NEW YORK STATE
STATE ADMINISTRATIVE PROCEDURE ACT
(SAPA)

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TABLE OF CONTENTS

Article 1.     General Provisions (Sec.Sec. 100-103).

Article 2.     Rule making (Sec.Sec. 201-205).

Article 3.     Adjudicatory proceedings (Sec.Sec. 301-307).

Article 4.     Licenses (Sec. 401).

Article 5.     Representation (Sec. 501).

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ARTICLE 1

GENERAL PROVISIONS

Sec.   100.    Legislative intent.
Sec.   101.    Short title.
Sec.   102.    Definitions.
Sec.   103.    Construction; severability.

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Sec. 100. LEGISLATIVE INTENT.

The legislature hereby finds and declares that the administrative
rule making, adjudicatory and licensing processes among the
agencies of state government are inconsistent, lack uniformity
and create misunderstanding by the public. In order to provide
the people with simple, uniform administrative procedures, an
administrative procedure act is hereby enacted. This act
guarantees that the actions of administrative agencies conform
with sound standards developed in this state and nation since
their founding through constitutional, statutory and case law. It
insures that equitable practices will be provided to meet the
public interest.

It is further found that in the public interest it is desirable
for state agencies to meet the requirements imposed by the
administrative procedure act. Those agencies which will not have
to conform to this act have been exempted from the act, either
specifically by name or impliedly by definition.

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Sec. 101. SHORT TITLE.

This chapter shall be known and may be cited as the "State
Administrative Procedure Act."

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Sec. 102. DEFINITIONS.

As used in this chapter,

1.   "Agency" means any department, board, bureau, commission,
     division, office, council, committee or officer of the
     state, or a public benefit corporation or public authority
     at least one of whose members is appointed by the governor,
     authorized by law to make rules or to make final decisions
     in adjudicatory proceedings but shall not include the
     governor, agencies in the legislative and judicial branches,
     agencies created by interstate compact or international
     agreement, the division of military and naval affairs to the
     extent it exercises its responsibility for military and
     naval affairs, the division of state police, the
     identification and intelligence unit of the division of
     criminal justice services, the state insurance fund, the
     unemployment insurance appeal board, the worker's
     compensation board and except for purposes of article two of
     this chapter, the state division of parole and the
     department of correctional services.

2.   (a)  "Rule" means (i) the whole or part of each agency
          statement, regulation or code of general applicability
          that implements or applies law, or prescribes a fee
          charged by or paid to any agency or the procedure or
          practice requirements of any agency, including the
          amendment, suspension or repeal thereof and (ii) the
          amendment, suspension, repeal, approval or prescription
          for the future of rates, wages, security
          authorizations, corporate or financial structures or
          reorganization thereof, prices, facilities, appliances,
          services or allowances therefor or of valuations, costs
          or accounting, or practices bearing on any of the
          foregoing whether of general or particular
          applicability.

     (b)  Not included within paragraph (a) of this subdivision
          are:

          (i)    rules concerning the internal management of the
                 agency which do not directly and significantly
                 affect the rights of or procedures or practices
                 available to the public;

          (ii)   rules relating to the use of public works,
                 including streets and highways, when the
                 substance of such rules is indicated to the
                 public by means of signs or signals;

          (iii)  rulings issued under section two hundred four
                 or two hundred five of this chapter;

          (iv)   forms and instructions, interpretive statements
                 and statements of general policy which in
                 themselves have no legal effect but are merely
                 explanatory;

          (v)    rules promulgated to implement agreements
                 pursuant to article fourteen of the civil
                 service law;

          (vi)   rates of interest prescribed by the
                 superintendent of banks pursuant to section
                 fourteen-a of the banking law;

          (vii)  rules relating to the approval or disapproval
                 of subscriber rates contained in an application
                 to the commission on cable television, after
                 public hearing and approval by the applicable
                 municipality for a certificate of confirmation
                 or an amendment to a franchise agreement;

          (viii) state equalization rates, class ratios, special
                 equalization rates and special equalization
                 ratios established pursuant to the real
                 property tax law;

          (ix)   rates subject to prior approval by the
                 superintendent of insurance or to section two
                 thousand three hundred forty-four of the
                 insurance law;

          (x)    any fee which is:

                 (1)  set by statute;

                 (2)  less than one hundred dollars;

                 (3)  one hundred dollars or more and can
                      reasonably be expected to result in an
                      annual aggregate collection of not more
                      than one thousand dollars;

                 (4)  established through negotiation, written
                      agreement or competitive bidding,
                      including, but not limited to, contracts,
                      leases, charges, permits for space use,
                      prices, royalties or commissions; or

                 (5)  a charge or assessment levied by an agency
                      upon another agency or by an agency upon
                      another unit of state government.

3.   "Adjudicatory proceeding" means any activity which is not a
     rule making proceeding or an employee disciplinary action
     before an agency, except an administrative tribunal created
     by statute to hear or determine allegations of traffic
     infractions which may also be heard in a court of
     appropriate jurisdiction, in which a determination of the
     legal rights, duties or privileges of named parties thereto
     is required by law to be made only on a record and after an
     opportunity for a hearing.

4.   "License" includes the whole or part of any agency permit,
     certificate, approval, registration charter, or similar form
     of permission required by law.

5.   "Licensing" includes any agency activity respecting the
     grant, denial, renewal, revocation, suspension, annulment,
     withdrawal, recall, cancellation or amendment of a license.

6.   "Person" means any individual, partnership, corporation,
     association, or public or private organization of any
     character other than an agency engaged in the particular
     rule making, declaratory ruling, or adjudication.

7.   "Party" means any person or agency named or admitted as a
     party or properly seeking and entitled as of right to be
     admitted as a party, but nothing herein shall be construed
     to prevent an agency from admitting any person or agency as
     a party for limited purposes.

8.   "Small business" means any business which is resident in
     this state, independently owned and operated, and employs
     one hundred or less individuals.

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Sec. 103. CONSTRUCTION; SEVERABILITY.

1.   Except with respect to the provisions of subdivision six of
     section two hundred two of this chapter, the provisions of
     this chapter shall not be construed to limit or repeal
     additional requirements imposed by statute or otherwise. The
     provisions of section two hundred two of this chapter shall
     not relieve any agency from compliance with any statute
     requiring that its rules be filed with or approved by
     designated persons or bodies before such rules become
     effective.

2.   The provisions of this chapter shall not be deemed to repeal
     section six hundred fifty-nine of the labor law.

3.   The provisions of this chapter shall apply only to rule
     making, adjudicatory and licensing proceedings commencing on
     or after the effective date of this chapter.

4.   If any provision of this chapter or the application thereof
     to any person or circumstances is adjudged invalid by a
     court of competent jurisdiction, such judgment shall not
     affect or impair the validity of the other provisions of the
     chapter or the application thereof to other persons and
     circumstances.

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ARTICLE 2

RULE MAKING

Sec.   201.    Adoption of procedures.
Sec.   202.    Rule making procedure.
Sec.   202-a.  Regulatory impact.
Sec.   202-b.  Regulatory flexibility.
Sec.   202-c.  Regulatory review.
Sec.   202-d.  Regulatory agenda.
Sec.   203.    Filing; effective date.
Sec.   204.    Declaratory rulings by agencies.
Sec.   205.    Right to judicial review of rules.
Sec.   206.    Overlapping regulations; compliance determinations.

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Sec. 201. ADOPTION OF PROCEDURES.

