Current through Register Vol. 46, No. 12, March 20, 2024
(a) Section
102 of the Executive Law directs the
Secretary of State to maintain a master compilation of all codes, rules and
regulations of the State of New York. The master compilation is to be comprised
of two parts:
(1) those codes, rules and
regulations printed in the Official Compilation; and
(2) all Federal statutes, Federal regulations
and all other published data, criteria, standards, specifications, techniques,
illustrations, or other information that have been adopted as a rule of the
State of New York but not included in the Official Compilation pursuant to
section
102 of the Executive Law.
(b) Except as provided in
subdivision (c) of this section, Federal statutes, Federal regulations or other
published data, criteria, standards, specifications, techniques, illustrations
must conform to the following requirements to be accepted for filing pursuant
to Executive Law, section
102(1)(c):
(1) If the material was published in a
permanently bound volume, the bound volume itself must be submitted for filing.
(i) If a soft-bound publication contains less
than 100 pages, one copy of the publication must be placed in a rigid-cover
binder.
(ii) If the publication is
self-covering, i.e., the cover and the inside pages are made of the same or
similar stock, one copy of the publication must be placed in a rigid-cover
binder.
(2) Loose-leaf
publications must be bound in the loose-leaf binder specially manufactured and
imprinted by the publisher for storing the pages. Alternatively, pages from a
loose-leaf publication may qualify for the photocopy exemption provided for in
paragraph (c)(2) of this section.
(3) Two copies of each publication must be
submitted.
(4) A rigid-cover binder
may not contain more than one publication nor more than one issue of a
periodical or series publication.
(5) Use of rigid-cover binders.
(i) Whenever an agency submits a publication
in a rigid-cover binder, the agency must affix an adhesive label securely in
the upper-left corner of the front cover. The following must be printed or
typed on the label:
(a) the name of the
publication;
(b) the edition or
volume title, if applicable;
(c)
the author; and
(d) the date of
publication.
(ii) Ring
binders, such as a standard three-ring binder, are not acceptable rigid-cover
binders. Agencies may, however, use pin-and-prong binders, post binders or
other similar types of binders that will hold the publication compactly and
securely.
(c)
Photocopies or similar reproductions on paper of referenced material.
(1) An agency may submit photocopies or
similar reproductions on paper of the referenced material in lieu of the
original publication. However, the Secretary of State requires, as a condition
to filing such copies, that the agency compile, prepare and certify, in a
manner acceptable to the Secretary, that such copies are true copies and that
their reproduction has not violated any copyright. Incorporation by Reference
certification forms are on the Department of State's website and are also
available from the Division of Administrative Rules of the Department of
State.
(2) Submitting photocopies
or similar reproductions on paper.
(i) To be
accepted for filing, photocopies, or similar reproductions on paper of or from
a referenced publication must include the following:
(a) a copy of the title page or a page or
pages which clearly identify the title, edition (if any), author and publisher
of the referenced material;
(b) a
copy of the copyright page or, if there is no copyright page, a copy of the
appropriate page for identifying the date of the publication; and
(c) a copy of the text that is being
referenced in the Official Compilation.
(ii) When submitting photocopies of
referenced material for filing, an agency must submit two copies. One set of
the copies must be enclosed in a rigid-cover binder. The other set must be
stapled, as part of agency's rule, to the certification. The provisions of
paragraph (b)(5) of this section shall apply to the rigid-cover binders used to
submit photocopies.
(d) Incorporation by reference certification.
(1) For each publication referenced pursuant
to Executive Law, section
102(1)(c), the general
counsel of the adopting agency must complete the incorporation by reference
certification containing the following:
(i) a
statement identifying, with particularity, the referenced publication and the
sections thereof that have been adopted;
(ii) a statement of opinion that the
referenced publication is reasonably available to regulated parties as is
required by Executive Law, section
102(1)(c);
(iii) a statement of the facts relied upon to
support the opinion that the publication is reasonably available;
(iv) a statement of opinion that reproduction
and distribution of all or part of the referenced publication will not violate
any copyright; and
(v) a statement
of the facts relied upon to support the opinion that reproduction and
distribution will not violate any copyright.
(e) Reference to publication previously filed
with the Secretary of State.
(1) If an agency
has previously filed a publication and if that same publication is then
referenced in a subsequent rule, that agency will not be required to file
additional copies of the publication if the text of the rule, as submitted for
filing, is accompanied by a statement precisely identifying the previously
filed publication, including the Department of State's file number for the
publication and the date the publication was filed with the Secretary of
State.
(2) If any agency has
previously filed a publication with the Secretary of State and if that same
publication is then referenced by another agency, that other agency will not be
required to file additional copies of the publication if the text of the rule,
as submitted for filing, is accompanied by a statement precisely identifying
the previously filed publication, including the name of the agency that filed
the publication, the date the publication was filed with the Secretary of State
and the file number given to the publication when it was originally
filed.
(3) Agencies that file rules
pursuant to this subdivision in lieu of filing copies of the referenced
publications are responsible for the accuracy of their citation to the
previously filed publication. In the case of an inaccurate citation, the
Department of State may have to certify that it has no record of the
publication having been filed. Such certificates are commonly requested and
issued pursuant to Rule 4521 of the Civil Practice Law and Rules of the State
of New York.