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

                                  6164

                       2013-2014 Regular Sessions

                          I N  A S S E M B L Y

                             March 15, 2013
                               ___________

Introduced  by M. of A. TEDISCO, FINCH, REILICH -- Multi-Sponsored by --
  M. of A. BARCLAY, BUTLER, GIGLIO, KOLB, P. LOPEZ, RAIA  --  read  once
  and referred to the Committee on Governmental Operations

AN  ACT  to amend the state administrative procedure act, in relation to
  creating the New York state regulatory review  council  and  expanding
  regulatory impact statements

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

  Section 1. Subdivision 3 of section 202-a of the state  administrative
procedure  act, as amended by chapter 520 of the laws of 1992, paragraph
(b) as amended by chapter 229 of the laws of 2000 and paragraph  (f)  as
amended  by  chapter  628  of  the  laws  of 1995, is amended to read as
follows:
  3. Each regulatory impact statement shall contain:
  (a) Statutory authority. A statement analyzing the statutory authority
for the rule, including but not limited to the  agency's  interpretation
of the legislative objectives of such authority;
  (b)  Needs  and  benefits.  A [statement setting forth the purpose of,
necessity for, and benefits derived from the rule,] DESCRIPTION  OF  THE
POTENTIAL  BENEFITS  OF  THE RULE, INCLUDING ANY BENEFICIAL EFFECTS THAT
CANNOT BE QUANTIFIED IN MONETARY TERMS, THE NECESSITY OF THE  RULE,  THE
IDENTIFICATION  OF THOSE LIKELY TO RECEIVE THE BENEFITS THEREOF, a cita-
tion for and summary, not to exceed five hundred words, of  each  scien-
tific  or statistical study, report or analysis that served as the basis
for the rule, an explanation of how it was used to determine the  neces-
sity  for and benefits derived from the rule, and the name of the person
that produced each study, report or analysis;
  (c) Costs. A [statement detailing the projected  costs  of  the  rule,
which shall indicate:
  (i)  the  costs  for  the implementation of, and continuing compliance
with, the rule to regulated persons;

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD05769-01-3
              

A. 6164                             2

  (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 information, including the source or sources of such infor-
mation, 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]  DESCRIPTION OF THE POTENTIAL COSTS OF THE RULE, INCLUDING
ANY ADVERSE EFFECTS THAT CANNOT BE QUANTIFIED IN MONETARY TERMS, AND THE
IDENTIFICATION OF ALL THOSE ENTITIES LIKELY TO BEAR THE COSTS;
  (d) Paperwork. A statement  describing  the  need  for  any  reporting
requirements,  including  forms  and  other  paperwork,  which  would be
required as a result of the rule AND ANY FEES THE AGENCY  WOULD  REQUIRE
TO BE PAID WITH THE FILING AND PROCESSING OF THIS PAPERWORK;
  (e)  Local  government  mandates.  A statement describing any program,
service, duty or responsibility imposed by the  rule  upon  any  county,
city,  town,  village,  school  district, fire district or other special
district;
  (f) Duplication. A DETAILED statement identifying relevant  rules  and
other legal requirements of the state and federal governments, including
those  which  may  duplicate, overlap or conflict with the rule.  If the
statement indicates that the rule would duplicate, overlap  or  conflict
with  any other relevant rule or legal requirement, the statement should
also identify all efforts which the agency  has  or  will  undertake  to
resolve,  or  minimize  the  impact  of,  such  duplication,  overlap or
conflict on regulated persons, including, but not  limited  to,  seeking
waivers  of  or  exemptions from such other rules or legal requirements,
seeking amendment of such other rules or legal requirements, or entering
into a memorandum of understanding or other  agreement  concerning  such
other rules or legal requirements;
  (g)  Alternative approaches. A DETAILED statement indicating [whether]
any [significant] alternatives to the rule [were considered by the agen-
cy], including a  DETAILED  discussion  of  such  alternatives  and  the
reasons  why  they  were not incorporated into the rule.  IN ADDITION, A
DESCRIPTION OF ALTERNATIVE APPROACHES THAT COULD ACHIEVE THE SAME  REGU-
LATORY  GOAL  AT LOWER COST, TOGETHER WITH AN ANALYSIS OF SUCH POTENTIAL
BENEFIT AND COSTS, AND A BRIEF DESCRIPTION OF THE LEGAL REASONS WHY SUCH
ALTERNATIVES, IF PROPOSED, COULD NOT BE ADOPTED;
  (h) Federal  standards.  A  statement  identifying  whether  the  rule
exceeds  any minimum standards of the federal government for the same or
similar subject areas and, if so, an explanation of why the rule exceeds
such standards; and
  (i) Compliance schedule. A statement indicating the  estimated  period
of time necessary to enable regulated persons to achieve compliance with
the rule.
  S 2. The state administrative procedure act is amended by adding a new
section 208 to read as follows:
  S  208.  NEW  YORK STATE REGULATORY REVIEW COUNCIL. 1. THERE IS HEREBY
CREATED THE "NEW YORK STATE REGULATORY REVIEW COUNCIL".   ON  AND  AFTER
JANUARY  FIRST,  TWO  THOUSAND FOURTEEN, NO NEW RULE, UNLESS CRITICAL TO
THE HEALTH, SAFETY AND GENERAL WELFARE OF THE PEOPLE OF THE STATE, SHALL
BECOME EFFECTIVE UNLESS SUCH RULE HAS BEEN APPROVED BY MAJORITY VOTE  OF
THE  COUNCIL.  ANY  ACTION TAKEN BY THE COUNCIL SHALL BE FINAL AND SHALL
ONLY OCCUR AFTER THE AGENCY REQUESTING THE RULE HAS HELD A PUBLIC  HEAR-

