Pursuant to subdivision 1 of section 202-d of the State Administrative Procedure Act, notice is hereby provided of the following rules which the Department of Agriculture and Markets is considering proposing but for which a rulemaking proceeding has not been commenced. All section and Part references are to Title 1 of the New York Code of Rules and Regulations, except where noted.

DIVISION OF ANIMAL INDUSTRY

Section 45.6: Consider amending section 45.6 to require mandatory depopulation and cleaning and disinfection of the live poultry markets every 3 months.

Part 50: Consider amending regulations pertaining to livestock disinfection procedures and removing obsolete provisions.

Part 53: Consider amendments relative to the movement of cattle into New York State.

Part 57: Consider repealing sections 57.7 through 57.23 pertaining to the salmonella enteriditis testing program.

Part 60: Consider amending requirements governing the intrastate movement of deer in light of amendments to health requirements for captive cervids (Part 68) and also clarify requirements for tuberculosis testing.

Part 61: Consider adopting recordkeeping requirements for swine, cervid, camelid, goat and sheep dealers.

Part 64: Consider amending sections 64.4, 64.7 and 64.8 to clarify the requirement that veterinarians must have Class 2 USDA accredited status in order to submit samples for official equine infectious anemia (Coggins) tests.

Part 67: Consider amending importation restrictions on livestock originating in states with vesicular stomatitis virus to make those restrictions consistent with federal requirements.

Part 68: Consider amending animal health requirements to require tuberculosis surveillance on all captive cervid herds.

Part 77: Consider amending the standards of care for seized dogs, clarify the definition of a dog dealer and conform the definition of euthanasia to State law.

Part 82: Consider adopting pet dealer regulations to define the veterinary plan, the primary enclosure, the whelping box requirement, the exercise requirement, the isolation area and the standards for ventilation, temperature and light.

Name of agency contact: David C. Smith, DVM, Director, Division of Animal Industry

Office Address: 10B Airline Drive, Albany, New York 12235

Telephone number: (518) 457-3502

DIVISION OF FOOD SAFETY AND INSPECTION

Part 161: Consider adding regulations with respect to the NYS Certified Program, a voluntary program to promote New York State crops and product of producers which operate in an environmentally responsible manner and/or are certified as to their good practice standards.

Part 245: Consider amending regulations concerning structural and sanitary requirements for slaughterhouses.

Parts 250, 252, 259; sections 261.8, 261.9, 262.1, 265.1, 266.1, 267.1, 271-4.7, 271-5.3(h), 271-5.3(j), 271-5.4(g); and Parts 277, 279, 280 and 281: Consider amending these Parts/sections to incorporate by reference the most recent Federal regulations (2016).

Part 261: Consider repeal of this Part and addition of a new Part 261, incorporating by reference 21 CFR Part 110.

Part 262: Consider amending regulations regarding fish processing and smoking establishments.

Section 259.2: Consider adding definitions for certain terms being used on product labels and labeling that have no definition in State law and regulation.

Part 260: Consider incorporating by reference 21 CFR Part 117 – Current Good Manufacturing Practices, Hazard Analysis, and Risk Based Controls for Human Foods.

Part 283: Consider incorporating by reference 21 CFR Part 507 - Current Good Manufacturing Practices, Hazard Analysis, and Risk Based Controls for Food for Animals.

Part 273: Consider incorporating by reference 21 CFR Part 112 – Standards for Growing, Harvesting, Packing, and Holding of Produce for Human Consumption.

Name of agency contact: Stephen D. Stich, Director, Division of Food Safety and Inspection

Office Address: 10B Airline Drive, Albany, New York 12235

Telephone number: (518) 457-4492

DIVISION OF MILK CONTROL AND DAIRY SERVICES

Part 2: Consider amendments in order to regulate camel’s milk.

Section 2.8: Consider amendments to make changes relative to the somatic cell count for prepasteurized milk from sheep and goats.

Section 2.8: Consider amendments to establish quality standards for raw milk cheeses.

Section 2.66: Consider incorporating by reference 21 CFR Part 117 – Current Good Manufacturing Practices, Hazard Analysis, and Risk Based Controls for Human Foods

Name of agency contact: Casey McCue, Director, Division of Milk Control and Dairy Services

Office Address: 10B Airline Drive, Albany, New York 12235

Telephone number: (518) 457-1772

DIVISION OF PLANT INDUSTRY

Parts 106 and 107: Consider updating seed potato certification standards for foundation and certified classes to reflect advances in plant disease testing and to set standards and tolerances for a group of bacterial pathogens known by the common name “blackleg.”

