New York Register, Volume 36, Issue 19, May 14, 2014
| Jurisdiction | New York |
| Library | New York Register |
| Published date | 14 May 2014 |
| Year | 2014 |
RULE MAKING
ACTIVITIES
Each rule making is identified by an I.D. No., which consists
of 13 characters. For example, the I.D. No.
AAM-01-96-00001-E indicates the following:
AAM -the abbreviation to identify the adopting agency
01 -the State Register issue number
96 -the year
00001 -the Department of State number, assigned upon
receipt of notice.
E -Emergency Rule Making—permanent action
not intended (This character could also be: A
for Adoption; P for Proposed Rule Making; RP
for Revised Rule Making; EP for a combined
Emergency and Proposed Rule Making; EA for
an Emergency Rule Making that is permanent
and does not expire 90 days after filing.)
Italics contained in text denote new material. Brackets
indicate material to be deleted.
Department of Audit and
Control
PROPOSED RULE MAKING
NO HEARING(S) SCHEDULED
Use of SCPA Section 1301 Affidavits for the Collection of
Abandoned Funds with the Office of Unclaimed Funds
I.D. No. AAC-19-14-00011-P
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following proposed rule:
Proposed Action: Addition of Part 130 to Title 2 NYCRR.
Statutory authority: Abandoned Property Law, section 1414
Subject: Use of SCPA section 1301 Affidavits for the collection of
abandoned funds with the Office of Unclaimed Funds.
Purpose: To set forth the situations when a SCPA section 1310 affidavit
will be accepted for the claim of abandoned funds.
Text of proposed rule: A new Part 130 to Title 2 NYCRR is proposed as
follows:
Part 130
Claim for funds held by the Office of Unclaimed Funds owed to a
decedent or a decedent’s estate qualifying as a Small Estate
Section 130.1 Purpose.
Surrogate’s Court Procedure Act section 1310 permits, but does not
require, debtors to discharge debts to a decedent or a decedent’s estate,
by making payment to certain relatives or creditors of the decedent. The
purpose of this regulation is to set forth the circumstances under which
the Comptroller will exercise his or her discretion under such provision to
discharge debts owed to decedents or their estates with respect to prop-
erty held under the Abandoned Property Law by payment of claims submit-
ted by a decedent’s relatives and creditors, and to set forth processes by
which other claims not exceeding $30,000 may be made.
Section 130.2 Acceptance of Affidavits under SCPA § 1310.
(a) A spouse, child, unreimbursed payor of funeral expenses, and the
Department of Social Services or a social services district may submit
claims through an affidavit pursuant to section 1310 of the Surrogate’s
Court Procedure Act up to the maximum amounts allowed by that section.
A spouse or child must also submit a Table of Heirs on a form provided by
the Office of Unclaimed Funds.
(b) Heirs or creditors, other than those set forth in subdivision (a), may
only submit an affidavit pursuant to section 1310 of the Surrogate’s Court
Procedure Act when the total amount being claimed does not exceed
$1,000 in value. In the case of an heir, the claimant must also submit a
Table of Heirs on a form provided by the Office of Unclaimed Funds.
(c) Heirs or creditors as set forth in subdivision (b), in order to claim to
funds in excess of $1,000 in value, must be appointed as an estate repre-
sentative (including a voluntary administrator) of the decedent’s estate by
the appropriate Surrogate’s Court, or in the case of a non-New York
decedent, by the appropriate court of the state of domicile of the decedent.
After having been appointed, the estate representative must provide to the
Office of Unclaimed Funds a currently dated certificate of letters from the
appropriate Surrogate’s Court, or similar documents with respect to an
estate representative appointed for a non-New York domiciliary.
Section 130.3 Other Requirements.
Any heir or creditor must also provide any and all documents required
by the Office of Unclaimed Funds which are necessary to prove the
decedent’s identity and entitlement to the funds, or are otherwise neces-
sary in order for the Office of Unclaimed Funds to meet all of its statutory
obligations or approve the claim.
Text of proposed rule and any required statements and analyses may be
obtained from: Jamie Elacqua, Department of Audit and Control, 110
State Street, Albany, New York 12236, (518) 473-4146, email:
jelacqua@osc.state.ny.us
Data, views or arguments may be submitted to: Same as above.
Public comment will be received until: 45 days after publication of this
notice.
Regulatory Impact Statement
1. Statutory Authority: The amendment is authorized under sections
1401 and 1414 of the Abandoned Property Law.
