§ 102 — Definitions

New York § 102

• Jurisdiction: New York
• Law SAP: State Administrative Procedure Act
• Art. 1: General Provisions

Text

§ 102. Definitions. As used in this chapter,\n * 1. "Agency" means any department, board, bureau, commission,\ndivision, office, council, committee or officer of the state, or a\npublic benefit corporation or public authority at least one of whose\nmembers is appointed by the governor, authorized by law to make rules or\nto make final decisions in adjudicatory proceedings but shall not\ninclude the governor, agencies in the legislative and judicial branches,\nagencies created by interstate compact or international agreement, the\ndivision of military and naval affairs to the extent it exercises its\nresponsibility for military and naval affairs, the division of state\npolice, the identification and intelligence unit of the division of\ncriminal justice services, the state insurance fund, the unemployment\ninsurance appeal board, and except for purposes of subdivision one of\nsection two hundred two-d and section two hundred two-f of this chapter,\nthe workers' compensation board and except for purposes of article two\nof this chapter, the department of corrections and community\nsupervision.\n * NB Effective until January 1, 2027\n * 1. "Agency" means any department, board, bureau, commission,\ndivision, office, council, committee or officer of the state, or a\npublic benefit corporation or public authority at least one of whose\nmembers is appointed by the governor, authorized by law to make rules or\nto make final decisions in adjudicatory proceedings but shall not\ninclude the governor, agencies in the legislative and judicial branches,\nagencies created by interstate compact or international agreement, the\ndivision of military and naval affairs to the extent it exercises its\nresponsibility for military and naval affairs, the division of state\npolice, the identification and intelligence unit of the division of\ncriminal justice services, the state insurance fund, the unemployment\ninsurance appeal board, and except for purposes of subdivision one of\nsection two hundred two-d of this chapter, the workers' compensation\nboard and except for purposes of article two of this chapter, the\ndepartment of corrections and community supervision.\n * NB Effective January 1, 2027\n 2. (a) "Rule" means (i) the whole or part of each agency statement,\nregulation or code of general applicability that implements or applies\nlaw, or prescribes a fee charged by or paid to any agency or the\nprocedure or practice requirements of any agency, including the\namendment, suspension or repeal thereof and (ii) the amendment,\nsuspension, repeal, approval, or prescription for the future of rates,\nwages, security authorizations, corporate or financial structures or\nreorganization thereof, prices, facilities, appliances, services or\nallowances therefor or of valuations, costs or accounting, or practices\nbearing on any of the foregoing whether of general or particular\napplicability.\n (b) Not included within paragraph (a) of this subdivision are:\n (i) rules concerning the internal management of the agency which do\nnot directly and significantly affect the rights of or procedures or\npractices available to the public;\n (ii) rules relating to the use of public works, including streets and\nhighways, when the substance of such rules is indicated to the public by\nmeans of signs or signals;\n (iii) rulings issued under section two hundred four or two hundred\nfive of this chapter;\n (iv) forms and instructions, interpretive statements and statements of\ngeneral policy which in themselves have no legal effect but are merely\nexplanatory;\n (v) rules promulgated to implement agreements pursuant to article\nfourteen of the civil service law;\n (vi) rates of interest prescribed by the superintendent of financial\nservices pursuant to section fourteen-a of the banking law;\n (vii) rules relating to the approval or disapproval of subscriber\nrates contained in an application to the public service commission,\nafter public hearing and approval by the applicable municipality for a\ncertificate of confirmation or an amendment to a franchise agreement;\n (viii) appraisal models, discount rates, state equalization rates,\nclass ratios, special equalization rates and special equalization ratios\nestablished pursuant to the real property tax law;\n (ix) rates subject to prior approval by the superintendent of\nfinancial services or to section two thousand three hundred forty-four\nof the insurance law;\n (x) any regulation promulgating an interim price and any final\nmarketing order made by the commissioner of agriculture and markets\npursuant to section two hundred fifty-eight-m of the agriculture and\nmarkets law;\n (xi) any fee which is:\n (1) set by statute;\n (2) less than one hundred dollars;\n (3) one hundred dollars or more and can reasonably be expected to\nresult in an annual aggregate collection of not more than one thousand\ndollars;\n (4) established through negotiation, written agreement or competitive\nbidding, including, but not limited to, contracts, leases, charges,\npermits for space use, prices, royalties or commissions; or\n (5) a charge or assessment levied by an agency upon another agency or\nby an agency upon another unit of state government.