S T A T E O F N E W Y O R K
________________________________________________________________________
2721
2015-2016 Regular Sessions
I N S E N A T E
January 28, 2015
___________
Introduced by Sens. CARLUCCI, FELDER, GALLIVAN, MARCHIONE -- read twice
and ordered printed, and when printed to be committed to the Committee
on Commerce, Economic Development and Small Business
AN ACT to amend the state administrative procedure act, in relation to
authorizing regulated businesses to petition a state agency for an
alternate method of implementing a regulatory mandate
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Section 204-a of the state administrative procedure act,
as added by chapter 479 of the laws of 2001, is amended to read as
follows:
S 204-a. Alternate methods for implementing regulatory mandates. 1. As
used in this section:
(a) "local government" means any county, city, town, village, school
district, fire district or other special district;
(b) "REGULATED BUSINESSES" MEANS ANY GROUP OF BUSINESSES OF A SIMILAR
TYPE OR TRADE, OR FROM THE SAME REGION OR AREA OF THE STATE, OR ANY
GROUP OF BUSINESSES WITHIN THE STATE, THAT ARE SUBJECT TO THE REGULATION
OF ANY AGENCY. SUCH TERM SHALL INCLUDE ANY ENTITY OR GROUP WHICH REPRES-
ENTS SUCH BUSINESSES;
(C) "regulatory mandate" means any rule which (I) requires one or more
local governments to create a new program, increase the level of service
for an existing program or otherwise comply with mandatory requirements;
OR (II) REGULATES THE CONDUCTING AND MANAGEMENT OF ANY BUSINESS IN THIS
STATE; and
[(c)] (D) "petition" means a document submitted by a local government
seeking approval of an alternate method for implementing a regulatory
mandate.
2. A petition shall include:
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD08326-01-5
S. 2721 2
(a) an indication that submission has been approved by the governing
body of the local government or by an officer duly authorized by the
governing body to do so;
(b) an identification of the regulatory mandate which is the subject
of the petition and information sufficient to establish that the
proposed alternate method of implementation is consistent with and will
effectively carry out the objectives of the regulatory mandate;
(c) information on the process used by the local government to ensure
that all stakeholders have been appropriately involved in the process of
developing the alternate method, including where relevant the date of
any hearing, forum or other meeting to seek input on the alternate meth-
od;
(d) documentation that the petition has been submitted to the author-
ized agents of any certified or recognized employee organizations
representing employees who would be effected by implementation of the
alternate method;
(e) a proposed plan and timetable for compiling and reporting informa-
tion to facilitate evaluation of the effectiveness of the alternate
method;
(f) if the state provides financial assistance for complying with the
regulatory mandate, any proposed amount or percentage of such assistance
which would be returned to the state due to savings from implementing
the alternate method; and
(g) the name, public office address and telephone number of the repre-
sentative of the local government who will coordinate requests for addi-
tional information on the petition.
2-A. REGULATED BUSINESSES MAY SEEK APPROVAL FOR AN ALTERNATE METHOD OF
IMPLEMENTING A REGULATORY MANDATE BY SUBMITTING TO THE APPROPRIATE STATE
AGENCY A PETITION WHICH SHALL INCLUDE BUT NOT BE LIMITED TO:
(A) FOR EACH INVOLVED REGULATED BUSINESS, AN INDICATION THAT
SUBMISSION HAS BEEN APPROVED BY THE OWNER OR GOVERNING BODY OF THE REGU-
LATED BUSINESS TO DO SO;
(B) AN IDENTIFICATION OF THE REGULATORY MANDATE WHICH IS THE SUBJECT
OF THE PETITION;
(C) INFORMATION SUFFICIENT TO ESTABLISH THAT THE PROPOSED ALTERNATE
METHOD OF IMPLEMENTATION IS CONSISTENT WITH AND WILL EFFECTIVELY CARRY
OUT THE OBJECTIVES OF THE REGULATORY MANDATE; AND
(D) THE NAME, BUSINESS ADDRESS AND TELEPHONE NUMBER OF THE REPRESEN-
TATIVE OF THE REGULATED BUSINESSES WHO WILL COORDINATE REQUESTS FOR
ADDITIONAL INFORMATION ON THE PETITION.
