New York Codes, Rules and Regulations (NYCRR)
Title 19 Part 261
Department of State
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6 sections
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19 NYCRR 261.1 - Filing location
Source version current through Apr 15, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Apr 15, 2022
Hand-delivered or mailed documents must be delivered to the Division of Administrative Rules, NYS Department of State, One Commerce Plaza, 99 Washington Avenue, Suite 650, Albany, NY 12231-0001.
19 NYCRR 261.2 - Requirements for filing
Source version current through Apr 15, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Apr 15, 2022
(a)When e-filing adopted rules, attach to the rule making form a scanned image of the signed certification prepared on your agency's letterhead in accordance with section 261.3 of this Part along with the text of the rule. If applicable, submit two copies of the referenced material prepared in accordance with section 261.6 of this Part.
(b)Hard copy, prepared on agency letterhead, may be submitted in lieu of the scanned certification.
19 NYCRR 261.3 - Certification of rule
Source version current through Apr 15, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Apr 15, 2022
The certificate annexed to the rule required under the provisions of section 102(2) of the Executive Law shall contain the information set forth in the following order:
(a)a statement certifying that the rule was duly adopted or other rule making action was duly taken;
(b)the name of the agency head or designee thereof (authorized to take the action for the agency) or of the board, commission, authority or public benefit corporation taking such action;
(c)the date the action was taken;
(d)in the case of a board, commission, public benefit corporation or authority, or if the action shall be defined as a rule under section 102(2)(a)(ii) of the State Administrative Procedure Act, the procedure by which the action was taken;
(e)in the case of a board, commission, public benefit corporation or authority, the city in which the meeting took place at which the action was taken;
(f)a citation of the statutory authority for the action taken; such citation shall be made in the same manner as prescribed in section 260.3 of this Title;
(g)if the action taken was not subject to the State Administrative Procedure Act or was otherwise not required to comply with the prior notice requirements of such act, a statement to such effect and the citation of the statute providing for such exemption or noncompliance;
(h)if the action taken is by an emergency measure under the provisions of section 202 of the State Administrative Procedure Act, a statement of the agency's finding of the need for such action and the specific reasons underlying such finding. The statement of the reasons shall set forth the specific facts or grounds supporting the finding made; a paraphrasing of the provisions of section 202 of the State Administrative Procedure Act relating to emergency measures or of the finding made shall not be acceptable. The agency may submit a separate statement of the findings and specific reasons underlying same, together with the certificate, provided that a statement certifying that these were the findings made, signed by the agency head, forms a part of such separate statement;
(i)in all instances where the action taken was subject to the provisions of the State Administrative Procedure Act, except those provided for in subdivisions (g) and (h) of this section, the date of publication of the notice of the proposed rule making in the State Register, and either the date(s) and manner of publication of any other prior notice required by statute or, if none, a statement to the effect that no other publication of a prior notice of the action being taken was required by statute.
19 NYCRR 261.4 - Outline style
Source version current through Nov 30, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Nov 30, 2022
(a)Each rule submitted for filing to the Division of Administrative Rules must substantially conform with the outline style used by the Official Compilation of Codes, Rules and Regulations of the State of New York.
(b)The outline style used by the Official Compilation of Codes, Rules and Regulations of the State of New York is as follows:
| Division | Description | Example |
|---|---|---|
| Title | Arabic numeral | Title 1 |
| Subtitle | Capital letter | Subtitle A |
| Chapter | Capital Roman numeral | Chapter I |
| Subchapter | Capital letter | Subchapter A |
| Article | Arabic numeral | Article 1 |
| Subarticle | Capital letter | Subarticle A |
| Part | Arabic numeral | Part 1 |
| section | Arabic numeral separated from Part number by decimal point | section 1.1 |
| subdivision | Small letter in parentheses | subdivision (a) |
| paragraph | Arabic numeral in parentheses | paragraph (1) |
| subparagraph | Small Roman numeral in parentheses | subparagraph (i) |
| clause | Small italic letter in parentheses | clause (a) |
| subclause | Italic Arabic numeral in parentheses | subclause (1) |
| item | Italic Roman numeral in parentheses | item (i) |
| subitem | Capital italic letter in parentheses | subitem (A) |
| phrase | Capital italic Roman numeral in parentheses | phrase (I) |
(c)The specific numbering, lettering, order and layout of any rule published in the Official Compilation of Codes, Rules and Regulations is subject to the judgment and discretion of the Division of Administrative Rules.
19 NYCRR 261.5 - Graphics, tables, lists and similar material
Source version current through Apr 15, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Apr 15, 2022
(a)If a proposed rule contains graphics, tables, lists or similar material, an agency may be required, as a condition to printing a notice in the State Register or as a condition to filing a final agency action, to provide sharp and distinct camera-ready copy of usable size.
(b)The Division of Administrative Rules shall be the sole judge for determining whether copy is “sharp and distinct” and “of usable size.”
19 NYCRR 261.6 - Material referenced in the Official Compilation of Codes, Rules and Regulations of the State of New York
Source version current through Apr 15, 2022
Later State Register activity may affect this section.
Dates and status
- NYCRR title agency
- Department of State
- Section status
- Section source receipt
- Source version current through
- Apr 15, 2022
(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.