proposal available for public comment through November 8, 2020 to expand deer hunting opportunity in the Southern Zone. While the regulations adopted in 2016 were effective at achieving the four objectives listed above, additional regulatory proposals are anticipated for 2021 to implement portions of the newly updated New York State Deer Management Plan.

6 NYCRR Sections 6.2 and 6.3, Pertaining to fisher trapping seasons and bag limits and general trapping regulations for furbearers. Statutory authority: Environmental Conservation Law Sections 3-0301, 11-0303, 11-0917, 11-1101, 11-1103, and 11-1105.This rulemaking was necessary to implement changes outlined in the New York State Fisher Management Plan including reducing the fisher trapping season from 46 days to 30 days in selected Adirondack Wildlife Management Units in northern New York and establishing a new six-day trapping season in select Wildlife Management Units in central and western New York. Revisions were also needed to the general trapping regulations to clarify the intent of the regulation and to make them easier for trappers to understand and law enforcement officers to implement. This regulation required trappers to obtain a special permit and submit a fisher carcass and information on trapping effort. After five years of data collection this special permit and associated biological and trapping effort data are no longer needed, so a regulatory proposal will be developed to repeal this requirement. No additional amendments to fisher seasons are planned at this time.

6 NYCRR Part 10, Sportfishing and Associated Activities. Statutory Authority: Environmental Conservation Law, sections 3-0301, 11-0303, 11-0305, 11-0317, 11-1301, 11-1303, 11-1316 and 11-1319. These amendments promote optimum fishing opportunity for public use consistent with resource conservations. The rule is effective as written and requires no amendment.

6 NYCRR Part 183, License Issuing Agents; 6 NYCRR Part 184, Wildlife Rehabilitation Licenses. Statutory Authority: Environmental Conservation Law Sections 11-0305, 11-0713, 11-0515, and 11-0919. The September14, 2016 Rulemaking removed regulatory requirements that excluded individuals with felonies from obtaining certain licenses and authorizations. These changes are effective as written and require no amendment.

Contact: Ashley Ferrusi, Regulatory Coordinator for the Division of Fish and Wildlife, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-4750. Telephone: (518) 402-8924. E-mail: [email protected]

Division of Lands and Forests

6 NYCRR Section 190.10, Croton Gorge Unique Area. Statutory authority: Environmental Conservation Law sections 1-0101(3)(b), 3-0301(1)(b), 3-0301(2(m), 9-0105(1) and 9-0105 (3). No amendments to this regulation are planned for the coming year.

6 NYCRR Section 190.35, Peekamoose Valley Riparian Corridor. Statutory authority: ECL sections 1-0101(3)(b), 3-0301(1)(b), 3-0301(1)(d), 3-0301(2)(m), 9-0105(1) and 9-0105(3). This regulation was amended in 2018 to establish a permit system for week-ends and holidays to protect public safety and natural resources on this corridor. Another amendment is needed in the upcoming year to expand the permit system to address continued public safety and natural resource degradation issues.

6 NYCRR Part 576, Aquatic Invasive Species Spread Prevention. Statutory authority: Environmental Conservation section 9-1710. This regulation requires that “reasonable precautions” are taken prior to placing watercraft into public waters to prevent the spread of Aquatic Invasive Species.

6 NYCRR Part 592, Procedures for Modifying or Extinguishing a Conservation Easement held by the NYS Department of Environmental Conservation. Statutory authority: Environmental Conservation sections 3-301(2) (m), 3-301(2) (v), 49-0301, 49-0303(1), 49-0305(7), 49-0307, 49-0307(2), 49-0307(3), 49-0307(2)(a), 49-0307(3)(a) and 49-0307(3)(d). This regulation establishes standards for the department to follow when modifying or extinguishing a conservation easement and provides for a formal public review process. The regulation will be amended in the upcoming year to clarify language in section 592.3, standards, regarding a net conservation benefit to the state.

Contact: Linda Kashdan-Schrom, Regulatory Coordinator for the Division of Lands and Forests, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-4250. Telephone: 518-402-9417. Email: [email protected]

Division of Marine Resources

6 NYCRR Part 40, Marine Fish. Statutory authority: Environmental Conservation Law sections 11-0303 and13-0340-f. Part 40 was amended to allow two fishers aboard a single vessel to possess and land the trip limit for black sea bass. This rulemaking was necessary to ensure the safety of black sea bass fishers. Amendments to Part 40 will be proposed as necessary for New York to remain in compliance with federal rules and interstate fishery management plans.

6 NYCRR Part 40, Marine Fish. Statutory authority: Environmental Conservation Law sections 11-0303, 13-0105 and 13-0340-f. Part 40 was amended to reduce the recreational harvest for black sea bass. This rulemaking was necessary to ensure New York State maintained compliance with the Atlantic States Marine Fisheries Commission Interstate Fishery Management Plan for Black Sea Bass. Amendments to Part 40 will be proposed as necessary for New York to remain in compliance with federal rules and interstate fishery management plans.