This article establishes minimum procedures for all agencies,
provided, however, an agency may adopt by rule additional
procedures not inconsistent with statute.

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Sec. 202. RULE MAKING PROCEDURE.

1.   Notice of proposed rule making.

     (a)  Prior to the adoption of a rule, an agency shall
          submit a notice of proposed rule making to the
          secretary of state for publication in the state
          register and shall afford the public an opportunity to
          submit comments on the proposed rule. Unless a
          different time is specified by statute, the notice of
          proposed rule making must appear in the state register
          at least forty-five days prior to either:

          (i)  the addition, amendment or repeal of a rule for
               which statute does not require that a public
               hearing be held prior to adoption; or

          (ii) the first public hearing on a proposed rule for
               which such hearing is so required.

     (b)  The agency shall also notify every person who has
          submitted a written request to be notified by the
          agency of all proposed rules which may affect such
          person. Such requests shall expire annually on the
          thirty-first day of December with renewals for the
          succeeding year to be accepted on or after December
          first. Notices issued pursuant to such requests shall
          be sent in writing to the last address specified by the
          person. The agency may charge any person requesting
          such notice a fee consisting of the cost of
          preparation, handling and postage for the notice.

     (c)  When appropriate in the judgment of the agency, a
          notice may also be published in newspapers of general
          circulation and in trade, industry or professional
          publications as the agency may select.

     (d)  The requirement for publication of a notice of proposed
          rule making in the state register shall not preclude
          the initiation of a public hearing with respect to the
          proposal of any rule defined in subparagraph (ii) of
          paragraph (a) of subdivision two of section one hundred
          two of this chapter where notice otherwise consistent
          with the provisions of this subdivision has been given,
          provided, however, in all situations notice must be
          published within a reasonable time prior to the
          hearing.

     (e)  A copy of the complete text of the proposed rule, the
          regulatory impact statement, and the regulatory
          flexibility analysis shall be available to the public
          on the date notice is first given pursuant to this
          subdivision.

     (f)  The notice of proposed rule making shall:

          (i)    cite the statutory authority, including
                 particular sections and subdivisions, under
                 which the rule is proposed for adoption;

          (ii)   give the date, time and place of any public
                 hearing or hearings which are scheduled;

          (iii)  state whether or not the place of any public
                 hearing or hearings shall be reasonably
                 accessible to persons with a mobility
                 impairment; for purposes hereof, "persons with
                 a mobility impairment" shall mean those persons
                 with a physical impairment which is permanent
                 and severely limits that person's mobility, or
                 a person who is unable to ambulate without the
                 aid of a wheelchair or other prosthetic device,
                 provided, however, that the failure of such
                 accessibility in accordance herewith, upon
                 diligent effort to have provided same, shall
                 have no effect upon any actions or proceedings
                 taken at any such subject hearings;

          (iv)   include a statement that interpreter services
                 shall be made available to deaf persons, at no
                 charge, upon written request to such agency
                 representative as shall be designated pursuant
                 to subparagraph (viii) of this paragraph within
                 a reasonable time prior to any scheduled public
                 hearing or hearings. If interpreter services
                 are requested, the agency conducting the rule
                 making proceeding in all instances shall
                 appoint a qualified interpreter of the deaf to
                 interpret the proceedings to, and the testimony
                 of, such deaf person. Such agency shall
                 determine a reasonable fee for all such
                 interpreting services which shall be a charge
                 upon the agency;

          (v)    contain the complete text of the proposed rule,
                 provided, however, if such text exceeds two
                 thousand words, the notice shall contain only a
                 description of the subject, purpose and
                 substance of such rule in less than two
                 thousand words;

          (vi)   include a regulatory impact statement prepared
                 pursuant to section two hundred two-a of this
                 chapter, provided, however, if such statement
                 exceeds two thousand words, the notice shall
                 include only a summary of such statement in
                 less than two thousand words;

          (vii)  include a regulatory flexibility analysis
                 prepared pursuant to section two hundred two-b
                 of this chapter, provided, however, if such
                 analysis exceeds two thousand words, the notice
                 shall include only a summary of such analysis
                 in less than two thousand words;

          (viii) give the name, public office address and
                 telephone number of an agency representative,
                 knowledgeable on the proposed rule, from whom
                 the complete text of such rule, the regulatory
                 impact statement and the regulatory flexibility
                 analysis may be obtained; from whom information
                 about any public hearing may be obtained; and
                 to whom written data, views and arguments may
                 be submitted; and

          (ix)   include any additional matter required by
                 statute.

2.   Expiration of notice of proposed rule making; notice of
     expiration.

     (a)  Except with respect to any notice of proposed rule
          making concerning a rule defined in subparagraph (ii)
          of paragraph (a) of subdivision two of section one
          hundred two of this chapter, a notice of proposed rule
          making shall expire and be ineffective for the purposes
          of this section, unless the proposed rule is adopted by
          the agency and filed with the secretary of state in the
          manner prescribed by law, within one hundred eighty
          days after either:

          (i)  the publication in the state register of a notice
               of proposed rule making concerning a rule for
               which statute does not require that a public
               hearing be held prior to adoption; or

          (ii) the date of the last public hearing scheduled in a
               notice of proposed rule making concerning a rule
               for which such hearing is so required.

     (b)  When a notice so expires, the secretary of state shall
          publish a notice of expiration in the state register.
          Such notice shall contain such information as the
          secretary of state, at his discretion, determines will
          serve the public interest.

3.   Continuation of notice of proposed rule making; notice of
     continuation.

     (a)  A notice of proposed rule making shall not expire if,
          prior to the expiration date of the notice, a notice of
          continuation appears in the state register. A notice of
          continuation shall extend the expiration date of a
          notice of proposed rule making for an additional ninety
          days. No notice of proposed rule making may be
          continued more than twice. The agency which has
          submitted a notice of continuation may not adopt the
          proposed rule until at least thirty days after such
          notice appears in the state register.

     (b)  A notice of continuation shall contain:

          (i)  a description of the subject, purpose and
               substance of the proposed rule; and

          (ii) a description of any substantive changes in the
               proposed rule which the agency has made.

4.   Withdrawal of notice of proposed rule making; notice of
     withdrawal.

     An agency may withdraw a notice of proposed rule
     making and terminate a rule making proceeding by submitting
     a notice of withdrawal to the secretary of state for
     publication in the state register.

5.   Notice of adoption.

     (a)  When an agency files a rule with the secretary of
          state, such agency shall also submit a notice of
          adoption to the secretary of state for publication in
          the state register. The agency shall transmit a copy of
          the notice of adoption which shall include a copy of
          the complete text of the rule to the governor, the
          temporary president of the senate, the speaker of the
          assembly, the administrative regulations review
          commission and the office of business permits and
          regulatory assistance at the time such notice is
          submitted to the secretary of state for publication in
          the state register. Except as provided in subdivision
          six of this section, an agency may not file a rule
          with, or submit a notice of adoption to, the secretary
          of state unless the agency has previously submitted a
          notice of proposed rule making and complied with the
          provisions of this section.

     (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
          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 summarize the issues raised, including
          significant alternatives suggested by any such
          comments, summarize the agency's assessment of the
          issues and state any changes made in the rule as a
          result of such comments. If no comments have been
          received, the notice of adoption shall state that no
          comments were received by the agency.