Part 139: Consider amending the Asian Long Horned Beetle quarantine to reflect the latest survey data and to release from regulation zones considered to be in “Eastern Queens.”

Part 141: Consider amending the emerald ash borer regulations to reflect the quarantine boundaries as defined by the latest survey data.

Part 151: Consider amendments to reflect current technical practices in the analysis of commercial fertilizer as published in the latest version of the rules of the Association of Plant Food Control Officials.

Name of Agency Contact: Christopher Logue, Director, Division of Plant Industry

Office Address: 10B Airline Drive, Albany, New York 12235

Telephone number: (518) 457-2087

BUREAU OF WEIGHTS AND MEASURES

Section 220.2: Consider adopting national standards for the specifications, tolerances and regulations for commercial weighing and measuring devices as published in the 2017 edition of NIST Handbook 44.

Section 220.2: Consider adopting temporary standards for global positioning systems (GPS) used in taximeters and other fee-for-ride transactions.

Section 220.4: Consider increasing fees for metrology laboratory testing.

Section 220.12: Consider increasing fees for type evaluations.

Part 221: Consider adopting NIST Handbook 130 standards for packaging and labeling and for methods of sale.

Section 221.11: Consider adopting national standards for the checking of the net contents of packaged goods as published in the 2015 edition of NIST Handbook 133.

Part 224: Consider adopting diameter size requirements for diesel fuel dispensers.

Part 224: Consider adopting current standards of the American Society for Testing Materials (ASTM) regarding gasoline (D 4814), diesel (D 975) and kerosene (D 3699). Also consider adopting stricter standards for levels of water in storage tanks.

Section 224.3(a)(2)(i): Consider amendments to increase the maximum allowable total alcohol content of any gasoline-alcohol blend from 10 percent to 15 percent by volume.

Part 225: Consider adopting regulations to implement Agriculture and Markets Law section 192-h, relating to the installation of generators at service stations in the downstate area.

Part 220: Consider amendments to charge additional fees for calibrating weighing and measuring devices.

Name of agency contact: Michael Sikula, Director, Bureau of Weights and Measures

Office Address: 10B Airline Drive, Albany, New York 12235

Telephone number: (518) 457-3146

DESIGNATED AGENCY REPRESENTATIVE: Rick Arnold, Esq.

Office Address: 10B Airline Drive, Albany, New York 12235

Telephone number: (518) 457-2449

Pursuant to section 202-d of the State Administrative Procedure Act (SAPA), the Office of Children and Family Services (OCFS) is required to publish a regulatory agenda for those regulations it is considering for publication in the State Register. Set forth below is an agenda for 2017. OCFS reserves the right to add, delete or modify, without further notice, except as required by SAPA, any item or information presented herein as relating to its 2017 Regulatory Agenda. Section 202-d of SAPA does not preclude OCFS from proposing for adoption a regulation that is not described in this agenda, nor does it require OCFS to propose for adoption a regulation that is described in this agenda.

Amendment of sections 441.3 and 482.2 of Title 18 of the New York Code of Rules and Regulations to establish standards under which chief executive officers and employees of corporations subject to the approval of OCFS could serve as voting members of the boards of directors of such corporations. A regulatory flexibility analysis and rural area flexibility analysis may be required.

Amendment of section 441.22 of Title 18 of the New York Code of Rules and Regulations that would update the schedule for periodic medical examinations, monitoring and coordination of health services for children in foster care. A regulatory flexibility analysis and rural area flexibility analysis may be required.

Amendment of sections 408.6 and 452.9 of Title 18 of the New York Code of Rules and Regulations that would allow for the increase in the maximum length of stay at residential programs for victims of domestic violence. A regulatory flexibility analysis and rural area flexibility analysis may be required.

Amendment of sections 452.4, 452.9, and 453.8 of Title 18 of the New York Code of Rules and Regulations that would create implementing regulations regarding the requirements pursuant to Chapter 584 of the Laws of 2015, as modified by Chapter 7 of the Laws of 2016, that will require residential programs for victims of domestic violence to allow a service animal or therapy dog to accompany the victim in a shelter. A regulatory flexibility analysis and rural area flexibility analysis may be required.