2. Legislative Objectives: This rule will require that certain claimants
of abandoned funds payable to a decedent or a decedent’s estate, which
qualifies as a small estate, must have a voluntary administrator appointed
for the estate to make claim to the abandoned funds. In the past, the Office
of Unclaimed Funds permitted an heir or creditor qualifying under Sur-
rogate’s Court Procedure Act (SCPA) Section 1310 to claim assets of a
decedent or a decedent’s estate up to the maximums provided in such stat-
ute (which range from $5,000 to $30,000) by providing proof of the
decedent’s ownership and completing an affidavit (containing the infor-
mation prescribed by SCPA Section 1310) establishing the claimant’s re-
lationship to the decedent and the claimant’s entitlement. While this rule
will continue this practice with respect to claims by spouses and children
of the decedent, payors of funeral expenses and the Departments of Social
Services or social services districts, this rule will now require, in the case
of claims by other heirs and creditors that a voluntary administrator be ap-
pointed for the estate when the qualified heirs and creditors are claiming
abandoned funds valued over $1,000.
3. Needs and Benefits: In discussions with the Surrogate’s Court Advi-
sory Committee, this Office was advised that the Committee was con-
cerned that, because these affidavits are used without any Surrogate’s
Court supervision (as is anticipated by SCPA Section 1310), there is the
potential for fraud and abuse in the use of these affidavits, particularly
where the persons claiming have a more remote connection to the
decedent. Since the acceptance of affidavits under section 1310 is volun-
tary on the part of debtors, in order to address these concerns, this Office
1
agreed to limit the acceptance of such affidavits to $1,000, except in the
cases of spouses, children, payors of funeral expenses and the Depart-
ments of Social Services and Social Services Districts. By requiring certain
qualifying heirs and creditors to file for voluntary administration with the
Surrogate’s Court, the Court can exercise its jurisdiction over the small
estates and ensure the proper administration of the estate.
4. Costs: a. Costs to the regulated parties: Claimants required to obtain
voluntary administration will be required to pay a statutory one dollar fil-
ing fee to the Surrogate’s Court to be appointed voluntary administrator.
b. Costs to the agency, state and local governments for the implementa-
tion and continuation of the rule: The revision of this rule should be cost
neutral to the agency. The costs for state and local governments should
also be cost neutral since, generally, state and local governments would
utilize affidavits under section 1310 primarily with respect to claims by
the Departments of Social Services or Social Services Districts – and such
entities are not subjected to the lower thresholds for the use of such af-
fidavits under this rule. c. Sources, methodology of cost analysis: The cost
to petition for voluntary administration is set forth by statute in Article 13
of the SCPA.
5. Local Government Mandates: None.
6. Paperwork: Spouses and children of a decedent, payors of funeral ex-
penses and the Department of Social Services and social services districts
owed a debt by a decedent or a decedent’s estate can continue to use SCPA
Section 1310 Affidavits for claiming abandoned funds owed to a decedent
or a decedent’s estate up to the statutory maximums. Other qualified heirs
and creditors of a decedent or a decedent’s estate must complete the Sur-
rogate’s Court forms to petition to be appointed voluntary administrator of
a small estate where the amount being claimed exceeds $1,000. The forms
can be completed on-line at the Office of Court Administration website. A
link to such website is already contained on the Comptroller’s website. If
necessary, such forms can be obtained in paper form from the appropriate
Surrogate’s Court.
7. Duplication: The rule does not duplicate, overlap or conflict with any
other legal requirements of the state or federal governments.
8. Alternatives: No significant alternatives were considered.
9. Federal Standards: The rule does not exceed any minimum standards
of the federal government for the same or similar subject area.
10. Compliance Schedule: It is believed that compliance can be
achieved immediately upon the rule’s adoption.
Regulatory Flexibility Analysis
1. Effect of Rule: This Office sees very few, if any, claims from small
businesses claiming as a creditor of a decedent under SCPA Section 1310,
with the exception of funeral homes seeking to recover burial costs. Since
payors of funeral expenses are excluded from the lower thresholds
established by this rule, the rule should not have any significant effect on
small businesses claiming as creditors of a decedent. The only other small
businesses affected by this rule will be abandoned property location ser-
vices providers doing business with the Office of Unclaimed Funds on
behalf of their clients who are heirs or creditors of a decedent’s estate
qualifying as a small estate (under $30,000) pursuant to the SCPA. It is
estimated that there are 282 property location service providers who
qualify as small businesses who will be affected. Local governments
should not be significantly affected since Departments of Social Services
and Social Services Districts will be able to continue to claim decedent’s
abandoned funds utilizing a SCPA Section 1310 Affidavit up to the statu-
tory threshold.
