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NEW YORK STATE
STATE ADMINISTRATIVE PROCEDURE ACT
(SAPA)
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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