Amendment of section 168.7 of Title 9 of the New York Code of Rules and Regulations relating to the confidentiality of records of youth under the care and supervision of the Office of Children and Family Services. A regulatory flexibility analysis and rural area flexibility analysis may be required.

Any questions, comments or requests for information concerning the items listed in this agenda may be referred to Leslie Robinson, Senior Attorney, Office of Children and Family Services, 52 Washington Street, Rensselaer, NY 12144, (518) 486-9563. Email: [email protected]. This regulatory agenda may also be accessed on OCFS’ website at http://ocfs.ny.gov/main/legal/Regulatory/.

Pursuant to State Administrative Procedure Act (“SAPA”) Section 202-d, the following Regulatory Agenda is a list of the regulatory additions and amendments to Titles 3, 11, and 23 of the NYCRR that the New York State Department of Financial Services (“Department”) is presently considering proposing during the first half of 2017. Many of these items were previously published in the June 2016 Regulatory Agenda. Items that have already been published in the State Register as “proposed” actions are not included on the list. The Department’s regulatory plans are subject to change, and the Department reserves the right to add to, delete from, or modify items in the Regulatory Agenda without further notice.

This notice also is intended to provide small businesses, local governments, and public and private interests in rural areas with the opportunity to participate in the rule making process, as required by Sections 202-b and 202-bb of SAPA.

I. Insurance Regulations

For inquiries about a specific item, please contact the person identified in the item. For general inquiries about the Insurance Regulations included in this Regulatory Agenda, or to obtain copies of current Insurance Regulations, please contact:

Sally Geisel, Supervising Attorney or

Camielle Barclay, Senior Attorney

New York State Department of Financial Services

One State Street

New York, NY 10004

Telephone Numbers: Sally Geisel - (212) 480-7608 and Camielle Barclay - (212) 480-5299

1. Summary description of proposal: Amendment of Part 101 to 11 NYCRR (Standards for Financial Risk Transfer Between Insurers and Health Care Providers) (Insurance Regulation 164) to permit, in consultation with the Commissioner of Health, certain insurers to enter into financial risk transfer agreements with Accountable Care Organizations. Agency contact: Pascale Jean-Baptiste, Associate Attorney, Office of General Counsel - (212) 480-5289.

2. Summary description of proposal: Adoption of a new Part 5 to 11 NYCRR (Insurance Regulation 195) to implement the Superintendent’s authority under Insurance Law Section 316 to require an insurer or other person or entity making a filing or submission with the Superintendent to do so by electronic means, unless the insurer or other person or entity applies for, and the Superintendent grants, an exemption from the electronic filing requirement. Agency contact: Joana Lucashuk, Associate Attorney, Office of General Counsel - (212) 480-2125.

3. Summary description of proposal: Amendment of 11 NYCRR 28 (Professional Bail Bond Agents) (Insurance Regulation 42) to provide standards designed to prevent the use of bail bond businesses in furtherance of organized crime and to protect collateral given by indemnitors for the purpose of posting bail. Agency contact: Paul Zuckerman, Assistant Deputy Superintendent and Counsel for Insurance, Office of General Counsel – (212) 480-5286.

4. Summary description of proposal: Amendment of 11 NYCRR 25 (Public Adjusters) (Insurance Regulation 10) to address amendments made to the Insurance Law by Chapter 546 of the Laws of 2013. Agency contact: Joana Lucashuk, Associate Attorney, Office of General Counsel – (212) 480-2125.

5. Summary description of proposal: Adoption of new Part 111 to 11 NYCRR (Statement of Actuarial Opinion and Actuarial Opinion Summary for Property/Casualty Insurers) (Insurance Regulation 207) to require an authorized property/casualty insurer to submit with its annual statement a statement of actuarial opinion (“SAO”) and to require a domestic property/casualty insurer that files an SAO to file with the Superintendent an annual actuarial opinion summary, electronically. Agency contact: Joana Lucashuk, Associate Attorney, Office of General Counsel - (212) 480-2125.

6. Summary description of proposal: Amendment of 11 NYCRR 420 (Privacy of Consumer Financial and Health Information General Provisions) (Insurance Regulation 169) to incorporate recent changes to federal privacy laws regarding information maintained by financial institutions. Agency contact: Paul Zuckerman, Assistant Deputy Superintendent and Counsel for Insurance, Office of General Counsel - (212) 480-5286.

