NY State Senate Bill 2009-S5796

Senate Bill S5796

2009-2010 Legislative Session

Relates to state mandates on local governments and detailing the benefits and costs of proposed rules

download bill text pdf

Archive: Last Bill Status - In Senate Committee Commerce, Economic Development And Small Business Committee

Introduced
- In Committee Assembly
- In Committee Senate
- On Floor Calendar Assembly
- On Floor Calendar Senate
- Passed Assembly
- Passed Senate
Delivered to Governor
Signed By Governor

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	Assembly Actions - Lowercase Senate Actions - UPPERCASE
Jan 06, 2010	referred to commerce, economic development and small business
Jun 05, 2009	referred to rules

2009-S5796 (ACTIVE) - Details

Current Committee:: Senate Commerce, Economic Development And Small Business
Law Section:: State Administrative Procedure Act
Laws Affected:: Amd §§102, 202, 202-a & 202-b, rpld §204-a sub 1 ¶(a), St Ad Proc Act

2009-S5796 (ACTIVE) - Summary

Relates to state mandates on local governments and detailing the benefits and costs of proposed rules.

2009-S5796 (ACTIVE) - Sponsor Memo

                                 BILL NUMBER:  S5796

 TITLE OF BILL :

An act to amend the state administrative procedure act, in relation to
state mandates on local governments and detailing the benefits and
costs of proposed rules and to repeal certain provisions of such act
relating thereto


 PURPOSE OR GENERAL IDEA OF BILL :

Amends State Administrative Procedure Act (SAPA) to provide that state
agencies must obtain and disclose more detailed fiscal information
than is currently required about proposed rules that would impose
compliance costs on local governments.

 SUMMARY OF SPECIFIC PROVISIONS :

It would:

* expand fiscal information requirements to all agencies' rulemakings.

* define "local government" to include counties, cities, towns,
villages, and school districts.

* ensure that the assessment of public comments prepared for a revised
rule making will take into account estimates of the cost impact of
rules which differ significantly from the agency's estimates, and
provide these comments to executive and legislative officers who
oversee rulemaking.

* provide for expanded information in the regulatory impact statement
accompanying a proposed rule on the benefits and costs associated with
the rule, and address both positive and adverse cost impacts.

* require agencies to develop and post on their website procedures to
ensure that interested parties have an opportunity to participate in
the development of their rules.

* require that, when an agency's proposed rule would impose costs on a
local government, the agency must describe what sources of funding may
be available to local governments to implement the rule's
requirements.

 JUSTIFICATION :

Rules promulgated by state agencies often have a substantial impact on
the lives of the state's residents and the operations of local
governments and businesses, and therefore should be adopted through a
process that provides for the open and fully realized consideration of
potential costs and benefits of regulatory action.

 PRIOR LEGISLATIVE HISTORY :

This is a new bill.

 FISCAL IMPLICATIONS :

Unknown.

 EFFECTIVE DATE :
The first of September next succeeding the date on which it shall
become a law, and shall apply to any rule for which a notice of
proposed or revised rulemaking or a notice of adoption is first
prepared on or after such date.

2009-S5796 (ACTIVE) - Bill Text download pdf

                            
                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                  5796

                       2009-2010 Regular Sessions

                            I N  S E N A T E

                              June 5, 2009
                               ___________

Introduced  by  Sen. VALESKY -- read twice and ordered printed, and when
  printed to be committed to the Committee on Rules

AN ACT to amend the state administrative procedure act, in  relation  to
  state  mandates  on  local  governments and detailing the benefits and
  costs of proposed rules and to repeal certain provisions of  such  act
  relating thereto

  THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section 1. The legislature finds that the rules promulgated  by  state
agencies  often  have  a  substantial impact on the lives of the state's
residents and the operations of local governments  and  businesses,  and
therefore should be adopted through a process that provides for the open
and  fully realized consideration of the potential costs and benefits of
regulatory action. To this end, the statutes  governing  the  rulemaking
process should ensure that agency assessments of the costs and the bene-
fits of proposed rules are accurate and comprehensive.
  S  2. Section 102 of the state administrative procedure act is amended
by adding a new subdivision 15 to read as follows:
  15. "LOCAL GOVERNMENT" MEANS  ANY  COUNTY,  CITY,  TOWN,  VILLAGE,  OR
SCHOOL DISTRICT.
  S  3.  Paragraph  (b)  of  subdivision 4-a of section 202 of the state
administrative procedure act, as added by chapter 335  of  the  laws  of
1992, is amended to read as follows:
  (b)  Each  agency  shall  publish  and make available to the public an
assessment of public comment for a rule revised pursuant to this  subdi-
vision. Such assessment shall be based upon any written comments submit-
ted  to the agency and any comments presented at any public hearing held
on the proposed rule by the agency. The assessment shall contain:  (i) a
summary and an analysis of the issues raised  and  significant  alterna-
tives  suggested  by  any such comments; (ii) a statement of the reasons
why any significant alternatives were not incorporated  into  the  rule;