     (c)  The notice of adoption shall:

          (i)    cite the statutory authority, including
                 particular sections and subdivisions, under
                 which the rule is adopted;

          (ii)   contain the complete text of the rule as
                 adopted, provided, however, if such text
                 exceeds two thousand words, the notice shall
                 contain only a description of the subject,
                 purpose and substance of such rule in less than
                 two thousand words;

          (iii)  state whether there have been any substantive
                 changes in the text of the rule as adopted when
                 compared with the text of the proposed rule,
                 and if such changes have occurred, cite the
                 particular sections, subdivisions and
                 paragraphs so changed;

          (iv)   give the effective date of the rule;

          (v)    include a revised regulatory impact statement,
                 when required by the provisions of subparagraph
                 (ii) of paragraph (a) of subdivision six of
                 section two hundred two-a of this chapter,
                 provided, however, if such statement exceeds
                 two thousand words, the notice shall include
                 only a summary of such statement in less than
                 two thousand words;

          (vi)   include a revised regulatory flexibility
                 analysis, when required by the provisions of
                 subparagraph (ii) of paragraph (a) of
                 subdivision seven of section two hundred two-b
                 of this chapter, provided, however, if such
                 statement exceeds two thousand words, the
                 notice shall include only a summary of such
                 statement in less than two thousand words;

          (vii)  include the assessment of public comment,
                 prepared pursuant to paragraph (b) of this
                 subdivision, provided, however, if such
                 assessment exceeds two thousand words, the
                 notice shall include only a summary of such
                 assessment in less than two thousand words;

          (viii) give the name, public office address and
                 telephone number of an agency representative
                 from whom the complete text of the rule and any
                 revised regulatory impact statement, revised
                 regulatory flexibility analysis of assessment
                 of comments may be obtained; and

          (ix)   include any additional matter required by
                 statute.

6.   Notice of emergency adoption.

     (a)  Notwithstanding any other provision of law, if an
          agency finds that the immediate adoption of a rule is
          necessary for the preservation of the public health,
          safety or general welfare and that compliance with the
          requirements of subdivision one of this section would
          be contrary to the public interest, the agency may
          dispense with all or part of such requirements and
          adopt the rule on an emergency basis.

     (b)  Unless otherwise provided by law, such emergency rule
          shall not remain in effect for longer than sixty days
          after being filed with the secretary of state unless
          within such time the agency complies with the
          requirements of subdivision one of this section and
          adopts the rule pursuant to the provisions of
          subdivision five of this section.

     (c)  An emergency rule which is in regard to security
          authorizations, corporate or financial structures or
          reorganization thereof, and for which statute does not
          require that a public hearing be held prior to
          adoption, shall not expire pursuant to the provisions
          of paragraph (b) of this subdivision if the agency
          finds that the purpose of the rule would be frustrated
          if subsequent notice procedures were required.

     (d)  A notice of emergency adoption shall:

          (i)    cite the statutory authority, including
                 particular sections and subdivisions, under
                 which the rule is adopted;

          (ii)   state whether the notice shall also constitute
                 a notice of proposed rule making for the
                 purposes of subdivision one of this section,
                 and if so, give the date, time and place of any
                 public hearing or hearings which are scheduled;

          (iii)  contain the findings required by paragraphs (a)
                 and (c) of this subdivision and include a
                 statement fully describing the specific reasons
                 for such findings;

          (iv)   give the effective date of the rule;

          (v)    state the date the rule will terminate;

          (vi)   contain the complete text of the rule as
                 adopted, provided, however, if such text
                 exceeds two thousand words, the notice shall
                 contain only a description of the subject,
                 purpose and substance of such rule in less than
                 two thousand words;

          (vii)  include a regulatory impact statement prepared
                 pursuant to section two hundred two-a of this
                 chapter or a statement setting forth that the
                 regulatory impact statement will appear in the
                 state register within thirty days of the
                 effective date of the emergency rule, provided,
                 however, if either statement exceeds two
                 thousand words, the notice shall include only a
                 summary of such statement in less than two
                 thousand words;

          (viii) include a regulatory flexibility analysis
                 prepared pursuant to section two hundred two-b
                 of this chapter or a statement that the
                 regulatory flexibility analysis will appear in
                 the state register within thirty days of the
                 effective date of the emergency rule, provided,
                 however, if such analysis or statement exceeds
                 two thousand words, the notice shall include
                 only a summary of such analysis or statement in
                 less than two thousand words;

          (ix)   give the name, public office address and
                 telephone number of an agency representative,
                 knowledgeable on the rule, from whom a complete
                 text of such rule, the regulatory impact
                 statement, and the regulatory flexibility
                 analysis may be obtained, from whom information
                 about any public hearing may be obtained, and
                 to whom written data, views and arguments may
                 be submitted; and

          (x)    include any additional matter required by
                 statute.

     (e)  If, prior to the expiration of a rule readopted
          pursuant to paragraph (a) of this subdivision, the
          agency finds that a second readoption of such rule on
          an emergency basis is necessary for the preservation of
          the public health, safety or general welfare, the
          agency may readopt the rule on an emergency basis. No
          second readoption shall be filed with the secretary of
          state unless the agency has submitted a notice of
          proposed rule making pursuant to subdivision one of
          this section. No third or subsequent readoption shall
          be filed with the secretary of state unless the agency
          at the same time submits an assessment of public
          comments prepared pursuant to paragraph (b) of
          subdivision five of this section.

7.   Rule text requirements.

     (a)  Except with respect to any rule defined in subparagraph
          (ii) of paragraph (a) of subdivision two of section one
          hundred two of this chapter, the complete text of any
          proposed or adopted rule shall identify new language by
          underscoring or italics, enclose in brackets any words
          which are to be deleted, and give the citation of any
          rule which is to be repealed.

     (b)  Notwithstanding any provision herein to the contrary,
          an agency may:

          (i)  with regard to a notice published in the state
               register concerning a rule defined in subparagraph
               (ii) of paragraph (a) of subdivision two of
               section one hundred two of this chapter, elect to
               include either the complete text of the proposed
               or adopted rule in two thousand words or less, or
               a description of the subject, purpose and
               substance off such rule in less than two thousand
               words: and

          (ii) with regard to a notice published in any newspaper
               or publication other than the state register,
               elect to include either the complete text or a
               description of the subject, purpose and substance
               of the proposed or adopted rule.

8.   Judicial review. A proceeding may be commenced to contest a
     rule on the grounds of noncompliance with the procedural
     requirements of this section, section two hundred two-a and
     section two hundred two-b of this chapter, provided,
     however, such proceeding must be commenced within four
     months from the effective date of such rule. Each rule shall
     be promulgated in substantial compliance with the provisions
     of such sections, provided, however, the inadvertent failure
     to send notice to any person shall not serve to invalidate
     any rule promulgated hereunder.

9.   Secretary of state. The secretary of state shall:

     (i)    prescribe standard forms to be used by agencies when
            submitting for publication in the state register the
            notices required by this section and section two
            hundred two-c of this chapter;

     (ii)   promptly review each notice submitted by an agency
            for such publication;

     (iii)  reject those notices which are not in substantial
            compliance with the provisions of this section, give
            prompt notice of such rejection to the agency, and
            advise such agency on the corrective action
            required; and

     (iv)   publish all notices, required by this section and
            section two hundred two-c of this chapter, in the
            state register as soon as practicable.

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Sec. 202-a.    REGULATORY IMPACT.

1.   In developing a rule, an agency shall, to the extent
     consistent with the objectives of applicable statutes,
     consider utilizing approaches which are designed to avoid
     undue deleterious economic effects or overly burdensome
     impacts of the rule upon persons directly or indirectly
     affected by it or upon the economy or administration of
     state or local government agencies.