7. Summary description of proposal: Amendment of 11 NYCRR 82 (Enterprise Risk Management and Own Risk and Solvency Assessment) (Insurance Regulation 203) to require a holding company and certain domestic insurers to describe their enterprise risk management functions in their enterprise risk reports and to clarify certain language. Agency contact: Joana Lucashuk, Associate Attorney, Office of General Counsel - (212) 480-2125.

8. Summary description of proposal: Amendment of 11 NYCRR 65 (Insurance Regulation 68) and Part 68 (Insurance Regulation 83) to implement an alternative dispute resolution process for disputes involving claims of independent livery drivers that are processed pursuant to pre-authorization procedures and medical treatment guidelines set forth in 12 NYCRR 324, and other applicable provisions of Article 2 of the Workers’ Compensation Law. Agency contact: Camielle A. Barclay, Senior Attorney, Office of General Counsel – (212) 480-5299.

9. Summary description of proposal: Adoption of a new part 35 to 11 NYCRR (Title Insurance Agents, Affiliated Relationships, and Required Disclosures) (Insurance Regulation 206) and amendments to certain other regulations, including 11 NYCRR 20 (Brokers and Agents - General) (Insurance Regulations 9, 18, and 29), 11 NYCRR 29 (Special Prohibitions) (Insurance Regulation 87), 11 NYCRR 30 (Producer Compensation Transparency) (Insurance Regulation 194), and 11 NYCRR 34 (Requirements Pertaining to the Location of an Insurance Agent or Broker at Each Place of Insurance Business: Reporting Requirements) (Insurance Regulation 125), to address amendments made to the Insurance Law by Part V of Chapter 57 of the Laws of 2014 regarding the licensing of title insurance agents and title insurance businesses. Agency contact: Paul Zuckerman, Assistant Deputy Superintendent and Counsel for Insurance, Office of General Counsel - (212) 480-5286. (Rules on this subject were adopted on an emergency basis most recently on October 28, 2016.)

10. Summary description of proposal: Amendment of Part 154 to 11 NYCRR (Private Passenger Motor Vehicle Insurance Multi-Tier Programs) (Insurance Regulation 150), with respect to tier assignment and tier movement rules. Agency contact: Stephen Doody, Deputy Superintendent of Property/Casualty Insurance - (212) 480-5127.

11. Summary description of proposal: Amendment of 11 NYCRR 60-2 (Supplementary Uninsured/Underinsured Motorists Insurance) (Insurance Regulation 35-D) to replace references in Sections 60-2.3 and 60-2.4 to “AAA/American Arbitration Association” with “designated organization”; amend rules related to the manner in which the organization designated by the Superintendent to administer the SUM arbitration program assesses the cost of the program to the insurance industry; and clarify the intent and application of the coverage via various editorial revisions to the regulation and to the prescribed policy endorsement form. Agency contact: Hoda Nairooz, Supervising Insurance Examiner, Property Bureau – (212) 480-5595.

12. Summary description of proposal: Amendment of 11 NYCRR 216 (Unfair Claims Settlement Practices and Claim Cost Control Measures) (Regulation 64) to update Section 216.7 to clarify certain provisions in the regulation regarding motor vehicle physical damage claims. Agency contact: Hoda Nairooz, Supervising Insurance Examiner, Property Bureau – (212) 480-5595.

13. Summary description of proposal: Amendment of 11 NYCRR 65-4 (Regulation Implementing the Comprehensive Motor Vehicle Insurance Reparations Act) (Insurance Regulation 68-D) to amend rules related to both the manner in which the first party motor vehicle insurance arbitration programs are administered and the manner in which the costs of these programs are assessed to the insurance industry. Agency contact: Hoda Nairooz, Supervising Insurance Examiner, Property Bureau – (212) 480-5595.

14. Summary description of proposal: Amendment of 11 NYCRR 94 (Valuation of Individual and Group Accident and Health Insurance Reserves) (Insurance Regulation 56) to adopt a new individual disability income table for valuing active life and disabled life reserves in consideration of a proposed NAIC adoption of such table. Agency contact: Amanda Fenwick, Assistant Chief Life Actuary, Life Bureau - (518) 474-7929.