6 NYCRR Part 40, Marine Fish. Statutory authority: Environmental Conservation Law section 13-0333. Part 40 was amended to add the species menhaden and the menhaden trip limits to 6 NYCRR subdivision 40.1(i) Table B – Commercial Fishing. This rulemaking corrected a technical error in the regulations. Amendments to Part 40 will be proposed as necessary for New York to remain in compliance with federal rules and interstate fishery management plans.

6 NYCRR Part 41, Sanitary Condition of Shellfish Lands. Statutory authority: Environmental Conservation Law sections 11-0303,13-0307 and 13-0319. Part 41 was amended to designate as uncertified (closed to shellfish harvest) either year-round or seasonally shellfish growing areas in the Towns of Oyster Bay, Huntington, Brookhaven, Islip, Riverhead, Smithtown, Southold, Southampton, and East Hampton. Shellfish harvested from growing areas that fail to meet bacteriological water quality standards may cause illness in those individuals who consume them. Bacteriological water quality testing is an ongoing task; shellfish growing areas will be classified as necessary based on the results of the water quality studies. Amendments to Part 41 will be proposed as needed.

6 NYCRR Part 43, Surf Clam/Ocean Quahog Fishery Management. Statutory authority: Environmental Conservation Law section 13-0309. Subparts 43-2 and 43-3 were amended to prevent a single vessel in the surf clam fishery from catching more than one individual fishing quota in a calendar year to be consistent with the management measures of the NY State Fishery Management Plan for the Atlantic Ocean surf clam fishery. Amendments to Part 43 will be proposed as necessary for New York to remain in compliance with state laws and fishery management plans.

Contact: Carol Hoffman, Regulatory Coordinator for the Division of Marine Resources, New York State Department of Environmental Conservation, 205 North Belle Mead Road, Suite 1, East Setauket, NY 11733. Telephone: 631-444-0476. E-mail: [email protected]

Division of Water

Revised provisions of Part 750 and Part 621 of Title 6 of the New York Codes of Rules and Regulations. Statutory Authority: ECL: 1-0101(3)(b); 3-0301(1)(b); 3-0301 (1)(t); 3-0301(2)(m); 17-0303(3); 17-0803; 17-0804 and 17-0826-a In accordance with SPRTK, the revised Part 750 regulations require owners and operators of publicly owned treatment works (“POTWs”) and publicly owned sewer systems (“POSSs”) to report untreated and partially treated sewage discharges to DEC and the local health department, or if there is none, the New York State Department of Health, immediately, but in no case later than two hours from discovery of the discharge, and to the general public in no more than four hours using DEC approved electronic media. No amendments are currently being considered.

Contact: Michelle Tompkins, Regulatory Coordinator for the Division of Water, New York State Department of Environmental Conservation, 625 Broadway, Albany, NY 12233-3500. Telephone: 518-402-8221. E-mail: [email protected].

Pursuant to SAPA section 207, the Law Department submits the following list of its rules that were adopted during calendar year 2016 and invites public comment on the continuation or modification of such rules. Comments should be sent to the respective agency representative listed below for each particular rule, and must be received within 45 days of the date of publication of this Notice.

RULES ADOPTED OR REVISED IN 2016

(1) LAW-47-15-00007-RP Certification of Protections for Senior and Disabled Tenants During Condominium or Cooperative Ownership Conversions

Addition of sections 18.1(e)(5), (6), 18.5(e)(10), 23.1(e)(5), (6) and 23.5(e)(10); and the amendment of sections 18.3(d), (l), 23.3(d), (m), and (n)(8) of Title 13 NYCRR.

Analysis of the need for the rule: To clarify the Martin Act’s non-purchasing tenant protections for eligible senior citizens and eligible disabled persons.

Legal basis for the rule: General Business Law, Section 352-e(6)

(2) LAW-49-15-00011-A Disclosure Requirement for Condominium Offerors Renting, Rather than Selling, Unsold Condominium Units

Amendment of Part 20 of Title 12 NYCRR

Analysis of the need for the rule: To clarify a condominium offeror’s disclosure obligations in a newly-constructed, vacant, or non-residential condominium.

Legal basis for the rule: General Business Law, Section 352-e(6)

(3) LAW-42-15-00015-A Digital Submission Requirements for Cooperative Interests in Realty

Amendment of Parts 18, 20, 21, 22, 23, 24 and 25 of Title 13 NYCRR.

Analysis of the need for the rule: To streamline the Department of Law’s regulations and internal operations while also reducing transaction costs and paper waste.

Legal basis for the rule: General Business Law, Section 352-e(6)

Agency Representative: Written comments concerning the continuation or modification of the above rule may be submitted to: Jackie Dischell, Bureau Chief, 28 Liberty Street, New York, NY 10005, (212) 416 8655, [email protected]

As required by section 207 of the State Administrative Procedure Act, the following is a list of rules that were adopted by the Department of Motor Vehicles in calendar years 2001, 2006, 2011 and 2016 which must be reviewed in calendar year 2021. Public comment on the continuation or modification of these rules is invited and will be accepted for 45 days from the date of publication in the State Register. Comments may be directed to: The Department of Motor Vehicles, Counsel's Office, 6 ESP, Room 522A, Albany, NY 12228.