A. 6164                             3

ING  AS  REQUIRED  PURSUANT  TO SECTION TWO HUNDRED TWO OF THIS ARTICLE.
UNDER NO CIRCUMSTANCES, SHALL ANY RULE BE PLACED BEFORE THE COUNCIL  FOR
FINAL  DETERMINATION  OF  APPROVAL UNLESS, (I) THE POTENTIAL BENEFITS OF
THE RULE TO SOCIETY CLEARLY OUTWEIGH THE POTENTIAL COSTS TO SOCIETY, AND
THAT  SITUATION HAS BEEN CLEARLY IDENTIFIED BY THE COUNCIL, AND (II) THE
RULE MAXIMIZES THE NET BENEFITS TO  SOCIETY  AND  IS  THE  LEAST  COSTLY
ALTERNATIVE, AND THE MAXIMUM BENEFITS AND MINIMUM COSTS HAVE BEEN CLEAR-
LY IDENTIFIED BY THE COUNCIL.
  2.  THE COUNCIL SHALL CONSIST OF THE FOLLOWING SIX VOTING MEMBERS: THE
GOVERNOR, THE COMPTROLLER, THE SPEAKER OF  THE  ASSEMBLY,  THE  MINORITY
LEADER  OF  THE  ASSEMBLY, THE TEMPORARY PRESIDENT OF THE SENATE AND THE
MINORITY LEADER OF THE SENATE, OR THEIR DESIGNATED  REPRESENTATIVE.  THE
MEMBERS  OF THE COUNCIL OR THEIR DESIGNATED REPRESENTATIVE SHALL RECEIVE
NO COMPENSATION FOR THEIR SERVICES. FOUR MEMBERS OF  THE  COUNCIL  SHALL
CONSTITUTE  A  QUORUM  AND  THE  AFFIRMATIVE VOTE OF THE MAJORITY OF THE
WHOLE COUNCIL SHALL BE NECESSARY FOR THE TRANSACTION OF ANY BUSINESS  OR
THE  EXERCISE  OF  ANY  POWER  OF THE COUNCIL. THE COUNCIL SHALL MEET AT
LEAST ONCE EVERY MONTH BUT SHALL MEET FIRST WITHIN  SEVEN  DAYS  OF  THE
BEGINNING OF EVERY MONTH TO CONDUCT ITS BUSINESS.
  3.  EACH  STATE  AGENCY PROPOSING A RULE SHALL SUBMIT THE FOLLOWING TO
THE COUNCIL IN ORDER FOR THE COUNCIL TO  TAKE  ACTION  ON  THE  AGENCY'S
PROPOSAL:
  (A)  A  STATEMENT CITING THE STATUTORY AUTHORITY, INCLUDING PARTICULAR
SECTIONS AND SUBDIVISIONS OF LAW, UNDER WHICH THE ACTION WILL BE TAKEN;
  (B) THE EXPRESS TERMS OF SUCH PROPOSED ACTION IN TWO THOUSAND WORDS OR
LESS;
  (C) A REGULATORY  IMPACT  STATEMENT  AS  REQUIRED  UNDER  SECTION  TWO
HUNDRED TWO-A OF THIS ARTICLE;
  (D)  THE  ANTICIPATED  EFFECTIVE  DATE OF THE NEW, AMENDED OR REPEALED
RULE;
  (E) THE NAME, PUBLIC OFFICE ADDRESS AND TELEPHONE NUMBER OF THE AGENCY
REPRESENTATIVE FROM WHOM THE EXPRESS TERMS OF THE ACTION AND ANY REGULA-
TORY IMPACT STATEMENT MAY BE OBTAINED;
  (F) A TRANSCRIPT OF THE PUBLIC HEARINGS  HELD  ON  THE  PROPOSED  RULE
CHANGE REQUIRED UNDER SECTION TWO HUNDRED TWO OF THIS ARTICLE AS WELL AS
THE  NAMES, ADDRESSES AND PHONE NUMBERS OF ALL INDIVIDUALS WHO TESTIFIED
AT SUCH HEARINGS;
  (G) A STATEMENT OUTLINING THE DETERMINATION MADE BY THE AGENCY PROPOS-
ING THE RULE THAT THE PROPOSED RULE  IS  CLEARLY  WITHIN  THE  AUTHORITY
DELEGATED BY LAW AND CONSISTENT WITH THE LEGISLATIVE INTENT; AND
  (H) A STATEMENT OUTLINING THE DETERMINATION MADE BY THE AGENCY PROPOS-
ING  THE  RULE THAT THE FACTUAL CONCLUSIONS UPON WHICH THE RULE IS BASED
HAVE SUBSTANTIAL SUPPORT IN THE AGENCY RECORD, VIEWED AS A  WHOLE,  WITH
FULL ATTENTION TO PUBLIC COMMENTS IN GENERAL AND THE COMMENTS OF PERSONS
DIRECTLY AFFECTED BY THE RULE IN PARTICULAR.
  4. IN ADDITION TO THE POWERS SET FORTH IN THE OTHER PROVISIONS OF THIS
SECTION, THE COUNCIL SHALL HAVE THE FOLLOWING POWERS TO:
  (A) REQUIRE ANY STATE OFFICER, OR THE HEAD OF ANY DEPARTMENT, DIVISION
OR  BUREAU  THEREOF,  TO FURNISH SUCH DATA, INFORMATION OR STATEMENTS AS
MAY BE NECESSARY FOR THE COUNCIL TO CONDUCT ITS BUSINESS;
  (B) TAKE AND HEAR PROOFS AND TESTIMONY FROM INDIVIDUALS IN THE  PUBLIC
AND  PRIVATE SECTOR, SUBPOENA AND COMPEL THE ATTENDANCE OF WITNESSES AND
COMPEL THE PRODUCTION OF BOOKS, PAPERS, RECORDS AND DOCUMENTS;
  (C) ESTABLISH A COMPLAINT PROCEDURE FOR DETERMINING ENFORCEMENT ACTIV-
ITIES THAT MAY CAUSE ECONOMIC,  FINANCIAL  OR  OTHER  HARM  TO  ENTITIES
AFFECTED  BY  EXISTING  OR  PROPOSED RULES. IN ADDITION, THE COUNCIL MAY