3. Two or more local governments may submit a petition jointly,
provided that each local government meets the requirements of paragraphs
(a), (c), (d) and (g) of subdivision two of this section, and provided
that the petition addresses the manner in which responsibility for
implementation will be allocated between or among the participating
local governments.
4. The agency shall cause a notice of the petition to be published in
the state register and shall receive comments on the petition for a
period of thirty days. Such notice shall either include the full text of
the information set forth in the petition or shall set forth the address
of a website on which the full text has been posted. The notice shall
include the name, public office OR BUSINESS address and telephone
number, and may include a fax number and electronic mail address, of an
agency representative from whom additional information on the petition
can be obtained and to whom comments on the petition may be submitted.
S. 2721 3
5. (a) Not later than thirty days after the last day of the comment
period, the agency shall approve or disapprove the petition. The agency
may approve the petition without change or with such conditions or
modifications as the agency deems appropriate. Notice of the agency
determination shall be provided in writing to the local government OR
REGULATED BUSINESSES and shall be published in the state register. The
agency shall not grant a petition unless it determines that the petition
has met the requirements of subdivision two OR TWO-A of this section and
that the local government [has] OR REGULATED BUSINESSES HAVE established
that the alternate method is consistent with and will effectively carry
out the objectives of the regulatory mandate; provided, however, that no
petition shall be approved which would result in the [contravention]
DIMINUTION OR ABATEMENT of any environmental, health or safety standard
or would reduce any benefits or rights accorded by law or rule to third
parties. In approving a petition, an agency may waive a statutory
provision only if it is specifically authorized by law to waive such
provision. An approval shall include a timetable for agency evaluation
of the effectiveness of the alternate method.
(b) Notwithstanding the provisions of paragraph (a) of this subdivi-
sion, upon receipt of an objection to a petition from the authorized
agent of any certified or recognized employee organization representing
employees who would be affected by implementation of the alternate meth-
od, the agency shall provide any such organizations with an opportunity
for a hearing. If an adjudicatory proceeding is requested, the petition
shall not be approved unless the agency determines by a preponderance of
the evidence that implementing the alternate method would not affect
such employees by contravening any environmental, health or safety stan-
dard, reducing any rights or benefits or violating the terms of any
negotiated agreement, and that all other requirements of this section
have been met. The provisions of this subdivision are in addition to and
shall not be construed to impair or modify any rights of such employees
under any other law, regulation or contract.
6. Nothing in this section shall require a local government OR REGU-
LATED BUSINESSES to commence or continue an alternate method of imple-
mentation if it determines in its sole discretion not to do so, except
to the extent that a local government [has] OR REGULATED BUSINESSES HAVE
committed to commencing or continuing an alternate method in a joint
petition submitted pursuant to subdivision three of this section. A
state agency may rescind its approval of a petition at any time if it
determines, based on the information reported pursuant to paragraph (e)
of subdivision two of this section or other information available to it,
that the alternate method is not effectively carrying out the objectives
of the regulatory mandate or is being implemented in a manner detri-
mental to the public interest.
7. Notwithstanding any other provision of law, implementation of an
alternate method approved by an agency pursuant to this section shall be
deemed to lawfully meet all requirements of the regulatory mandate. An
agency shall retain the authority to enforce compliance with the alter-
nate method in the same manner as it may enforce compliance with the
underlying rule. Any action on a petition by a state agency shall be
subject to review pursuant to article seventy-eight of the civil prac-
tice law and rules.
8. In accordance with the timetable established pursuant to subdivi-
sion four of this section, the agency shall evaluate the effectiveness
of the alternate method in carrying out the objectives of the regulatory
mandate. The evaluation shall identify any savings or other benefits,
S. 2721 4
and any costs or other disadvantages, of implementing the alternate
method, and shall address the desirability of incorporating the alter-
nate method into the rules of the agency. Notice of availability of the
evaluation shall be published in the state register.
S 2. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law.