2001

MTV-47-00-00009 - Part 48 - Transportation of Logs.

Analysis of the need for the rule: This regulation incorporated by reference the New York State Department of Transportation rules regarding securing loads on commercial motor vehicles. State DOT’s regulations incorporate by reference the federal standard for load securement. Incorporating DOT’s regulation insured that operators of such vehicles must comply with only one standard and also diminished confusion in the law enforcement community about the appropriate standard.

Legal basis for rule: Vehicle and Traffic Law sections 215(a) and 377(2).

MTV-52-00-00002 - Part 46 - Reflective tape on school buses.

Analysis of the need for the rule: This regulation was necessary to conform to Chapter 525 of the Laws of 1999, which required reflective tape on school buses. Its purpose was to make school buses more visible to the motoring public. Since the statute regarding this requirement is still in place, this rule remains necessary.

Legal basis for rule: Vehicle and Traffic Law sections 215(a) and 375(21-h).

MTV-26-01-00004 - Part 78 - Sale of special number plates by dealers.

Analysis of the need for the rule: This regulation was necessary to comply with Chapter 452 of the Laws of 2000, which provided that dealers could assist customers in obtaining custom plates from the DMV. The law authorized dealers to charge $5 for this service. The regulation required dealers to notify the customer of the $5 fee and the cost of the plate. Since the law is still in place, this regulation remains necessary.

Legal basis for rule: Vehicle and Traffic Law sections 215(a) and 403-b.

MTV-22-01-00003 - Parts 82 and 127- Procedures for Hearings.

Analysis of the need for the rule: The amendments to Parts 82 and 127 established uniform hearing procedures for all regulated parties: repair shops, dealers and inspection stations. The rule also conformed to Vehicle and Traffic Law section 415(9-a) to provide that if a dealer’s registration is suspended pending hearing, such hearing must be held within 10 days. Finally, the rule extended the time within which a fatal accident hearing must be held, from 6 to 12 months. In light of the large number of fatal accidents and the length of time it takes for law enforcement to fully investigate such accidents, this extension remains warranted.

Legal basis for rule: Vehicle and Traffic Law sections 215(a), 398(f)(1)(b), 398-g(2) and 415(9-a), and section 301 of the State Administrative Procedure Act.

MTV-32-01-00001 - Parts 121, 122, 123, 124 and 125 - Traffic Violation Bureau hearings.

Analysis of the need for the rule: This rule clarified procedures about how to answer summonses (by mail, phone or in person) and how to reschedule a hearing in the DMV’s Traffic Violation Bureaus. These amendments remain necessary to conform to TVB procedures.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a), 225(3), 226(1), 226(2) and 227(1).

MTV-33-01-00004 - Part 32 - Insurance identification cards.

Analysis of the need for the rule: This amendment made several technical amendments to the regulations governing insurance identification cards. Most significantly, it required the use of an encrypted two dimensional bar code. Since this bar code assists with weeding out fraudulent ID cards, the regulation remains necessary.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a), 311(10), 312(4) and (5), 319(3) and 370(1).

MTV-39-01-00025 - Part 35 - Enforcement of Motor Vehicle Liability Insurance Laws.

Analysis of the need for the rule: This regulation repealed and adopted a new Part 35, in relation to enforcement of the liability insurance rules. With the implementation of the Insurance Information Enforcement System (IIES), companies electronically report new policies and cancellations to the DMV. The amendments put motorists and insurers on notice about how the DMV notifies motorists about their failure to maintain insurance and the sanctions and penalties resulting from non-compliance. This rule is still valid and remains necessary.

Legal basis for the rule: Vehicle and Traffic Law 215(a), 312(4), 313(2)(c), 313(4), 318(1) and 319(1).

2006

MTV-04-06-00002 - Part 3 - Driver license requirements.

Analysis of the need for the rule: This regulation was adopted for three reasons. First, conforming regulatory changes were needed in light of Chapter 339 of 2005, which provided that a class D license is valid to operate a vehicle weighing up to 26,000 pounds. Thus, the O2 restriction was eliminated because it applied to trucks not exceeding 18,000 pounds. Second, chapter 60 of 2005 required that the tow truck endorsement should be “W,” not “CT.” Finally, an A3 restriction was created to provide that school bus and municipal drivers could hold a commercial driver’s license without complying with federal medical requirements. Superseding amendments have renamed that restriction “med cert,” but the scope of the restriction is still applicable.

Legal basis for rule: Vehicle and Traffic Law sections 215(a), 501 and 501-a.

MTV-27-06-00010 - Part 136 - Restoration of Commercial Driver’s licenses.