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD11932-02-9

S. 5796                             2

and  (iii)  a description of any changes made in the rule as a result of
such comments. IF ANY COMMENTS INCLUDE ESTIMATES OF PROJECTED  COSTS  OF
THE  PROPOSED  RULE TO THE STATE, LOCAL GOVERNMENTS OR REGULATED PERSONS
WHICH  DIFFER  SIGNIFICANTLY  FROM  THOSE PRESENTED BY THE AGENCY IN ITS
REGULATORY IMPACT STATEMENT, REGULATORY FLEXIBILITY  ANALYSIS  OR  RURAL
AREA  FLEXIBILITY  ANALYSIS, THE ASSESSMENT SHALL SET FORTH THE AGENCY'S
EVALUATION OF THE DIFFERING ESTIMATES.  COPIES OF COMMENTS THAT  INCLUDE
ESTIMATES  OF  PROJECTED COSTS WHICH DIFFER SIGNIFICANTLY FROM THE AGEN-
CY'S ESTIMATES SHALL ACCOMPANY THE ASSESSMENT OF PUBLIC COMMENT DISTRIB-
UTED WITH THE RULE MAKING NOTICE PURSUANT TO PARAGRAPH (A)  OF  SUBDIVI-
SION  SIX-A  OF  THIS  SECTION.  If  no comments have been received, the
notice of revised rule making shall state that no comments were received
by the agency. Any subsequent  assessment  published  pursuant  to  this
paragraph or paragraph (b) of subdivision five of this section need only
include comments not addressed in any previously published assessment of
public  comment  for  the  rule;  provided,  however, that the notice of
revised rule making or adoption shall  contain  the  date  any  previous
notice of revised rule making containing an assessment of public comment
was published in the state register.
  S 4. Paragraph (b) of subdivision 5 of section 202 of the state admin-
istrative  procedure act, as amended by chapter 171 of the laws of 1994,
is amended to read as follows:
  (b) Except with respect to any rule defined in  subparagraph  (ii)  of
paragraph  (a)  of  subdivision  two  of section one hundred two of this
chapter, each agency shall publish [and], make available to  the  public
ON  ITS  WEBSITE  AND  DELIVER  TO THE ADMINISTRATIVE REGULATIONS REVIEW
COMMISSION an assessment of public comment for a rule  adopted  pursuant
to this subdivision or paragraph (e) of subdivision six of this section.
Such  assessment  shall  be based upon any written comments submitted to
the agency and any comments presented at any public hearing held on  the
proposed rule by the agency. The assessment shall contain: (i) a summary
and  an  analysis  of  the  issues  raised  and significant alternatives
suggested by any such comments, (ii) a statement of the reasons why  any
significant alternatives were not incorporated into the rule and (iii) a
description  of  any  changes  made  in  the  rule  as  a result of such
comments. If any comments included estimates of projected costs  of  the
proposed  rule  to  the  state,  local governments or regulated persons,
which differed significantly from those presented by the agency  in  its
regulatory  impact  statement, regulatory flexibility analysis, or rural
area flexibility analysis, the assessment shall also summarize the agen-
cy's assessment of such estimates.   COPIES  OF  COMMENTS  THAT  INCLUDE
ESTIMATES  OF  PROJECTED COSTS WHICH DIFFER SIGNIFICANTLY FROM THE AGEN-
CY'S ESTIMATES SHALL ACCOMPANY THE ASSESSMENT OF PUBLIC COMMENT DISTRIB-
UTED WITH THE RULE MAKING NOTICE PURSUANT TO PARAGRAPH (A)  OF  SUBDIVI-
SION  SIX-A  OF  THIS  SECTION.  If  no comments have been received, the
notice of adoption shall state that no comments  were  received  by  the
agency.  Comments  submitted or presented to the agency by a legislative
committee or commission or by a member  or  members  of  the  senate  or
assembly  shall be considered public comment and shall be summarized and
analyzed in the assessment.
  S 5. Subdivision 2 of section 202-a of the state administrative proce-
dure act, as amended by chapter 850 of the laws of 1990, is  amended  to
read as follows:
  2.  Each  agency shall, except as provided in subdivision five of this
section, issue AND DELIVER  TO  THE  ADMINISTRATIVE  REGULATIONS  REVIEW