15. Summary description of proposal: Amendment of 11 NYCRR 98 (Valuation of Life Insurance Reserves) (Insurance Regulation 147) to adopt the existing NAIC standards for waiver of premium reserves, to adopt the 2017 CSO mortality table for valuing life insurance reserves, and to revise the standards for varying premium term life insurance policies and universal life products with secondary guarantees for those policies where the 2017 CSO table will be the minimum standard. Agency contact: Amanda Fenwick, Assistant Chief Life Actuary, Life Bureau – (518) 474-7929.

16. Summary description of proposal: Amendment of 11 NYCRR 83 (Financial Statement Filings and Accounting Practices and Procedures) (Insurance Regulation 172) to add an exception for proposed amendments expected to be adopted by the NAIC regarding policy reserves for life contracts, to revise lapse rates and economic volatility used in calculating the standard scenario reserve, to update the economic volatility assumption used in the stochastic modeling for variable annuities with guaranteed living benefits, and to make other revisions. Agency contact: Amanda Fenwick, Assistant Chief Life Actuary, Life Bureau - (518) 474-7929.

17. Summary description of proposal: Amendment of 11 NYCRR 53 (Life and Annuity Cost Disclosure and Sales Illustrations) (Insurance Regulation 74) to revise and clarify the delivery, signature and certification form requirements for life insurance sales illustrations, including electronic delivery, for policies marketed with an illustration; to modify the basis used for illustrations for life insurance policies with non-guaranteed elements, including universal life; to add additional requirements on the disciplined current scale underlying the illustrations; and to require additional disclosures for such policies. Agency contact: Rebecca Bollam, Associate Insurance Attorney, Life Bureau – (518) 474-4552.

18. Summary description of proposal: Amendment of 11 NYCRR 50 (Separate Accounts and Separate Account Annuities) (Insurance Regulation 47) to establish revised standards for the operation of separate accounts, contract provisions, and actuarial requirements to reflect statutory changes, recent innovations in product design, and changes in contract administration of separate account and variable annuity products. Agency contact: Peter Dumar, Chief Insurance Attorney, Life Bureau – (518) 474-4552.

19. Summary description of proposal: Amendment of 11 NYCRR 100 (Recognition of the 2001 CSO Mortality Table for Use in Determining Minimum Reserve Liabilities and Nonforfeiture Benefits) (Insurance Regulation 179) to revise the title and adopt the 2017 CSO mortality table for valuing life insurance reserves in consideration of a proposed NAIC adoption of such table. Agency contact: Amanda Fenwick, Assistant Chief Life Actuary, Life Bureau - (518) 474-7929.

20. Summary description of proposal: Amendment of 11 NYCRR 45 (Applications for Life Insurance) (Insurance Regulation 19) to expand Insurance Regulation 19 to apply to all life insurance policy forms containing any war or travel exclusion or restriction and to implement the amendment to Insurance Law Section 3201(c)(4) by expanding and describing the permissible formats for the disclosure required by Section 3201(c)(4) to appear on the face page of policy forms containing any war or travel exclusion or restriction. Agency contact: Rebecca Bollam, Associate Insurance Attorney, Life Bureau – (518) 474-4552.

21. Summary description of proposal: Adoption of a new Part to 11 NYCRR to establish guidelines regarding the proper expensing of title insurance premiums and additional charges by both insurers and their agents. Agency contact: Ellen R. Buxbaum, Acting Director, Disciplinary Unit, Financial Frauds & Consumer Protection Division – (212) 480-5383.

22. Summary description of proposal: Amendment of 11 NYCRR 52 (Minimum Standards for Form, Content and Sale of Health Insurance, Including Standards of Full and Fair Disclosure) (Insurance Regulation 62) establishing minimum standards for the form, content, and sale of policies and contracts of accident and indemnity insurance. Agency contact: Jason St. James, Senior Insurance Attorney, Health Bureau – (518) 486-7815.

23. Summary description of proposal: Amendment of 11 NYCRR 350 (Continuing Care Retirement Communities) (Insurance Regulation 140) to clarify and modify the actuarial reserve calculation, distribution allowances, allowable investments, and necessary filing requirements, in view of marketplace expansion in both the number and types of Continuing Care Retirement Communities (“CCRCs”). The amendment also adds a new section specifying parameters for transactions between a CCRC and its parent corporation, affiliate or subsidiary. Agency contact: Christine Gralton, Assistant Chief, Health Bureau – (212) 480-5061.