Analysis of the need for the rule: This regulation provides that if a person’s driver’s license is revoked and such person’s underlying non-commercial driver’s license is restored, then such person’s commercial driver’s license shall automatically be restored upon serving the minimum revocation period, unless such person commits additional violations of the law. A person whose license is revoked must apply for relicensure to the DMV upon serving the minimum period of revocation. The Commissioner conducts a thorough review of the person’s driving record under Part 136. If the non-commercial portion of the license is restored, the commercial portion of such license will remain revoked even if the underlying non-commercial portion is restored—usually the commercial portion is revoked for a longer period of time. However, once such person serves the minimum revocation period related to commercial license sanctions, that portion of the license is automatically restored because the Commissioner has already conducted a full Part 136 review. The regulation benefits the customer because he/she does not have to apply again and it benefits the DMV because employee resources are conserved.

Legal basis for rule: Vehicle and Traffic Law sections 215(a), 510(6)(a) and 1193(2)(c)(1).

2011

MTV-50-10-00002 - Part 131 - Points for Cell Phone Violations.

Analysis of the need for the rule: This regulation imposed two points for cell phone violations, because statistics demonstrated the serious highway safety risk posed by persons using cell phones while operating a motor vehicle. This regulation was superseded by subsequent regulatory amendments, resulting in the current assignment of 5 points for cell phone violations.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a) and 510(3)(i).

MTV-51-10-00006 - Part 77 - Private Service Bureaus.

Analysis of the need for the rule: This amendment required private service bureaus, which assist customers in obtaining licenses, registrations and titles, to post on their websites a disclaimer that the services they provide may be obtained for no additional charge directly from the Department of Motor Vehicles’ website. This regulation is still required, in order to notify customers of their options.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a) and 395.

MTV-51-10-00008 - Part 79 - Inspection of stretch limousines.

Analysis of the need for the rule: This amendment required stretch limousines carrying 10 or more passengers to be subject to the Department of Transportation’s stringent bus safety inspection. This regulation remains necessary in order to insure the structural integrity of stretch limousines.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a), 301(a), (c) and 302(a) and (c), and section 140 of the Transportation Law.

MTV-51-10-00010 - Part 160 - Fee for Driver’s Manual.

Analysis of the need for the rule: The regulation required entities to pay $1 for the cost of a driver’s manual; applicants for a learner’s permit would still obtain the manual for free. The $1 fee was necessary to defray the costs of publishing the manual, particularly bulk sales for the benefit of driving schools and the American Automobile Association (AAA). This regulation is still needed to defray the cost of producing the manual.

Legal basis for the rule: Vehicle and Traffic Law section 215(a) and Public Officers Law section 87(1)(b).

MTV-51-10-00023 - Part 136 - Relicensing After Revocation/ Problem Driver.

Analysis of the need for the rule: The regulation strengthened the provisions related to relicensing after revocation, particularly in relation to “problem drivers” and in reviewing out-of-state alcohol related convictions when reviewing a driver’s entire record. These amendments remain necessary and critical to the DMV’s mission of keeping dangerous drivers off of our State’s highways.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a), 510(6)(a) and 1193(2)(c).

MTV-19-11-00002 - Part 79 - Application for inspection station license.

Analysis of the need for the rule: This regulation limited the number of inspection stations in most counties in the State. Without such a limitation, the DMV was unable to audit and investigate such stations, in order to monitor their compliance with statutory and regulatory requirements. Non-compliance not only puts consumers at risk, but also threatens the State’s compliance with the federal Clean Air Act. Such Act, which requires the State to annually conduct a specified number of audits of each inspection station. This regulation remains necessary to ensure compliance with the Act and to provide consumer protection.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a), 301(a), (d)(1), 302(a), (e), 303(a)(1) and (d)(1).

MTV-31-11-00006 - Part 131 - Points for cell phone and texting violations.

Analysis of the need for the rule: This regulation increased the points for cell phone violations from 2 to 3 points and assigned 3 points for texting violations. This regulation was superseded by a subsequent regulation, resulting in the current assignment of 5 points for cell phone and texting violations.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a) and 510(3)(i).

2016

MTV-03-16-00005 – Part 78.9 – Use of the Vehicle Electronic Reassignment and Integrated Facility Inventory System.

Analysis of the need for the rule: This regulation requires vehicle dealers to use the Vehicle Electronic Reassignment and Integrated Facility Inventory (“VERIFI”) system. This system is part of the modernization of several paper-based processes performed by dealers. This amendment requires dealers to maintain electronic recordkeeping and transmission of information related to sale of vehicles by using the VERIFI system. This regulation remains necessary because it provides dealers with a simple, convenient way to perform required vehicle transactions.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a) and 415.215(a).

MTV-15-16-00009 – Part 78.3 - Enforcement of off premise sales regulation.

Analysis of the need for the rule: This regulation provides for enforcement of off premise sales regulation. This amendment sets forth that an applicant for a dealer registration must have and continuously maintain a place of business in the state and only a New York registered retail dealer may engage in buying and selling of vehicles at retail as a business in New York; and an application for registration shall be denied or if one has been approved such registration shall be subject to suspension, revocation and/or a civil penalty where the Commissioner has reasonable grounds to believe that such application has been or will be used for the purpose of circumventing the restrictions regarding sales away from premises. This regulation is necessary to maintain oversight of off-premises sales and provide for an enforcement mechanism for violations.