\n (xii) changes in a schedule filed by a telephone corporation subject\nto the jurisdiction of the public service commission;\n (xiii) rules relating to requests for authority by a telephone\ncorporation subject to the jurisdiction of the public service commission\nunder sections ninety-nine, one hundred and one hundred one of the\npublic service law and by a public utility subject to the jurisdiction\nof the public service commission under section one hundred seven of the\npublic service law;\n (xiv) any regulation comprised solely of one or more additions to the\nlist of nonprescription drugs reimbursable under the medicaid program\npursuant to paragraph (a) of subdivision four of section three hundred\nsixty-five-a of the social services law.\n 3. "Adjudicatory proceeding" means any activity which is not a rule\nmaking proceeding or an employee disciplinary action before an agency,\nexcept an administrative tribunal created by statute to hear or\ndetermine allegations of traffic infractions which may also be heard in\na court of appropriate jurisdiction, in which a determination of the\nlegal rights, duties or privileges of named parties thereto is required\nby law to be made only on a record and after an opportunity for a\nhearing.\n 4. "License" includes the whole or part of any agency permit,\ncertificate, approval, registration, charter, or similar form of\npermission required by law.\n 5. "Licensing" includes any agency activity respecting the grant,\ndenial, renewal, revocation, suspension, annulment, withdrawal, recall,\ncancellation or amendment of a license.\n 6. "Person" means any individual, partnership, corporation,\nassociation, or public or private organization of any character other\nthan an agency engaged in the particular rule making, declaratory\nruling, or adjudication.\n 7. "Party" means any person or agency named or admitted as a party or\nproperly seeking and entitled as of right to be admitted as a party; but\nnothing herein shall be construed to prevent an agency from admitting\nany person or agency as a party for limited purposes.\n 8. "Small business" means any business which is resident in this\nstate, independently owned and operated, and employs one hundred or less\nindividuals.\n 9. "Substantial revision" means any addition, deletion or other change\nin the text of a rule proposed for adoption, which materially alters its\npurpose, meaning or effect, but shall not include any change which\nmerely defines or clarifies such text and does not materially alter its\npurpose, meaning or effect. To determine if the revised text of a\nproposed rule contains a substantial revision, the revised text shall be\ncompared to the text of the rule for which a notice of proposed rule\nmaking was published in the state register; provided, however, if a\nnotice of revised rule making was previously published in the state\nregister, the revised text shall be compared to the revised text for\nwhich the most recent notice of revised rule making was published.\n 10. "Rural area" means those portions of the state so defined by\nsubdivision seven of section four hundred eighty-one of the executive\nlaw.\n 11. "Consensus rule" means a rule proposed by an agency for adoption\non an expedited basis pursuant to the expectation that no person is\nlikely to object to its adoption because it merely (a) repeals\nregulatory provisions which are no longer applicable to any person, (b)\nimplements or conforms to non-discretionary statutory provisions, or (c)\nmakes technical changes or is otherwise non-controversial.\n 13. "Data" means written information or material, including, but not\nlimited to, statistics or measurements used as the basis for reasoning,\ncalculations or conclusions in a study.\n 14. "Guidance document" means any guideline, memorandum or similar\ndocument prepared by an agency that provides general information or\nguidance to assist regulated parties in complying with any statute, rule\nor other legal requirement, but shall not include documents that concern\nonly the internal management of the agency or declaratory rulings issued\npursuant to section two hundred four of this chapter.\n