24. Summary description of proposal: Amendment of 11 NYCRR 361 (Establishment and Operation of Market Stabilization Mechanisms for Certain Health Insurance Markets) (Insurance Regulation 146) to implement a market stabilization pool for the small group health insurance market for the 2017 plan year. Agency contact: Laura Evangelista, Deputy Superintendent for Insurance, Executive Office – (212) 480-4738. (Rules on this subject were adopted on an emergency basis most recently on December 7, 2016.)

25. Summary description of proposal: Adoption of a new Part 363 to 11 NYCRR (Minimum Standards for the Form and Rating of Family Leave Benefits Coverage, Including the Establishment and Operation of a Risk Adjustment Mechanism) (Insurance Regulation 211) to establish minimum standards for the form, content, sale and rating of policies of family leave benefits issued pursuant to Workers Compensation Law Article 9. Agency contact: Laura Evangelista, Deputy Superintendent for Insurance, Executive Office – (212) 480-4738.

26. Summary description of proposal: Amendment of 11 NYCRR 52 (Minimum Standards for Form, Content and Sale of Health Insurance, Including Standards of Full and Fair Disclosure) (Insurance Regulation 62) regarding an insurer’s coverage of contraceptives. Agency contact: Colleen Rumsey, Supervising Insurance Attorney, Health Bureau – (518) 486-7815.

27. Summary description of proposal: Amendment of 11 NYCRR 52 (Minimum Standards for Form, Content and Sale of Health Insurance, Including Standards of Full and Fair Disclosure) (Insurance Regulation 62) regarding an insurer’s coverage of medically necessary hospital care, surgical procedures and medical expenses, without discrimination against any particular care, procedure or expense absent an appropriate exemption. Agency contact: Colleen Rumsey, Supervising Insurance Attorney, Health Bureau – (518) 486-7815.

28. Summary description of proposal: Amendment of 11 NYCRR 86 (Fraud Prevention Plans and Special Investigations Unit) (Insurance Regulation 95) to establish a requirement that a licensee required to submit a fraud prevention plan must revise its fraud prevention plan to reflect changes to the holding company, the lines of business that affect the Special Investigations Unit (“SIU”), and changes to SIU personnel or the provider of SIU services. Also revising Section 86.6(d) to correct the due date of the filing of the annual report from January 15 to March 15, in compliance with Insurance Law Section 409(g). Agency contact: Kathleen Grogan, Principal Examiner, Criminal Investigations Unit – (212) 480-5683.

II. Banking Regulations

For inquiries about the Banking Regulations included in this Regulatory Agenda, or to obtain copies of current Banking Regulations, please contact:

Christine M. Tomczak

Assistant Counsel

New York State Department of Financial Services

One State Street

New York, NY 10004

Telephone Number: (212) 709-1642

1. Summary description of proposal: Adoption of new rules to implement the provisions of legislation addressing the mortgage foreclosure- related issues in the state, including:

(a) rules governing the registration and financial responsibility requirements for mortgage loan servicers (rules on this subject were adopted on an emergency basis most recently on November 16, 2016); and

(b) rules governing the business conduct of mortgage loan servicers (rules on this subject were adopted on an emergency basis most recently on November 30, 2016).

2. Summary description of proposal: Amendments of Part 38 of the General Regulations of the Superintendent to enhance advertising, disclosure and conduct rules for mortgage bankers and brokers and to incorporate applicable changes under federal laws and regulations.

3. Summary description of proposal: Amendment of the Superintendent’s Regulations regarding the Banking Development District (“BDD”) program.

4. Summary description of proposal: Amendment of Part 41 of the General Regulations of the Superintendent to address threshold limits, the impact of lender paid fees, and otherwise to conform to the requirements of Section 6-l of the Banking Law.

5. Summary description of proposal: Amendment of Part 79 of the General Regulations of the Superintendent to incorporate advertising requirements for reverse mortgage loans and clarify the applicability of disclosure and filing requirements for HUD’s Home Equity Conversion Mortgage program.

6. Summary description of proposal: Amendment of Parts 410 and 413 of the Superintendent’s Regulations and Supervisory Procedures 101, 102, 103 and 104 to eliminate certain outdated regulatory requirements and to clarify language, the minimum licensing standards, and other requirements in connection with mortgage banker and mortgage broker applications.