Legal basis for the rule: Vehicle and Traffic Law Sections 215(a) and 415.

MTV-18-16-00001 – Part 136.4 and 136.5 - Relicensing after revocation pursuant to a fatal accident hearing.

Analysis of the need for the rule: This rule authorizes the Commissioner to deny relicensure after revocation if such revocation is the result of either a fatal accident hearing conducted by a Department of Motor Vehicles’ Administrative Law Judge (ALJ) or a conviction in a Traffic Violations Bureau or court of competent jurisdiction, where such conviction arises out of a fatal accident. This regulation is necessary to continue to keep dangerous drivers off our State’s highways.

Legal basis for the rule: Vehicle and Traffic Law Sections 215(a), 501(2)(c), 510(6), 1193(2)(b)(12), 1193(2)(c)(1) and 1194(2)(d)(1).

MTV-22-16-00007 – Part 16.1, 16.2 and 16.5 - Special and reserved series plates.

Analysis of the need for the rule: This rule authorizes the Commissioner to oversee “Special Number Plates” which include personalized license plates and “reserved series” license plates. This popular program permits motorists to request personalized plates and authorizes the Commissioner to ensure such plates are appropriate. The reserved series plates are likewise popular with organizations wishing to raise awareness of a given issue, group or even sports teams. This rule governs the requirements for reserved series plates, including bonding. Part 16 is required to continue these programs and the revenue generated from special number plates.

Legal basis for the rule: Vehicle and Traffic Law Sections 215(a), 404 and 411-a.

MTV-25-16-00003 – Part 131.3 - Points for railroad crossing violations.

Analysis of the need for the rule: This regulation assigns point values to traffic violations, including railroad crossing violations under Part 131.3(b)(4)(iv). Assigning five points to railroad crossing violations ensures that the public understands the gravity of such violations and takes railroad safety seriously.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a) and 510(3)(i).

MTV-28-16-00003 – Part 134.14 - Fees charged for the Impaired Driving Program course.

Analysis of the need for the rule: This regulation governs fees paid by participants in the Impaired Driving Program (IDP). The fees defray the expenses of the program and consist of two parts. The first part of the fee is paid to the Department to defray the administrative costs of the program and the second part of the fee is paid to the authorized provider for the IDP course. These fees are necessary to continue the IDP program, help motorists recover from substance use issues, and to make our highways safer.

Legal basis for the rule: Vehicle and Traffic Law sections 215(a), 1196(1) and 1196(6).

Pursuant to § 207 of the State Administrative Procedure Act: Review of Existing Rules, notice is hereby provided that the Public Service Commission proposes to continue the following rules adopted in 2001, 2006, 2011 and 2016 without modification or as previously revised. Comments are welcome on proposed continuation of the rules. Five copies of comments should be sent to: Michelle Phillips, Secretary to the Commission, 3 Empire State Plaza, Albany, New York 12223-1350, on or before March 24, 2021. Information about the rules may be obtained from: John C. Graham, Assistant Counsel, 3 Empire State Plaza, Albany, New York 12223-1350; (518) 474-7687.

1. 16 NYCRR Part 93 (Case No. 99-E-1691).

a. Description of rules:

These regulations are applicable to approval of new types of electricity meters, instrumental transformers and auxiliary devices. They allow energy services companies or competitive meter service providers subject to Commission consumer services protection and oversight to request meter approval without utility sponsorship.

b. Statutory authority: Public Service Law § 67(4)

c. No hearings or public meetings are scheduled.

d. The rules are in effect and will continue.

e. Need for and legal basis of rules:

The regulations approve new types of electricity meters used for customer billing in order to open metering services to competition, expands customer choice and provide a safe, secure, and reliable energy delivery system by allowing energy services companies or competitive meter service providers subject to Commission consumer services protection and oversight to request meter approval without utility sponsorship. Only meters approved by the Commission and in conformance with the American National Standard Code for Electric Metering (ANSI C12) can be used for customer billing and the regulations require notification to the Commission of any modifications to previously approved meters.

2. 16 NYCRR Subpart 85-2 and Parts 86 and 88 (Case No. 06-M-1019).

a. Description of rules:

Amended the regulations implementing Article VII of the Public Service Law contained in 16 NYCRR Subpart 85-2, Procedures with Respect to All Electric Transmission Lines and Fuel Gas Transmission Lines 10 or More Miles Long, Part 86, General Exhibits, and Part 88, Exhibits for Electric Transmission Filings. In order to make it possible for the Commission to act on a National Interest Electric Transmission Corridor (NIETC) project within one year, a new § 85-2.9 was added to specify precisely the information an application for an electric transmission line in a NIETC must contain in order to be considered "filed." In addition, this section streamlined the review process by identifying those application requirements specific to portions of transmission lines that are proposed to be installed overhead, underground or underwater, thus avoiding the need to process a significant number of waiver requests. The amendments also clarified applicants' obligations regarding substantive local legal provisions and transmission system studies.

b. Statutory authority: PSL §§ 4(1), 20(1), 122(1), (f).

c. No hearings or public meetings are scheduled.

d. The rules are in effect and will continue.

e. Need for and legal basis of rules:

The rules address the impacts of electricity transmission limitations in New York State by speeding up the application process for NIETC projects. They precisely specify the information required on an application to install an electric transmission line, thus enabling the Public Service Commission to act on the proposed project within a year. The end result of quick approval of energy transmission projects is enhancement of transmission capacity, which furthers reliability and national security interests.