2. Compliance Requirements: The proposed rule will require certain
claimants to abandoned funds owed to decedent’s estates qualifying as
small estates to have a voluntary administrator appointed for the estate
rather than permit a qualifying affiant to complete a SCPA Section 1310
Affidavit.
3. Professional Services: No professional services are necessary to
comply with this rule since the process culminating in the appointment of
a voluntary administrator is very simple and can be performed by complet-
ing on-line forms on the Office of Court Administration website. The
forms are advertised as “DIY” (do-it-yourself) and are easy to complete.
A link to the Office of Court Administration website’s DIY forms has al-
ready been added to the Comptroller’s website to further help claimants in
completing the appropriate paperwork.
4. Compliance Costs: There is a statutory one dollar filing fee payable
to the appropriate Surrogate’s Court which must accompany the petition
to the Surrogate’s Court to be appointed a voluntary administrator.
5. Economic and Technological Feasibility: There are no economic or
technological issues involved in order to comply with this rule. The volun-
tary administrator forms are accessible on-line, but also are available in
paper form from the appropriate surrogate’s court office.
6. Minimizing Adverse Impact: The approaches suggested by the
Legislature in SAPA § 202-b(1) were not considered. The on-line forms
can be completed by anyone in any geographical area and will not cause
undue burden or expense upon any claimant.
7. Small Business and Local Government Participation: In order to
ensure small businesses and local governments have an opportunity to
participate in the rule making process; a press release will be issued and
posted on the Comptroller’s website regarding this proposed rule.
Rural Area Flexibility Analysis
1. Types and Estimated Numbers of Rural Areas: This rule will affect
all geographical areas of the State including rural areas.
2. Reporting, Recordkeeping and Other Compliance Requirements and
Professional Services: The proposed rule will require that certain claim-
ants to abandoned funds owed to a decedent or a decedent’s estate qualify-
ing as a small estate must have a voluntary administrator appointed for the
estate rather than permit a qualifying affiant to complete a SCPA section
1310 Affidavit. No professional services are necessary to comply with this
rule since the process culminating in the appointment of a voluntary
administrator is very simple and can be performed by completing on-line
forms on the Office of Court Administration website. The forms are
advertised as “DIY” (do-it-yourself) and are easy to complete.
3. Costs: There is a statutory one dollar filing fee, payable to the ap-
propriate Surrogate’s Court, which must accompany the petition to be ap-
pointed a voluntary administrator.
4. Minimizing Adverse Impact: The approaches suggested by SAPA
§ 202-bb(2) were not considered. The on-line forms can be completed by
anyone in any geographical area and will not cause undue burden or
expense upon any claimant.
5. Rural Area Participation: In order ensure regulated parties in rural ar-
eas have an opportunity to participate in the rule making process a press
release will be issued and posted on the Comptroller’s website regarding
this proposed rule.
Education Department
EMERGENCY/PROPOSED
RULE MAKING
NO HEARING(S) SCHEDULED
Student Promotion/Placement and Permanent Records and
Transcripts, and Grades 3-8 State ELA and Mathematics
Assessments
I.D. No. EDU-19-14-00005-EP
Filing No. 338
Filing Date: 2014-04-29
Effective Date: 2014-04-29
PURSUANT TO THE PROVISIONS OF THE State Administrative Pro-
cedure Act, NOTICE is hereby given of the following action:
Proposed Action: Amendment of sections 100.2, 100.3 and 100.4; and ad-
dition of section 104.3 to Title 8 NYCRR.
Statutory authority: Education Law, sections 101 (not subdivided), 207
(not subdivided), 208 (not subdivided), 209 (not subdivided), 210 (not
subdivided), 215 (not subdivided), 305(1), (2), (20), (45), (46) and (47),
308 (not subdivided), 309 (not subdivided) and 3204(3); and L. 2014, ch.
56, part AA, subparts B and C
Finding of necessity for emergency rule: Preservation of general welfare.
Specific reasons underlying the finding of necessity: The proposed rule
is necessary to conform the Commissioner’s Regulations to Subparts B
and C of Part AA of Chapter 56 of the Laws of 2014, which became effec-
tive April 1, 2014.