7. Summary description of proposal: Adoption of a new regulation formalizing the assessment process for persons regulated under the Banking Law. (Rules on this subject were adopted on an emergency basis most recently on December 14, 2016.)

8. Summary description of proposal: Adoption of new rules clarifying that when financial statements submitted to the Department are required by law or regulation to be audited, the external auditors who provide the audit opinion on the statements may not also perform bookkeeping services for the audited entity.

III. Financial Services Regulations

For specific inquiries about the Financial Services Regulations included in this Regulatory Agenda, please contact the person identified in the item. For general inquiries about the item, or to obtain copies of current Financial Services Regulations, please contact the following:

Christine M. Tomczak, Assistant Counsel

New York State Department of Financial Services

One State Street

New York, NY 10004

Telephone Numbers: Christine M. Tomczak - (212) 709-1642

1. Summary description of proposal: Adoption of a new part to 23 NYCRR establishing standards for cyber security for persons and entities regulated by the Department of Financial Services. Agency contact: Alexander Sand, Counsel, Capital Markets Division – (212) 709-3825.

Pursuant to subdivision 1 of section 202-d of the State Administrative Procedure Act (SAPA), notice is hereby provided of the following rules that the Department of State is considering to propose, but for which no notice of proposed rule makings have been submitted for publication in the State Register. Please note that regulatory plans of the Department of State are subject to change; the Department reserves the right to add, delete, or modify items appearing on this list. Further, as indicated in SAPA section 202-d(2), the Department of State is not required to propose or adopt any rule listed in a regulatory agenda, and may propose or adopt a rule that has not been listed in a regulatory agenda.

Publication of this notice is intended to further assure that small businesses, local governments, and public and private interests in rural areas are given opportunity to participate in the rule making process, as provided by sections 202-b and 202-bb of SAPA. Each rule listed below may require a regulatory flexibility analysis or a rural area flexibility analysis, pursuant to SAPA sections 202-b and 202-bb, respectively.

The public is welcome to send written comments regarding this regulatory agenda to the agency representative indicated at the end of this list. All following references to regulatory provisions are to Title 19 of the New York Code of Rules and Regulations, unless otherwise noted.

DIVISION OF BUILDING STANDARDS AND CODES

Chapter XXXII

Considering adding new Part(s) and/or amending existing Parts to establish rules, regulations, standards and procedures relating to (1) the measurement of the rate of compliance with the State Energy Conservation Construction Code, and requirements that such rate of compliance be measured on an annual basis; and (2) otherwise to implement Chapter 560 of the Laws of 2010 and section 376-a of the Executive Law.

Considering adding new Parts relating to energy efficiency standards for appliances and equipment.

Part 1201

Considering amending this Part to provide that (1) where a county elects not to enforce the Uniform Code, the local government in which a county facility is situated shall be responsible for enforcement of the Uniform Code with respect to such facility and (2) where both a county and the local government in which a county facility is located have elected not to enforce the Uniform Code, the Secretary of State shall be responsible for enforcement of the Uniform Code with respect to such facility.

Part 1202

Considering amending this Part to make the provisions relating to the administration of the Uniform Fire Prevention and Building Code by the Department of State in certain local governments and counties substantially similar to the corresponding provisions in Part 1203; to update the provisions authorizing the use of third party inspectors; to add provisions authorizing the use of third party plan reviewers; to add provisions fixing the time within which a person or entity served with an Order to Remedy violation(s) of the Uniform Code must comply with such Order to Remedy; and/or to update the fee schedule currently contained in section 1202.7.

Part 1203

Considering amending this Part to (1) establish more appropriate inspection intervals for normally unoccupied buildings; (2) make such changes to this Part as may be required or appropriate to reflect the applicability of this Part to enforcement of the State Energy Conservation Construction Code; (3) add provisions relating to compliance by local governments with Constitutional due process requirements; and/or (4) revise provisions relating to the features required to be included in the code enforcement program established by a local government or other governmental unit or agency responsible for administration and enforcement of the Uniform Code and Energy Code.

Part 1204

Considering amending this Part to make the provisions relating to the administration of the Uniform Fire Prevention and Building Code by state agencies substantially similar to the corresponding provisions in Part 1203.