A. 6164                             4

PROVIDE RECOMMENDATIONS TO AGENCIES FOR CHANGING SUCH ENFORCEMENT PROCE-
DURES;
  (D)  PREPARE  AND  PROMULGATE UNIFORM STANDARDS FOR THE DEVELOPMENT OF
REGULATORY IMPACT STATEMENTS REQUIRED PURSUANT TO THIS ARTICLE;
  (E) IDENTIFY DUPLICATIVE, OVERLAPPING AND CONFLICTING RULES,  EXISTING
OR  PROPOSED,  AND EXISTING OR PROPOSED RULES THAT ARE INCONSISTENT WITH
THE POLICIES UNDERLYING STATUTES GOVERNING AGENCIES OTHER THAN THE ISSU-
ING AGENCY AND, IN SUCH CASES, REQUIRE APPROPRIATE INTERAGENCY CONSULTA-
TION TO MINIMIZE OR ELIMINATE SUCH DUPLICATION, OVERLAP OR CONFLICT;
  (F) DEVELOP PROCEDURES FOR ESTIMATING THE ANNUAL BENEFITS AND COSTS OF
AGENCY REGULATIONS, ON BOTH AN  AGGREGATE  AND  ECONOMIC  OR  INDUSTRIAL
SECTOR BASIS, FOR PURPOSES OF COMPILING A REGULATORY BUDGET; AND
  (G) MONITOR AGENCY COMPLIANCE WITH THE REQUIREMENTS OF THIS SECTION.
  5.  ANNUALLY,  AFTER  JANUARY FIFTEENTH AND BEFORE FEBRUARY FIFTEENTH,
COMMENCING TWO THOUSAND FIFTEEN, THE COUNCIL  SHALL  PUBLISH  AN  ANNUAL
REPORT  REGARDING  THE  ACTIONS  TAKEN  BY  THE COUNCIL DURING THE PRIOR
CALENDAR YEAR. SUCH REPORT SHALL INCLUDE SPECIFIC DETAILS CONCERNING NEW
OR AMENDED RULES AND  REGULATIONS  PROPOSED  TO  THE  COUNCIL  AND  WHAT
ACTIONS  WERE TAKEN BY THE COUNCIL ON SUCH NEW OR AMENDED RULES OR REGU-
LATIONS.
  S 3. This act shall take effect immediately, and shall apply to  rules
and  regulations  proposed  to be added, amended or repealed on or after
such effective date.