3. 16 NYCRR Chapters I, II, III, IV, V, VI, VII, and VII (Case No. 09-M-0544).

a. Description of the rules:

Amended Chapter I, Subchapters A, C and G, Chapter II, Subchapters A and G, Chapter III, Subchapters A and G, Chapter IV, Subchapters C and G, Chapter V, Subchapters A and F, Chapter VI, Subchapters A, E and F, Chapter VII, Subchapters C and D, and Chapter VIII, Subchapter B. The amendments improved the Department’s efficiency in the receipt, processing and issuance of documents while reducing reliance on paper.

b. Statutory authority: Public Service Law §§ 4(1), 5(2), 7(1), 16(1), 20(1)

c. No hearings or public meetings are scheduled.

d. The rules are in effect and will continue.

e. Need for and legal basis of the rules:

The amendments provide for electronic filing and service as the preferred method but allow paper filing in specific instances which improve Department efficiency in the receipt, processing, and issuance of documents while reducing reliance on paper and preserve environmental values, conserve natural resources and remove obsolete or redundant provisions.

Pursuant to section 207 of the State Administrative Procedure Act (SAPA) the Department of Taxation and Finance intends to review the following rules during 2021 and invites written comments on the continuation or modification of these rules in order to assist the Department in the required review. We will consider comments that are received by March 7, 2021. Any questions concerning the items listed in this rule review or comments regarding the continuation of the rules being reviewed should be referred to: Office of Counsel, Department of Taxation and Finance, W.A. Harriman Campus, Building 9, Room 200, Albany, New York 12227. Telephone: (518) 530-4153, Email address: [email protected].

RULES ADOPTED IN 2013

1. TAF-37-12-00005-A Combined Reports.

This rule amended Parts 3, 6, and 21 of Title 20 NYCRR; and added Part 33 to Title 20 NYCRR, relating to combined reports.

Analysis of the need for the rule: This rule updated certain provisions of 20 NYCRR and codified Department interpretation regarding combined reports. The rule also made technical amendments relating to the filing of combined reports by Real Estate Investment Trusts (REITs) and Regulated Investment Companies (RICs).

The notice of proposed rulemaking included a regulatory flexibility analysis and a rural area flexibility analysis.

Legal basis for the rule: Tax Law sections 171, subdivision First, 1096(a), 1468 and 1519.

2. TAF-48-12-00008-A Tax Return Filings for Licensed Farm Breweries.

This rule amended section 60.1 of Title 20 NYCRR regarding tax return filings for licensed farm breweries.

Analysis of the need for the rule: Farm breweries, like micro-brewers licensed under sections 51 and 56 of the Alcoholic Beverage Control Law, are restricted to producing no more than 60,000 barrels of beer annually. Section 60.1 of the regulations allows micro-brewers and restaurant brewers to file annual beer tax returns rather than the monthly returns that would otherwise be required. The rule amended section 60.1 of the regulations to allow persons registered as farm breweries pursuant to section 51-a of the Alcoholic Beverage Control Law to also file annual beer tax returns in lieu of monthly returns, reducing the filing burden on such taxpayers.

The notice of proposed rulemaking did not include a regulatory flexibility analysis, a rural area flexibility analysis or a job impact statement.

Legal basis for the rule: Tax Law sections 171, subdivision First, 429(1), and 436 (not subdivided).

3. TAF-38-13-00008-A Tax Return Preparers.

This rule added Part 2600; repealed section 158.12(1)(iv); and amended section 158.12(1)(v)-(ix) of Title 20 NYCRR regarding tax return preparers.

Analysis of the need for the rule: The rule regulates the tax return preparer industry. The purpose of the rule is to advance tax administration, elevate the professionalism of the tax return preparation industry, and protect NYS taxpayers. The rule imposes educational and testing requirements, and provides minimum standards of conduct for registered tax return preparers. The rule further provides for sanctions for failure to satisfy these requirements, or for deviation from the conduct standards.

The rule imposes minimal educational and testing requirements, as well as basic standards of conduct. These requirements balance the need to protect taxpayers against the need to avoid imposing undue burdens on tax return preparers.

The notice of proposed rulemaking included a regulatory flexibility analysis and a rural area flexibility analysis.

Legal basis for the rule: Tax Law sections 32, 171, subdivision First, 697(a); and Section 4 of Part VV of Chapter 59 of the Laws of 2009.

4. TAF-39-13-00007-A Mailing of Certain Excise Tax Documents.

This rule amended sections 68.3, 68.4, 73.1 and 417.2 of Title 20 NYCRR regarding mailing of certain excise tax documents.