2.   Each agency shall, except as provided in subdivision five of
     this section, issue a regulatory impact statement for a rule
     proposed for adoption or a rule adopted on an emergency
     basis. A copy of such statement shall be submitted to the
     governor, the temporary president of the senate, the speaker
     of the assembly, the office of business permits and
     regulatory assistance and the administrative regulations
     review commission at the time such statement is submitted to
     the secretary of state for publication and, upon written
     request, a copy shall be sent to any other person.

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
          necessity for, and the benefits to be derived from, the
          rule;

     (c)  Costs. A statement indicating the projected costs (i)
          for the implementation of, and continuing compliance
          with, the rule to the state, its local governments and
          regulated persons and (ii)    to the agency for the
          implementation and continued administration of the
          rule. Where an agency finds that it cannot fully
          provide an estimate of any such costs, it shall include
          a statement setting forth the reason or reasons why
          such estimate is not provided;

     (d)  Paperwork. A statement describing the need for any
          reporting requirements, forms and other paperwork,
          which would be required as a result of the rule;

     (e)  Duplication. A statement comparing the requirements of
          the rule with any related state and federal
          requirements; and

     (f)  Alternative approaches. A statement indicating whether
          any significant alternatives to the rule were
          considered by the agency, including a discussion of
          such alternatives and the reasons why they were not
          incorporated into the rule.

4.   To reduce paperwork on the agencies, an agency may:

     (a)  Consider a series of closely related and simultaneously
          proposed rules as one rule for the purpose of
          submitting a consolidated regulatory impact statement;
          and

     (b)  Submit a consolidated regulatory impact statement for
          any series of virtually identical rules proposed in the
          same year.

5.   (a)  An agency may claim an exemption from the
          requirements of this section for a rule that involves
          only a technical amendment, provided, however, the
          agency shall state in the notice, prepared pursuant to
          section two hundred two of this chapter, the reason or
          reasons for claiming such exemption.

     (b)  A rule defined in subparagraph (ii) of paragraph (a) of
          subdivision two of section one hundred two of this
          chapter shall be exempt from the requirements of this
          section.

6.   (a)  Each agency shall issue a revised regulatory
          impact statement when:

          (i)  the information presented in the statement is
               inadequate or incomplete, provided, however, such
               revised statement shall be submitted as soon as
               practicable to the secretary of state for
               publication in the state register, provided,
               further, if such statement exceeds two thousand
               words, the notice shall include only a summary of
               such statement in less than two thousand words; or

          (ii) there are substantive changes in the text of the
               rule as adopted when compared with the text of the
               proposed rule and such changes would necessitate
               that such statement be modified. A revised
               statement shall describe the reasons for the
               changes and shall include any modifications in the
               regulatory impact statement that are necessary as
               a result of such changes.

     (b)  A copy of such revised statement shall be submitted to
          the governor, the temporary president of the senate,
          the speaker of the assembly, the office of business
          permits and regulatory assistance and the
          administrative regulations review commission at the
          time such statement is submitted to the secretary of
          state for publication and, upon written request, a copy
          shall be sent to any other person.

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Sec. 202-b.    REGULATORY FLEXIBILITY.

1.   In developing a rule, the agency shall consider utilizing
     approaches that will accomplish the objectives of applicable
     statutes while minimizing any adverse economic impact of the
     rule on small businesses. Consistent with the objectives of
     applicable statutes, the agency shall consider such
     approaches as:

     (a)  the establishment of differing compliance or reporting
          requirements or timetables that take into account the
          resources available to small businesses;

     (b)  the use of performance rather than design standards;
          and

     (c)  an exemption from coverage by the rule, or by any part
          thereof, for small businesses so long as the public
          health, safety or general welfare is not endangered.

2.   In proposing a rule for adoption or in adopting a rule on an
     emergency basis, the agency shall issue a regulatory
     flexibility analysis regarding the rule being proposed for
     adoption or the emergency rule being adopted. A copy of such
     analysis and any finding, and reasons for such finding,
     pursuant to subdivision three of this section, shall be
     submitted to the governor, the temporary president of the
     senate, the speaker of the assembly, the office of business
     permits and regulatory assistance and the administrative
     regulations review commission at the time such analysis is
     submitted to the secretary of state for publication and,
     upon written request, a copy shall be sent to any other
     person. Each regulatory flexibility analysis shall contain:

     (a)  a description of the types and an estimate of the
          number of small businesses to which the rule will
          apply;

     (b)  a description of (i) the reporting, recordkeeping and
          other compliance requirements of the rule, and (ii) the
          kinds of professional services that a small business is
          likely to need in order to comply with such
          requirements;

     (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 of different types and of
          differing sizes;

     (d)  an indication of how the rule is designed to minimize
          any adverse economic impact of such rule on small
          businesses; including information regarding whether the
          approaches suggested in subdivision one of this section
          or other similar approaches were considered; and

     (e)  a statement indicating how the agency complied with
          subdivision six of this section.

3.   This section shall not apply to any rule defined in
     subparagraph (ii) of paragraph (a) of subdivision two of
     section one hundred two of this chapter, nor shall it apply
     to any rule which does not impose an adverse economic impact
     on small businesses and which the agency finds would not
     impose reporting, recordkeeping or other compliance
     requirements on small businesses. The agency's finding and
     the reasons upon which the finding was made, including what
     measures the agency took to ascertain that the rule would
     not impose such compliance requirements, or adverse economic
     impact on small businesses, shall be included in the rule
     making notice as required by section two hundred two of this
     chapter.

4.   In order to avoid duplicative action, an agency may consider
     a series of closely related rules as one rule for the
     purpose of complying with subdivision two of this section.

5.   In complying with the provisions of subdivision two of this
     section, an agency may provide either a quantifiable or
     numerical description of the effects of a rule or more
     general descriptive statements if quantification is not
     practicable or reliable.

6.   When any rule is proposed for which a regulatory flexibility
     analysis is required, the agency shall assure that small
     businesses have been given an opportunity to participate in
     the rule making through such activities as:

     (a)  the publication of a general notice for the proposed
          rule making in publications likely to be obtained by
          small businesses of the types affected by the proposed
          rule;

     (b)  the direct notification of interested small businesses
          affected by the proposed rule;

     (c)  the conduct of special open conferences concerning the
          proposed rule for small businesses affected by the
          rule; and

     (d)  the adoption or modification of agency procedural rules
          to reduce the cost or complexity of participation in
          the rule making by small businesses.

7.   (a)  Each agency shall issue a revised regulatory
          flexibility analysis when:

          (i)  the information presented in the analysis
               submitted pursuant to this section is inadequate
               or incomplete, provided, however, such revised
               analysis shall be submitted as soon as practicable
               to the secretary of state for publication in the
               state register, provided, further, if such
               statement exceeds two thousand words, the notice
               shall include only a summary of such statement in
               less than two thousand words: or

          (ii) there are substantive changes in the text of the
               rule as adopted when compared with the text of the
               proposed rule and such changes would necessitate
               that such analysis be modified.

     (b)  A copy of such revised analysis shall be submitted to
          the governor, the temporary president of the senate,
          the speaker of the assembly, the office of business
          permits and regulatory assistance, and the
          administrative regulations review commission at the
          time such analysis is submitted to the secretary of
          state for publication and, upon written request, a copy
          shall be sent to any other person.

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Sec. 202-c.    REGULATORY REVIEW.