S. 5796                             3

COMMISSION  a  regulatory  impact  statement  for  a  rule  proposed for
adoption or a rule adopted on an emergency basis.
  S  6. Paragraphs (b), (c) and (d) of subdivision 3 of section 202-a of
the state administrative procedure act,  paragraph  (b)  as  amended  by
chapter 229 of the laws of 2000 and paragraphs (c) and (d) as amended by
chapter 520 of the laws of 1992, are amended to read as follows:
  (b)  Needs  and  benefits.  A  statement setting forth the purpose of,
necessity for, and benefits derived from the rule, a  citation  for  and
summary, not to exceed five hundred words, of each scientific or statis-
tical  study,  report or analysis that served as the basis for the rule,
an explanation of how it was used to determine  the  necessity  for  and
benefits derived from the rule, and the name of the person that produced
each study, report or analysis. THE STATEMENT SHALL IDENTIFY THE CLASSES
OF  PERSONS  OR  ENTITIES  THAT WOULD BENEFIT FROM ADOPTION OF THE RULE,
DESCRIBE THE NATURE OF THE BENEFITS THAT  SUCH  CLASSES  OF  PERSONS  OR
ENTITIES WOULD DERIVE FROM IT, AND SET FORTH THE INFORMATION AND METHOD-
OLOGY UPON WHICH THE ANALYSIS OF THE BENEFITS IS BASED;
  (c)  Costs.  A  statement  detailing the projected [costs] POSITIVE OR
NEGATIVE COST IMPACTS, INCLUDING MONETARY COSTS  AND  OPPORTUNITY  COSTS
AND  OTHER  NON-MONETARY  COSTS,  of  the  rule,  which shall [indicate]
INCLUDE:
  (i) the costs for the implementation  of,  and  continuing  compliance
with, the rule to regulated persons;
  (ii) the costs for the implementation of, and continued administration
of,  the  rule to the agency and to the state and its local governments;
and
  (iii) THE COSTS FOR PERSONS WHO OR ENTITIES THAT ARE NOT REGULATED  BY
BUT ARE OTHERWISE AFFECTED BY THE RULE;
  (IV) the information, including the source or sources of such informa-
tion,  and methodology upon which the cost analysis is based; or [(iv)],
where an agency finds that it cannot fully provide a statement  of  such
costs, a statement setting forth its best estimate, which shall indicate
the  information  and methodology upon which such best estimate is based
and the reason or reasons  why  a  complete  cost  statement  cannot  be
provided;
  (d)  Paperwork.  A  statement  describing  the  need for any reporting
requirements, including forms and other paperwork AND ANY  REPORTING  BY
ELECTRONIC MEDIA, which would be required as a result of the rule;
  S  7.  Section  202-a  of  the  state  administrative procedure act is
amended by adding a new subdivision 7 to read as follows:
  7. EACH AGENCY SHALL DEVELOP AND MAINTAIN ON ITS WEBSITE  A  STATEMENT
OF  THE  PROCEDURES IT HAS ADOPTED TO ENSURE THAT INTERESTED PARTIES ARE
GIVEN AN OPPORTUNITY TO LEARN AT AN EARLY OPPORTUNITY  OF  THE  PROPOSED
DEVELOPMENT  OF ITS RULES AND TO PARTICIPATE MEANINGFULLY IN THAT DEVEL-
OPMENT.
  S 8. Paragraph (c) of subdivision 2 of  section  202-b  of  the  state
administrative  procedure  act, as amended by chapter 611 of the laws of
1996, is amended to read as follows:
  (c) an estimate of the initial capital costs and an  estimate  of  the
annual cost of complying with the rule, with an indication of any likely
variation  in  such  costs  for small businesses or local governments of
different types and of differing sizes, AND, WHEN THE RULE WOULD  IMPOSE
INITIAL  CAPITAL  COSTS OR ANNUAL COMPLIANCE COSTS ON LOCAL GOVERNMENTS,
THE AGENCY SHALL IDENTIFY  THE  SOURCES,  IF  ANY,  AVAILABLE  TO  LOCAL
GOVERNMENTS TO FUND IMPLEMENTATION OF THE RULE;

S. 5796                             4

  S  9.  Paragraph  (a)  of  subdivision 1 of section 204-a of the state
administrative procedure act is REPEALED and paragraphs (b) and  (c)  of
such subdivision are relettered paragraphs (a) and (b).
  S  10.  This  act  shall  take  effect  on the first of September next
succeeding the date on which it shall have become a law, and shall apply
to any rule for which a notice of proposed or revised  rulemaking  or  a
notice of adoption is first prepared on or after such date.

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