Analysis of the need for the rule: This rule eliminated references to the mailing of certain excise tax publications and documents by the Department. This allowed the Department to disseminate these documents by more efficient methods, such as the Internet and electronic mail, thereby reducing its printing and mailing costs.

The notice of proposed rulemaking did not include a regulatory flexibility analysis, a rural area flexibility analysis or a job impact statement.

Legal basis for the rule: Tax Law sections 171, subdivision First; 436 (not subdivided) and 475 (not subdivided).

5. TAF-39-13-00008-A Offers in Compromise.

This rule amended Parts 5000 and 5005, and section 4000.4; and repealed section 7-4.5 of Title 20 NYCRR regarding offers in compromise.

Analysis of the need for the rule: This rule reflects the amendments made by Chapter 469 of the Laws of 2011 and defines what constitutes undue economic hardship in the context of offers in compromise.

The notice of proposed rulemaking did not include a regulatory flexibility analysis, a rural area flexibility analysis or a job impact statement.

Legal basis for the rule: Tax Law sections 171, subdivisions First, Fifteenth and Eighteenth-a and 1096(a); and Chapter 469 of the Laws of 2011.

6. TAF-39-13-00009-A Service of Process on the Department.

This rule amended section 2391.3(a) of 20 NYCRR to eliminate the option to personally serve the Department with process at its district offices.

Analysis of the need for the rule: This rule eliminated the option of personally serving the Department with legal process at its district offices, thereby making it possible for the Department to streamline departmental operations by discontinuing all walk-in services previously available at district offices, including receipt of process. Taxpayers retained the options of serving the Department personally at its principal office in Albany, NY, or by first class or certified mail.

The notice of proposed rulemaking did not include a regulatory flexibility analysis, a rural area flexibility analysis or a job impact statement.

Legal basis for the rule: Tax Law section 171, subdivision First; and Civil Practice Law and Rules, section 307.

RULES ADOPTED IN 2011

1. TAF-02-11-00011-A Assistance Program to Encourage Local Governments to Reassess on a Cyclical Basis.

This rule amended Real Property Tax Law, sections 201(1), 202(1)(k), and 1573(1)(a); and L. 2010, ch. 56, parts W and Y regarding an assistance program to encourage local governments to reassess on a cyclical basis.

Analysis of the need for the rule: The rule provided guidelines to implement the statutory authorized assistance to local governments to encourage a cycle of reassessments through voluntary participation in the assistance program.

Legal basis for the rule: Real Property Tax Law, sections 201(1), 202(1)(k), and 1573(1)(a); and L. 2010, ch. 56, parts W and Y.

2. TAF-10-11-00002-A Bureau of Conciliation and Mediation Services Procedures.

This rule amended Part 4000 of Title 20 NYCRR regarding Bureau of Conciliation and Mediation Services procedures to reflect current statutory provisions. The rule also allowed the Department to expand the manner in which taxpayers may request a conciliation conference, such as by allowing requests in an electronic format. It also referenced mailing rules relating to designated delivery services and made other monor technical amendments.

Analysis of the need for the rule: The rule reflected statutory provisions relating to filing of certain petitions and made other minor technical amendments.

Legal basis for the rule: Tax Law, sections 170(3-a) and 171, subdivision First.

RULES ADOPTED IN 2006

1. TAF-52-05-00018-A Timely Electronic Filing and Electronic Paying.

This rule amended sections 2399.1, 2399.2(a)(1) and (d); added sections 2399.2(e) and (f); and amended the titles of Part 2399 and sections 2399.2 and 2399.3 of Title 20 NYCRR regarding timely electronic filing and electronic paying.

Analysis of the need for the rule: This rule updated the Department's Procedural Regulations concerning the timeliness of documents and payments that are filed and remitted by electronic means.

Legal basis for the rule: Tax Law, section 171, subds. First and Fourteenth.

2. TAF-34-06-00005-A Taxation of Corporate Partners.

This rule amended section 1-2.6 and Parts 3 and 4 of Title 20 NYCRR regarding taxation of corporate partners.

Analysis of the need for the rule: This rule provided guidance with regard to the computation of the business corporation franchise tax imposed by Article 9-A of the Tax Law for corporations that are partners in partnerships or that are members of limited liability companies that are treated as partnerships under Article 9-A.

Legal basis for the rule: Tax Law, sections 171, subd. First and 1096(a).

3. TAF-43-06-00006-A New York Reportable Transactions.

This rule added Part 2500 to Title 20 NYCRR regarding New York reportable transactions.

Analysis of the need for the rule: The Department's Procedural Regulations were amended to add a new Part 2500 to provide a definition of a New York reportable transaction and the disclosure requirements for participation in a New York reportable transaction. Under Part 2500, a New York reportable transaction is a transaction that has the potential to be a tax avoidance transaction under articles 9, 9-A, 22, 32, or 33 of the Tax Law.

Legal basis for the rule: Tax Law, sections 25(a)(3); 171; subd. First; 697(a); and 1096(a).

4. TAF-43-06-00007-A New York Source Income of Nonresidents and Part-Year Residents from Stock Options.

This rule amended Parts 132 and 154 of Title 20 NYCRR regarding New York source income of nonresidents and part-year residents from stock options, stock appreciation rights and restricted stock to provide allocation rules.