1.   For the purposes of this section:

     (a)  "Office" shall mean, unless a contrary meaning is
          clearly intended, the office of business permits and
          regulatory assistance created pursuant to article
          thirty-nine of the executive law; and

     (b)  "Rule" shall mean the adoption, suspension, amendment
          or repeal, of any rule as defined by subdivision two of
          section one hundred two of this chapter, but shall not
          include a rule as defined in subparagraph (ii) of
          paragraph (a) of subdivision two of section one hundred
          two of this chapter or, rules proposed or adopted by
          the state comptroller or the attorney general, rules
          regarding jurisdictional classifications pursuant to
          subdivision one of section six of the civil service law
          and the alteration of hunting or fishing seasons
          pursuant to article eleven of the environmental
          conservation law.

2.   An agency shall submit a copy of the complete text of the
     proposed rule, regulatory impact statement prepared pursuant
     to section two hundred two-a of this chapter and regulatory
     flexibility analysis prepared pursuant to section two
     hundred two-b of this chapter to the office at the time the
     notice of proposed rule making is submitted to the secretary
     of state for publication in the state register, unless such
     rule is of a type determined not to be reviewed pursuant to
     subdivision thirteen of section eight hundred seventy-eight
     of the executive law, and the agency has received a notice
     thereof.

3.   In the case of a rule adopted on a emergency basis, the
     review procedure provided for in this section shall commence
     when the agency proceeds to adopt the rule on a permanent
     basis, submits a notice of proposed rule making pursuant to
     subdivision one of section two hundred two of this chapter
     and provides the office with a copy of the complete text of
     the rule, the regulatory impact statement prepared pursuant
     to section two hundred two-a of this chapter and the
     regulatory flexibility analysis prepared pursuant to section
     two hundred two-b of this chapter.

4.   Upon receipt of such materials, the office shall conduct a
     review of the proposed rule, the regulatory impact statement
     and the regulatory flexibility analysis using as criteria
     whether:

     (a)  The proposed rule (i) is clearly within the authority
          delegated by law, (ii) is consistent with and necessary
          to achieve a specific legislative purpose, (iii) is
          clearly written so that its meaning will be easily
          understood by those persons affected by it, (iv) does
          not unnecessarily duplicate existing federal or state
          statutes or rules, and (v) is consistent with existing
          state statute and rules; and

     (b)  The agency proposing the rule has complied with the
          provisions of sections two hundred two-a and two-b of
          this chapter and has provided information in the
          regulatory impact statement and the regulatory
          flexibility analysis prepared pursuant to such sections
          adequate to enable interested persons to evaluate the
          impact of the proposed rule.

5.   In the event the office concludes that any of the criteria
     listed in subdivision four of this section have not been
     met, the office shall so notify the agency proposing the
     rule. Such notification shall be in writing and shall be
     sent within forty-five days of the publication of the notice
     of proposed rule making for the rule in the state register.
     The notification shall indicate the need for further
     demonstration of compliance with such criteria and how the
     agency failed to comply with such criteria. A copy of such
     notification shall be submitted by the office to the
     secretary of state for publication in the state register and
     shall identify the rule making, identify the agency and
     state that the proposed rule shall not be adopted by the
     agency until at least thirty days after the agency proposing
     the rule has responded to the office on the matters
     contained in such notification.

6.   The agency proposing the rule shall, in responding to such
     notification by the office, provide further clarifications
     or justifications of its rule, regulatory impact statement
     or regulatory impact analysis, propose changes in the rule,
     submit a revised statement or analysis or may withdraw the
     proposal. A copy of the agency response material shall be
     sent by the agency to the governor, the secretary to the
     governor, the temporary president of the senate, the speaker
     of the assembly and the administrative regulations review
     commission at the time such material is sent to the office.
     Should the agency fail to respond to the office within
     thirty days from receipt of the notification from the
     office, the proposed rule shall be deemed to be withdrawn,
     and the office shall submit a notice of withdrawal for the
     rule to the secretary of state for publication in the state
     register.

7.   (a)  Upon receipt of the agency response material, the
          office shall conduct a review of the proposed rule,
          regulatory impact statement, regulatory flexibility
          analysis and agency response material according to the
          criteria contained in subdivision four in this section.
          In the event the office concludes that any of the
          criteria listed in subdivision four of this section
          have still not been met, the office shall so notify the
          agency in writing within fifteen days of the receipt of
          such material. The notification shall indicate the
          criteria that have not been met and how the agency
          failed to comply with such criteria. A copy of such
          notification shall be submitted by the office to the
          secretary of state for publication in the state
          register and shall identify the rule making and the
          agency, indicate the need for further demonstration of
          compliance with such criteria, and state that the
          agency shall hold a public hearing on at least ten days
          notice.

     (b)  Upon receipt of such notification, the agency shall
          hold a public hearing on at least ten days notice, such
          notice to be published within fifteen days of the
          receipt of the second notification by the office that
          any of the criteria have not been met. The notice of
          public hearing shall state that the hearing is being
          held as a result of the issuance of a second
          notification by the office. The notice shall also
          indicate the issues raised by the office in the second
          notification. The notice of public hearing shall be
          published in at least three newspapers of general
          circulation in the state, and in such trade, industry,
          professional or other publications as the agency may
          select. In addition, the agency shall notify the
          office, the governor, the secretary to the governor,
          the temporary president of the senate, the speaker of
          the assembly, the administrative regulations review
          commission, and any other person who has indicated to
          the agency an interest in the proposed rule. In the
          event the agency fails to give such notice within
          fifteen days after receipt of the second notification
          by the office, or fails to commence the hearing within
          forty-five days of the receipt of such notification,
          the rule shall be deemed to be withdrawn, and the
          office shall submit a notice of withdrawal for the rule
          to the secretary of state for publication in the state
          register.

     (c)  Such public hearing shall be in addition to any other
          hearing required or permitted by law. The agency shall
          present, or cause to be presented, at the hearing
          material in response to the issues identified in the
          second notification to the agency by the office and
          shall receive such testimony as may be offered at such
          hearing. Upon the close of such hearing, the agency
          shall prepare and send to the governor, with copies to
          the secretary to the governor, the temporary president
          of the senate, the speaker of the assembly, the office,
          the administrative regulations review commission, and
          any other person who has indicated to the agency an
          interest in the proposed rule, a brief report
          indicating whether the agency intends to proceed with
          the rule making and including the agency response to
          the issues raised by the office. The proposed rule may
          not be adopted until ten days after such report has
          been sent to the governor, and in no event shall the
          proposed rule be adopted sooner than forty-five days
          from receipt by the agency of the notification issued
          pursuant to paragraph (a) of this subdivision.

     (d)  In the event the office does not issue a notification
          pursuant to paragraph (a) of this subdivision, the
          office shall, within fifteen days of receipt of the
          agency response material, so notify the agency in
          writing. A copy of such notification shall be submitted
          by the office to the secretary of state for publication
          in the state register at the time such notification is
          submitted to the agency, and shall identify the rule
          making and the agency.