Part AA, Subpart B of Chapter 56 of the Laws of 2014 adds new
subdivisions (45) and (46) to Education Law section 305, which direct the
Commissioner to provide that no school district or board of cooperative
educational services may place or include on a student’s official transcript
or maintain in a student’s permanent record any individual student score
on a State administered standardized English language arts or mathemat-
ics assessment for grades three through eight, and that any test results on
such assessments sent to parents/persons in parental relation include a
clear and conspicuous notice that such results will not be included on the
student’s official transcript or in the student’s permanent record and are
being provided for diagnostic purposes. The statute provides that these
provisions shall expire and be deemed repealed on December 31, 2018.
Part AA, Subpart C of Chapter 56 of the Laws of 2014 adds a new
subdivision (47) to Education Law section 305, which directs the Com-
missioner to provide that no school district shall make any student promo-
NYS Register/May 14, 2014Rule Making Activities
2
tion or placement decisions based solely or primarily on student perfor-
mance on the state administered standardized English language arts and
mathematics assessments for grades three through eight. However, a
school district may consider student performance on such state assess-
ments provided that the school district uses multiple measures in addition
to such assessments and that such assessments do not constitute the major
factor in such determinations. In addition, the Commissioner shall require
every school district to annually notify the parents and persons in parental
relation to the students attending such district of the district's grade promo-
tion and placement policy along with an explanation of how such policy
was developed. Such notification may be provided on the school district's
website, if one exists, or as part of an existing informational document that
is provided to parents and persons in parental relation.
Because the Board of Regents meets at scheduled intervals, the July 10-
11, 2014 meeting is the earliest the proposed rule could be presented for
adoption, after publication of a Notice of Emergency Adoption and
Proposed Rule Making in the State Register on May 14, 2014 and expira-
tion of the 45-day public comment period required under the State
Administrative Procedure Act. Furthermore, pursuant to SAPA section
203(1), the earliest effective date of the proposed rule, if adopted at the
July meeting, would be July 30, 2014, the date a Notice of Adoption would
be published in the State Register. However, emergency adoption of these
regulations is necessary now for the preservation of the general welfare to
immediately conform the Commissioner's Regulations to timely imple-
ment Subparts B and C of Part AA of Chapter 56 of the Laws of 2014, re-
lating to grades 3-8 ELA and mathematics assessments and promotion and
placement determinations, and student official transcripts and permanent
records, and thus ensure the timely implementation of the statute.
It is anticipated that the proposed rule will be presented to the Board of
Regents for permanent adoption at its July 10-11, 2014 meeting, which is
the first scheduled meeting after expiration of the 45-day public comment
period mandated by the State Administrative Procedure Act.
Subject: Student promotion/placement and permanent records and
transcripts, and grades 3-8 State ELA and Mathematics assessments.
Purpose: Conform Commissioner's Regulations to Education Law sec-
tion 305(45), (46) and (47), as added by subparts B and C of part AA of L.
2014, ch. 56.
Text of emergency/proposed rule: 1. Subdivision (ll) of section 100.2 of
the Regulations of the Commissioner is added, effective April 29, 2014, as
follows:
(ll) Grade promotion and placement policy. Each school district shall
adopt a grade promotion and placement policy that is consistent with sec-
tions 100.3(b)(2)(iv), 100.4(b)(2)(v) and 100.4(e)(6) of this Part, and an-
nually notify the parents and persons in parental relation to the students
attending such district of such policy along with an explanation of how the
policy was developed. Such notification may be provided on the school
district’s website, if one exists, or as part of an existing informational doc-
ument that is provided to parents and persons in parental relation.
2. Paragraph (2) of subdivision (b) of section 100.3 of the Regulations
of the Commissioner is amended, effective April 29, 2014, as follows:
(2) Required assessments.
(i) Except as otherwise provided in subparagraphs (ii) and (iii) of
this paragraph, at the specified grade level, all students shall take the fol-
lowing tests, provided that testing accommodations may be used as
provided for in section 100.2(g) of this Part in accordance with depart-
ment policy:
(a) beginning in January 1999, the English language arts
elementary assessment and the mathematics elementary assessment shall
be administered in grade four and, beginning in the 2005-2006 school
year, the English language arts elementary assessments and the mathemat-
ics elementary assessment shall be administered in grades three and four;
and (b) beginning in January 2000, the elementary science assess-
ment shall be administered in grade four.
(ii) Students receiving home instruction pursuant to section 100.10
of this Part may take, but shall not be required to take, the State assess-
ments required of public school students.
(iii) In accordance with their individualized education programs,
students with disabilities instructed in the alternate academic achievement
standards defined in section 100.1(t)(2)(iv) of this Part shall be adminis-
tered a State alternate assessment to measure their achievement.