Analysis of the need for the rule: This rule complied with the statutory directive of Tax Law sections 631(g) and 638(c), as amended by Chapter 62 of the Laws of 2006, requiring the Department to propose regulations within 180 days of enactment to provide allocation rules for certain nonresidents and part-year residents who were granted stock options, stock appreciation rights or restricted stock.

Legal basis for the rule: Tax Law, sections 171, subd. First; 631(g); 638(c); 697(a); and L. 2006, ch. 62, part N, section 3.

5. RPS-27-06-00006-A Training Requirements for New York City Assessors.

This rule added Subpart 188-8 to Title 9 NYCRR regarding training requirements for New York City assessors.

Analysis of the need for the rule: This rule implemented the program of training, certification and minimum qualification standards for New York City Assessors that was established by L.20 05, ch. 139.

Legal basis for the rule: Real Property Tax Law sections 202(1)(l) and 350-364.

6. RPS-38-06-00001-A Real Property System (RPS) License Fees.

This rule amended section 190-3.2 of Title 9 NYCRR regarding License fees for users of the Real Property System (RPS).

Analysis of the need for the rule: This rule revised the annual license fees payable by users of RPS.

Legal basis for the rule: Real Property Tax Law section 202(1)(l) and State Finance Law section 97-kk.

RULES ADOPTED IN 2001

1. TAF-23-01-00043-A Taxpayer Record Retention Formats.

This rule amended sections 39.1, 51.2(f), 54.2, 56.1, 61.3, 68.4(e), 75.5(c), 158.3, 158.4, 267.3, 413.4, 417.1, 417.2(e), 418.1, 483.1, 483.5, 533.2, 538.4, 542.1, and addition of Part 2402 to Title 20 NYCRR regarding taxpayer record retention formats.

Analysis of the need for the rule: The Department’s Procedural Regulations were amended to add a new Part 2402 to ensure timely compliance with the record retention and electronic record keeping provisions of the state Electronic Signatures and Records Act (State Technology Law, section 301 et seq.) and the federal Electronic Signatures in Global and National Commerce Act (15 USCS, section 7001 et seq.). Part 2402 provides for the voluntary use of electronic records by taxpayers and prescribes general standards applicable to the retention of electronic records that ensure that taxpayers who exercise this option are complying with their responsibilities under the Tax Law and under other applicable laws that are administered by the Commissioner. Conforming amendments were also made to sections 39.1, 51.2(f), 54.2, 56.1, 61.3, 68.4(e), 75.5(c), 158.3, 158.4, 267.3, 413.4, 417.1, 417.2(e), 418.1, 483.1, 483.5, 533.2, 538.4, and 542.1 of the regulations.

Legal basis for the rule: Tax Law section 171, subds. First and Fourteenth.

2. TAF-17-01-00002-A Tax Rates.

This rule amended Part 530 of Title 20 NYCRR regarding tax rates and bracket schedules contained in the sales and use tax regulations.

Analysis of the need for the rule: This regulation was amended to repeal the tax rates and bracket schedules which indicated the amount of sales tax to be collected for various amounts of sales prices and tax rates, and replace them with standard methodology for rounding the amount of sales tax to be collected to the nearest penny.

Legal basis for the rule: Tax Law sections 171, subd. First; 1132(b); 1142(1) and (8); and 1250 (not subdivided).

3. TAF-26-01-00017-A The flags of the United States of America and the State of New York.

This rule amended section 528.12(b)(1) and repealed section 528.12(c) of Title 20 NYCRR regarding flags of the United States of America and New York State.

Analysis of the need for the rule: This regulation was amended to update the definition of the term “flag” and, accordingly, to exempt from State and local sales and use taxes flags that are made from materials in addition to cloth and those accessories that are used solely for the display of the flag and are sold with the flag for a single charge.

Legal basis for the rule: Tax Law sections 171, subd. First; 1142(1) and (8); and 1250 (not subdivided).

4. RPS-08-01-00004-A Procedures for Market Value Surveys.

This rule amended Parts 186 and 191 of Title 9 NYCRR regarding procedures for determining State equalization rates with the goal of providing for more accurate and timely measurements of relative municipal full value for use in calculating the rates.

Analysis of the need for the rule: This rule made various revisions to the procedures for determining State equalization rates with the goal of providing for more accurate and timely measurements of relative municipal full value for use in calculating the rates.

Legal basis for the rule: Real Property Tax Law sections 202(1)(l) and 1202.

5. RPS-43-01-00007-A Reports by Special Franchise Owners and Review of Special Franchise Complaints.

This rule amended Part 197 of Title 9 NYCRR regarding reporting requirements to which special franchise owners were subject and provided a more specific and consistent structure for the filing of complaints.

Analysis of the need for the rule: This rule simplified the reporting requirements to which special franchise owners were subject and provided a more specific and consistent structure for the filing of complaints.

Legal basis for the rule: Real Property Tax Law sections 202(1)(l), 600, 604 and 612.