8.   In the event the office concludes that the minimum period,
     available pursuant to subdivision one of section two hundred
     two of this chapter is insufficient for the public to submit
     comments on a proposed rule, the office shall so notify the
     agency proposing the rule. Such notification shall be in
     writing and shall be sent to the agency within twenty-one
     days after the publication of the notice of proposed rule
     making for the rule in the state register. Upon receipt of
     such notification, the agency shall extend such period as
     required by subdivision one of section two hundred two of
     this chapter by fifteen days, and shall promptly notify any
     person who had indicated to the agency an interest in the
     proposed rule. A copy of any written notification by the
     office pursuant to this subdivision shall be submitted to
     the secretary of state for publication in the state
     register, and shall indicate that the proposed rule may not
     be adopted prior to the expiration of this fifteen day
     extension. A notification by the office pursuant to this
     subdivision shall extend the period, provided for in
     subdivision five of this section for the office to notify
     the agency of the need for further demonstration of
     compliance with the criteria listed in subdivision four of
     this section, by fifteen days.

9.   In the event the office does not send to the agency in a
     timely fashion the notification specified in subdivision
     five or seven of this section, the proposed rule may be
     deemed by the agency to meet the criteria contained in
     subdivision four of this section.

10.  A copy of any notification by the office pursuant to
     subdivision five, six, seven or eight of this section shall
     be sent by the office to the governor, the secretary to the
     governor, the temporary president of the senate, the speaker
     of the assembly and the administrative regulations review
     commission by the office at the time such notification is
     submitted to the secretary of state for publication in the
     state register.

11.  An agency may consult informally with the office regarding
     proposed rules, regulatory impact statements and regulatory
     flexibility analysis at any time prior to the submission of
     such materials. Such informal consultation shall not be
     binding on the office or the agency.

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Sec. 202-d.    REGULATORY AGENDA.

1.   An agency may, in its direction, submit to the secretary of
     state, for publication in the first regular issue of the
     state register published during the months of January, May
     and September, a regulatory agenda to afford the agency an
     opportunity to solicit comments concerning any rule which
     the agency is considering proposing, but for which no notice
     of proposed rule making has been submitted pursuant to
     subdivision one of section two hundred two of this chapter.
     A regulatory agenda shall be comprised of summaries of such
     rules. Each summary shall, in less than two thousand words.
     contain, in so far as practicable:

     (a)  a description of the rule which the agency is
          considering;

     (b)  a citation to the statutory authority, including
          particular sections and subdivisions, which authorizes
          the rule;

     (c)  a schedule of the dates for hearings, meetings or other
          opportunities for public participation in the
          development of the rule, if any;

     (d)  the probable date on which the agency anticipates
          submitting, pursuant to section two hundred two of this
          chapter, a notice of proposed rule making for such rule
          if known;

     (e)  the name, public office, address and telephone number
          of the agency representative, knowledgeable on such
          rule, from whom any information may be obtained and to
          whom written comments may be submitted concerning such
          rule; and

     (f)  any other information which the agency determines will
          serve the public interest.

2.   Nothing in this section shall:

     (a)  preclude an agency from adopting a rule for which a
          summary has not appeared in a regulatory agenda or from
          adopting a rule different than one summarized in a
          regulatory agenda; or

     (b)  require an agency to adopt a rule for which a summary
          has appeared in a regulatory agenda.

3.   The secretary of state shall adopt rules necessary for the
     publication of regulatory agendas, including but not limited
     to standard forms to be used for the submission of
     regulatory agendas, a schedule prescribing when such agendas
     must be submitted for publication, and any identification
     number system.

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Sec. 203. FILING; EFFECTIVE DATE.

1.   Except as provided in subdivision two of this section, no
     rule shall become effective until it is filed with the
     secretary of state and published in the state register
     pursuant to subdivision five of section two hundred two of
     this article, unless: (i) a later date is required by
     statute or is specified in the rule, (ii) adopted as an
     emergency rule pursuant to subdivision six of section two
     hundred two of this article, or (iii) defined as a rule in
     subparagraph (ii) of paragraph (a) of subdivision two of
     section one hundred two of this article- provided, however,
     that no rule for which the notice of adoption submitted
     therewith states that there have been any substantive
     changes in the text of the rule as adopted when compared
     with the text of the proposed rule, or includes a revised
     regulatory impact statement or a revised regulatory
     flexibility analysis, shall become effective until twenty
     one days after such rule is filed with the secretary of
     state, unless a later date is required by statute or is
     specified in the rule. Each rule submitted for filing shall
     have attached thereto the certificate required under
     subdivision two of section one hundred two of the executive
     law.

2.   An agency may, after a rule is filed with the secretary of
     state pursuant to subdivision one of this section and prior
     to the effective date of such rule, amend, suspend or repeal
     such rule prior to the effective date without complying with
     the provisions of subdivision one of section two hundred two
     of this article. If an agency amends, suspends or repeals a
     rule pursuant to this subdivision, such agency shall file a
     notice of adoption pursuant to subdivision five of section
     two hundred two of this article, provided, however, that
     such notice of adoption shall identify the rule which is
     being amended, suspended or repealed pursuant to this
     subdivision, provided, further, for the purposes of
     compliance with subparagraphs (iii), (v) and (vi) of
     paragraph (b) of subdivision five of such section two
     hundred two, the proposed rule shall mean the rule being
     amended, suspended or repealed pursuant to this subdivision.

3.   The secretary of state shall reject any rule submitted for
     filing by an agency where the notice of proposed rule making
     for such rule has expired pursuant to the provisions of
     section two hundred two of this chapter.

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Sec. 204. DECLARATORY RULINGS BY AGENCIES.

1.   On petition of any person, an agency may issue a declaratory
     ruling with respect to (i) the applicability to any person,
     property, or state of facts of any rule or statute
     enforceable by it, or (ii) whether any action by it should
     be taken pursuant to a rule. Each agency shall prescribe by
     rule the form for such petitions and the procedure for their
     submission, consideration and disposition. A declaratory
     ruling shall be binding upon the agency unless it is altered
     or set aside by a court. The agency may not retroactively
     change a valid declaratory ruling, but nothing in this
     section shall prevent an agency from prospectively changing
     any declaratory ruling. A declaratory ruling shall be made
     available to the public. A declaratory ruling shall be
     subject to review in the manner provided for in article
     seventy-eight of the civil practice law and rules.

2.   (a)  Within thirty days of receipt of a petition with
          respect to paragraph (ii) of subdivision one of this
          section, an agency shall issue either a declaratory
          ruling or a statement declining to issue a declaratory
          ruling, unless the agency's rules provide for a
          different time period not to exceed sixty days from
          receipt of such petition.

     (b)  Where an agency declines to issue a declaratory ruling
          described in paragraph (ii) of subdivision one of this
          section, or rules that agency action need not be taken
          pursuant to a rule, such declination and any
          declaratory ruling described in paragraph (ii) of
          subdivision one of this section may be reviewed, upon
          petition of the original petitioner, by the office of
          business permits and regulatory assistance established
          pursuant to article thirty nine of the executive law.
          Within sixty days of receipt of such petition, the
          office shall issue an advisory opinion as to whether
          the action in question should be taken pursuant to
          agency rule making. The office of business permits and
          regulatory assistance shall promulgate such rules and
          regulations as may be necessary for it to carry out the
          provisions of this subdivision, including rules
          governing participation by the affected agency in the
          review process.

     (c)  Notwithstanding any inconsistent provision of law, a
          person may submit a petition in the manner provided for
          in article seventy-eight of the civil practice law and
          rules without first applying for a declaratory ruling
          pursuant to paragraph (ii) of subdivision one of this
          section, or to the office for an advisory opinion
          pursuant to this subdivision. A person may concurrently
          petition the court pursuant to article seventy-eight of
          the civil practice law and rules and petition the
          agency and the office pursuant to this subdivision.

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Sec. 205. RIGHT TO JUDICIAL REVIEW OF RULES.