(iv) Notwithstanding the provisions of this section, no school
district shall make any student promotion or placement decisions based
solely or primarily on student performance on the English language arts
elementary assessments and the mathematics elementary assessments
administered in grades three and four. However, a school district may
consider student performance on such assessments provided the school
district uses multiple measures in addition to such assessments and that
such assessments do not constitute the major factor in such determinations.
3. Paragraph (2) of subdivision (b) of section 100.4 of the Regulations
of the Commissioner is amended, effective April 29, 2014, as follows:
(2) Required assessments.
(i) Except as otherwise provided in subparagraphs (iv) and (v) of
this paragraph, all students shall take the following assessments, provided
that testing accommodations may be used as provided for in section
100.2(g) of this Part in accordance with department policy:
(ii) beginning with the 2005-06 school year, English language arts
and mathematics assessments shall be administered in grades five and six;
(iii) for school years prior to July 1st of the 2010-2011 school
year, all students in grade five shall take the social studies elementary as-
sessment;
(iv) students receiving a program of home instruction pursuant to
section 100.10 of this Part may take, but shall not be required to take, the
State assessments required of public school students;
(v) in accordance with their individualized education programs,
students with disabilities instructed in the alternate academic achievement
standards defined in section 100.1(t)(2)(iv) of this Part shall be adminis-
tered a State alternate assessment to measure their achievement;
(vi) beginning September 1, 2000 and continuing up to and includ-
ing the 2004- 2005 school year, fifth grade students who scored at Level 1
of the State designated performance levels on the English language arts
elementary assessment and/or the mathematics elementary assessment
administered in grade four shall receive at least one semester of academic
intervention services and be retested no later than the completion of grade
five. Multiple sources of evaluation, including, but not limited to, a com-
mercial test or other external test of demonstrated technical quality
determined by the school district to be a valid and reliable means of
evaluating a student's progress in achieving the elementary level State
learning standards in English language arts and mathematics, shall be used
to retest students in accordance with the district-adopted or district-
approved procedure established pursuant to section 100.2(ee) of this Part;
(vii) Notwithstanding the provisions of this section, no school
district shall make any student promotion or placement decisions based
solely or primarily on student performance on the English language arts
assessments and the mathematics assessments administered in grades five
and six. However, a school district may consider student performance on
such assessments provided the school district uses multiple measures in
addition to such assessments and that such assessments do not constitute
the major factor in such determinations.
4. Subdivision (e) of section 100.4 of the Regulations of the Commis-
sioner of Education is amended, effective April 29, 2014, as follows:
(e) Required assessments in grades seven and eight. Except as otherwise
provided in subdivisions (f) and (g) of this section, and except for students
who have been admitted to a higher grade without completing the grade at
which the assessment is administered, all students shall take the following
assessments, provided that testing accommodations may be used as
provided for in section 100.2(g) of this Part in accordance with depart-
ment policy.
(1) Beginning with school year 1998-99, the English language arts
intermediate assessment shall be administered in grade eight. Beginning
with the 2005-2006 school year, English language arts assessments shall
be administered in grades seven and eight.
(2) Beginning with the 1998-99 school year, the mathematics inter-
mediate assessment shall be administered in grade eight. Beginning with
the 2005-2006 school year, mathematics assessments shall be administered
in grades seven and eight, provided that, for the 2013-2014 school year,
students who attend grade seven or eight may take a Regents examination
in mathematics in lieu of or in addition to the grade seven or eight
mathematics assessment, in accordance with section 100.18(b)(14) of this
Part. (3) The program evaluation test in social studies in grade eight, begin-
ning in May 1989. Beginning with the school year 2000-2001 through the
2009-2010 school year, the social studies intermediate assessment shall
replace the program evaluation test and shall be administered in grade
eight.
(4) Beginning with the school year 2000-2001, the science interme-
diate assessment shall be administered in grade eight; provided that
students who attend grade eight may take a Regents examination in sci-
ence in lieu of or in addition to the grade eight science intermediate as-
sessment, in accordance with this section and section 100.18(b)(14) of this
Part, and provided further that the science intermediate assessment shall
not be administered in grade eight to students who take such assessment in
grade seven and are being considered for placement in an accelerated high
school-level science course when they are in grade eight pursuant to
subdivision (d) of this section.
(5) Such other assessments as the commissioner determines
appropriate.
(6) Notwithstanding the provisions of this section, no school district
shall make any student promotion or placement decisions based solely or
NYS Register/May 14, 2014 Rule Making Activities
3
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