Part 1205

Considering amending this Part to (1) make the procedures for variances under the State Uniform Fire Prevention and Building Code applicable to variances under the State Energy Conservation Construction Code; (2) add new provisions relating to variances under the State Energy Conservation Construction Code; (3) revise or clarify procedures concerning the administration of variances and appeals relating thereto.

Part 1209

Considering amending this Part pertaining to factory manufactured housing to update it, to increase fees for plan review and Insignias of Approval, and/or to add provisions relating to non-residential modular buildings.

Part 1210

Considering updating and amending this Part concerning manufactured homes; the certification and training of manufacturers, retailers, installers and mechanics of manufactured homes; and resolution of disputes.

Chapter XXXIII

Parts 1219-1228

Considering amending the State Uniform Fire Prevention and Building Code (the Uniform Code) and/or adding new provisions to the Uniform Code to address issues coming to the attention of the Department of State and the Code Council from time to time.

Part 1240

Considering amending the State Energy Conservation Construction Code (Energy Code) and/or adding new provisions to the Energy Code to address issues coming to the attention of the Department of State and the Code Council from time to time.

Part 1260

Considering amending or repealing the provisions relating to Certificates of Acceptability.

DIVISION OF CEMETERIES

Parts 200 to 203

Considering adding new regulations by which a cemetery that takes over an abandoned cemetery may apply for abandonment funds. It would be similar to existing regulation at 19 NYCRR §§ 200.11(g) and (h).

Considering adding new regulations that codify how pet cremated remains can be accepted for interment at cemeteries.

Considering adding new regulations of pre-need sales: proper trusting of receipts, reporting of liabilities at cost and market, and funding the Permanent Maintenance Fund.

Considering adding new regulations pursuant to recent legislation that permits cemetery corporations to seek to appropriate a percentage of its net appreciation in its permanent maintenance fund, and a percentage of its net appreciation in its perpetual care fund.

Considering adding new regulations requiring an annual report regarding cemetery indebtedness (implementing N-PCL § 1511).

DIVISION OF CONSUMER PROTECTION

21 NYCRR 4600 et seq.

Considering renumbering and amending regulations of the former State Consumer Protection Board.

21 NYCRR Part 4603

Considering amending regulations pertaining to “do-not-call” registry in order to conform them to recent statutory changes.

DIVISION OF CORPORATIONS, STATE RECORDS AND UCC

Part 130

Considering amending sections 130.2 and 130.3 regarding the procedures for filing and numbering local laws filed with the Division pursuant to Municipal Home Rule Law section 27.

Part 140

Considering amending section 140.6 to update the classification list of goods and services related to trademarks and service marks.

Part 154

Considering amending sections 154.4 through 154.7 to clarify the Division’s procedures related to the processing of expedited requests for services.

DIVISION OF LICENSING SERVICES

Part 160

Considering amending regulations to clarify that appearance enhancement practitioners may maintain material safety data sheets in electronic form.

Considering amending appearance enhancement regulations regarding esthetics curriculum and waxing procedures.

Section 175.17

Considering amending this section to create certain cease and desist zones in the state.

Section 192.7

Considering amending this section to change continuing education requirements for hearing aid dispensers.

Part 195

Considering amending regulations pertaining to alarm installation, service and maintenance in order to clarify licensing requirements and to incorporate new technology and terminology.

Part 1102 et seq.

Considering amending regulations pertaining to real estate appraisal in order to permit the completion of qualifying education via distance learning.

Parts 170-175 and Part 1102 et seq.

Considering amending regulations pertaining to private investigators, watch guard patrol companies, security guards and real estate appraisers in order to further implement the New York State Enterprise E-Licensing initiative.

OFFICE OF PLANNING AND DEVELOPMENT

Parts 600 - 603

Considering amending the New York State Coastal and Inland Waterway Regulations affecting federal, state, local, and individual actions concerned with Article 42 of the New York State Executive Law (“Waterfront Revitalization of Coastal Areas and Inland Waterways”) and implementation of the Federal Coastal Zone Management Act in New York as described in the New York Coastal Management Program.

Written comments or requests for information concerning an item listed above may be submitted to David Treacy, Esq., Office of General Counsel, New York State Department of State, One Commerce Plaza, Albany, New York 12231-0001, (518) 474-6740; [email protected]. This agenda is posted on the Department’s website at http://www.dos.ny.gov/info/regulatory_activity/index.html