Unless an exclusive procedure or remedy is provided by law,
judicial review of rules may be had upon petition presented under
article seventy-eight of the civil practice law and rules, or in
an action for a declaratory judgment where applicable and proper.
The agency shall be made a party to the proceedings. Such a
special proceeding or action may not be maintained unless the
petitioner has first requested the agency to pass upon the
validity or applicability of the rule in question and action has
been taken upon such request or more than thirty days has elapsed
since such request has been filed and no final action has been
taken thereon or the agency has not provided for the issuance of
such declaratory rulings under section two hundred four. Unless
the agency acts upon such request within thirty days of its
filing, such request shall be deemed to have been denied. Nothing
in this section shall be construed to grant or deny to any person
standing to petition under article seventy-eight of the civil
practice law and rules or to bring an action for a declaratory
judgment or to prohibit the determination of the validity or
applicability of the rule in any other action or proceeding in
which its invalidity or inapplicability is properly asserted.

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Sec. 206. OVERLAPPING REGULATIONS; COMPLIANCE DETERMINATIONS.

1.   It is the declared policy of this state to protect and
     encourage jobs, investment and economic activity and to
     promote the public health, safety and welfare by
     administering all regulatory requirements imposed by the
     state in a fair and reasonable manner.

2.   Any person subject to a requirement imposed by a state
     statute or rule and to a similar requirement imposed by the
     federal government, may pursuant to section two hundred four
     of this chapter, petition the agency administering the state
     requirement for a declaratory ruling as to whether
     compliance with the federal requirement will be accepted as
     compliance with the state requirement. Upon receipt of such
     petition, the agency shall submit a copy thereof to the
     office of business permits and regulatory assistance.

3.   If the agency determines that compliance with the federal
     requirement would not satisfy the purposes or relevant
     provisions of the state statute involved, the agency shall
     so inform the petitioner in writing stating the reasons
     therefor and may issue a declaratory ruling to that effect.
     A copy of such written statement of reasons and any such
     declaratory ruling shall be submitted by the agency to the
     office of business permits and regulatory assistance.

4.   If the agency determines that compliance with the federal
     requirement would satisfy the purposes and relevant
     provisions of the state statute involved but that it would
     not satisfy the relevant provisions of the state rule
     involved, the agency shall so inform the petitioner and the
     office of business permits and regulatory assistance and may
     initiate a rulemaking proceeding in accordance with this
     chapter to consider revising such rule to accept compliance
     with such federal requirement in a manner that is consistent
     with the requirements and purposes of the state statute.

5.   If the agency determines that compliance with the federal
     requirement would satisfy the purposes and relevant
     provisions of the state statute involved, and that it would
     satisfy the relevant provisions of the state rule involved,
     the agency shall issue a declaratory ruling indicating its
     intention to accept compliance with the federal requirement
     as compliance with the state requirement, and the terms and
     conditions under which it intends to do so. A copy of such
     declaratory ruling shall be submitted by the agency to the
     office of business permits and regulatory assistance.

6.   The office of business permits and regulatory assistance may
     consider agency compliance with this section when performing
     its review function under section two hundred two-c of this
     chapter.

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ARTICLE 3

ADJUDICATORY PROCEEDINGS

Sec.   301.    Hearings.
Sec.   302.    Record.
Sec.   303.    Presiding officers.
Sec.   304.    Powers of presiding officers.
Sec.   305.    Disclosure.
Sec.   306.    Evidence.
Sec.   307.    Decisions, determinations and orders.

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Sec. 301. HEARINGS,

1.   In an adjudicatory proceeding, all parties shall be afforded
     an opportunity for hearing within reasonable time.

2.   All parties shall be given reasonable notice of such
     hearing, which notice shall include (a) a statement of the
     time, place, and nature of the hearing; (b) a statement of
     the legal authority and jurisdiction under which the hearing
     is to be held; (c) a reference to the particular sections of
     the statutes and rules involved, where possible; (d) a short
     and plain statement of matters asserted; and (e) a statement
     that interpreter services shall be made available to deaf
     persons, at no charge, pursuant to this section. Upon
     application of any party, a more definite and detailed
     statement shall be furnished whenever the agency finds that
     the statement is not sufficiently definite or not
     sufficiently detailed. The finding of the agency as to the
     sufficiency of definiteness or detail of the statement or
     its failure or refusal to furnish a more definite or
     detailed statement shall not be subject to judicial review.
     Any statement furnished shall be deemed, in all respects, to
     be a part of the notice of hearing.

3.   Agencies shall adopt rules governing the procedures on
     adjudicatory proceedings and appeals in accordance with
     provisions of article two of this chapter, and shall prepare
     a summary of such procedures in plain language. Agencies
     shall make such summaries available to the public upon
     request, and a copy of such summary shall be provided to any
     party cited by the agency for violation of the laws, rules
     or orders enforced by the agency.

4.   All parties shall be afforded an opportunity to present
     written argument on issues of law and an opportunity to
     present evidence and such argument on issues of fact,
     provided however that nothing contained herein shall be
     construed to prohibit an agency from allowing parties to
     present oral argument within a reasonable time. In fixing
     the time and place for hearings and oral argument, due
     regard shall be had for the convenience of the parties.

5.   Unless precluded by statute, disposition may be made of any
     adjudicatory proceeding by stipulation, agreed settlement,
     consent order, default, or other informal method.

6.   Whenever any deaf person is a party to an adjudicatory
     proceeding before an agency, or a witness therein, such
     agency in all instances shall appoint a qualified
     interpreter of the deaf to interpret the proceedings to, and
     the testimony of, such deaf person. The agency conducting
     the adjudicatory proceeding shall determine a reasonable fee
     for all such interpreting services which shall be a charge
     upon the agency.

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Sec. 302. RECORD.

1.   The record in an adjudicatory proceeding shall include: (a)
     all notices, pleadings, motions, intermediate rulings; (b)
     evidence presented; (c) a statement of matters officially
     noticed except matters so obvious that a statement of them
     would serve no useful purpose; (d) questions and offers of
     proof, objections thereto, and rulings thereon, (e) proposed
     findings and exceptions, if any; (f) any findings of fact,
     conclusions of law or other recommendations made by a
     presiding officer; and (g) any decision, determination,
     opinion, order or report rendered.

2.   The agency shall make a complete record of all adjudicatory
     proceedings conducted before it. For this purpose, unless
     otherwise required by statute, the agency may use whatever
     means it deems appropriate, including but not limited to the
     use of stenographic transcriptions or electronic recording
     devices. Upon request made by any party upon the agency
     within a reasonable time, but prior to the time for
     commencement of judicial review, of its giving notice of its
     decision, determination, opinion or order, the agency shall
     prepare the record together with any transcript of
     proceedings within a reasonable time and shall furnish a
     copy of the record and transcript or any part thereof to any
     party as he may request. Except when any statute provides
     otherwise, the agency is authorized to charge not more than
     its cost for the preparation and furnishing of such record
     or transcript or any part thereof, or the rate specified in
     the contract between the agency and a contractor if prepared
     by a private contractor.

3.   Findings of fact shall be based exclusively on the evidence
     and on matters officially noticed.

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Sec. 303. PRESIDING OFFICERS.

Except as otherwise provided by statute, the agency, one or more
members of the agency, or one or more hearing officers designated
and empowered by the agency to conduct hearings shall be
presiding officers. Hearings shall be conducted in an impartial
manner. Upon the filing in good faith by a party of a timely and
sufficient affidavit of personal bias or disqualification of a
presiding officer, the agency shall determine the matter as part
of the record in the case, and its determination shall be a
matter subject to judicial review at the conclusion of the
adjudicatory proceeding. Whenever a presiding officer is
disqualified or it becomes impractical for him to continue the
hearing, another presiding officer may be assigned to continue
with the case unless it is shown that substantial prejudice to
the party will result therefrom.

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Sec. 304. POWERS OF PRESIDING OFFICERS.

Except as otherwise provided by statute, presiding officers are
authorized to:

1.   Administer oaths and affirmations.

2.   Sign and issue subpoenas in the name of the agency, at the
     request of any party, requiring attendance and giving of
     testimony by witnesses and the production of books, papers,
     documents and other evidence and said subpoenas shall be
     regulated by the civil practice law and rules. Nothing
     herein contained shall affect the authority of an attorney
     for a party to issue such subpoenas under the provisions of
     the civil practice law and rules.

3.   Provide for the taking of testimony by deposition.

4.   Regulate the course of the hearings, set the time and place
     for continued hearings, and fix the time for filing of
     briefs and other documents.

5.   Direct the parties to appear and confer to consider the
     simplification of the issues by consent of the parties.

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Sec. 305. DISCLOSURE.

Each agency having power to conduct adjudicatory proceedings may
adopt rules providing for discovery and depositions to the extent
and in the manner appropriate to its proceedings.

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Sec. 306. EVIDENCE.

1.   Irrelevant or unduly repetitious evidence or cross-
     examination may be excluded. Except as otherwise provided by
     statute, the burden of proof shall be on the party who
     initiated the proceeding. No decision, determination or
     order shall be made except upon consideration of the record
     as a whole or such portion thereof as may be cited by any
     party to the proceeding and as supported by and in
     accordance with substantial evidence. Unless otherwise
     provided by any statute, agencies need not observe the rules
     of evidence observed by courts, but shall give effect to the
     rules of privilege recognized by law. Objections to
     evidentiary offers may be made and shall be noted in the
     record. Subject to these requirements, an agency may, for
     the purpose of expediting hearings, and when the interests
     of parties will not be substantially prejudiced thereby,
     adopt procedures for the submission of all or part of the
     evidence in written form.

2.   All evidence, including records and documents in the
     possession of the agency of which it desires to avail
     itself, shall be offered and made a part of the record, and
     all such documentary evidence may be received in the form of
     copies or excerpts, or by incorporation by reference. In
     case of incorporation by reference, the materials so
     incorporated shall be available for examination by the
     parties before being received in evidence.

3.   A party shall have the right of cross-examination.

4.   Official notice may be taken of all facts of which judicial
     notice could be taken and of other facts within the
     specialized knowledge of the agency. When official notice is
     taken of a material fact not appearing in the evidence in
     the record and of which judicial notice could not be taken,
     every party shall be given notice thereof and shall on
     timely request be afforded an opportunity prior to decision
     to dispute the fact or its materiality.

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Sec. 307. DECISIONS, DETERMINATIONS AND ORDERS.

1.   A final decision, determination or order adverse to a party
     in an adjudicatory proceeding shall be in writing or stated
     in the record and shall include findings of fact and
     conclusions of law or reasons for the decision,
     determination or order. Findings of fact, if set forth in
     statutory language, shall be accompanied by a concise and
     explicit statement of the underlying facts supporting the
     findings. If, in accordance with agency rules, a party
     submitted proposed findings of fact, the decision,
     determination or order shall include a ruling upon each
     proposed finding. A copy of the decision, determination or
     order shall be delivered or mailed forthwith to each party
     and to his attorney of record.

2.   Unless required for the disposition of ex parte matters
     authorized by law, members or employees of an agency
     assigned to render a decision or to make findings of fact
     and conclusions of law in an adjudicatory proceeding shall
     not communicate, directly or indirectly, in connection with
     any issue of fact, with any person or party, nor, in
     connection with any issue of law, with any party or his
     representative, except upon notice and opportunity for all
     parties to participate. Any such agency member (a) may
     communicate with other members of the agency, and (b) may
     have the aid and advice of agency staff other than staff
     which has been or is engaged in the investigative or
     prosecuting functions in connection with the case under
     consideration or factually related case.

     This subdivision does not apply (a) in determining
     applications for initial licenses for public utilities or
     carriers, or (b) to proceedings involving the validity or
     application of rates, facilities, or practices of public
     utilities or carriers.

3.   (a)  Each agency shall maintain an index by name and
          subject of all written final decisions determinations
          and orders rendered by the agency in adjudicatory
          proceedings. Such index and the text of any such
          written final decision, determination or order shall be
          available for public inspection and copying. Each
          decision, determination and order shall be indexed
          within sixty days after having been rendered.

     (b)  An agency may delete from any such index decision,
          determination or order any information that, if
          disclosed, would constitute an unwarranted invasion of
          personal privacy under the provisions of subdivision
          two of section eighty-nine of the public officers law
          and may also delete at the request of any person all
          references to trade secrets that, if disclosed, would
          cause substantial injury to the competitive position of
          such person. Information which would reveal
          confidential material protected by federal or state
          statute, shall be deleted from any such index,
          decision, determination or order.

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ARTICLE 4

LICENSES

Sec.   401.    Licenses.

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Sec. 401. LICENSES.

1.   When licensing is required by law to be preceded by notice
     and opportunity for hearing, the provisions of this chapter
     concerning adjudicatory proceedings apply. For purposes of
     this act, statutes providing an opportunity for hearing
     shall be deemed to include statutes providing an opportunity
     to be heard.

2.   When a licensee has made timely and sufficient application
     for the renewal of a license or a new license with reference
     to any activity of a continuing nature, the existing license
     does not expire until the application has been finally
     determined by the agency, and, in case the application is
     denied or the terms of the new license limited, until the
     last day for seeking review of the agency order or a later
     date fixed by order of the reviewing court, provided that
     this subdivision shall not affect any valid agency action
     then in effect summarily suspending such license.

3.   If the agency finds that public health, safety, or welfare
     imperatively requires emergency action, and incorporates a
     finding to that effect in its order, summary suspension of a
     license may be ordered, effective on the date specified in
     such order or upon service of a certified copy of such order
     on the licensee, whichever shall be later, pending
     proceedings for revocation or other action. These
     proceedings shall be promptly instituted and determined.

4.   When the hearing seeks the revocation of a license or permit
     previously granted by the agency, either party shall, upon
     demand and at least seven days prior to the hearing,
     disclose the evidence that the party intends to introduce at
     the hearing, including documentary evidence and
     identification of witnesses, provided, however, the
     provisions of this subdivision shall not be deemed to
     require the disclosure of information or material otherwise
     protected by law from disclosure, including information and
     material protected because of privilege or confidentiality.
     If, after such disclosure, a party determines to rely upon
     other witnesses or information, the party shall, as soon as
     practicable, supplement its disclosure by providing the
     names of such witnesses or the additional documents.

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ARTICLE 5

REPRESENTATION

Sec.   501.    Representation.

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Sec. 501. REPRESENTATION.

Any person compelled to appear in person or who voluntarily
appears before any agency or representative thereof shall be
accorded the right to be accompanied, represented and advised by
counsel. In a proceeding before an agency, every party or person
shall be accorded the right to appear in person or by or with
counsel. Nothing herein shall be construed either to grant or to
deny to any person who is not a lawyer the right to appear for or
represent others before any agency.

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