AAC-07-07-00001-P Required Training for Commissioners of Fire Districts

2/14/07 N.Y. St. Reg. AAC-07-07-00001-P

NEW YORK STATE REGISTER

VOLUME XXIX, ISSUE 7

February 14, 2007

RULE MAKING ACTIVITIES

DEPARTMENT OF AUDIT AND CONTROL

PROPOSED RULE MAKING

NO HEARING(S) SCHEDULED

 

I.D No. AAC-07-07-00001-P

Required Training for Commissioners of Fire Districts

PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following proposed rule:

Proposed action:

Addition of Part 153 to Title 2 NYCRR.

Statutory authority:

Town Law, section 176-e; L. 2006, ch. 242, section 2; State Finance Law, section 8(14)

Subject:

Required training for commissioners of fire districts.

Purpose:

To prescribe a training course for commissioners of fire districts, and the manner, frequency and the duration of the course.

Substance of proposed rule (Full text is posted at the following State website: www.osc.state.ny.us/localgov/fdreform):

Section 153.1 would describe the scope of Part 153 by discussing the provisions of section 176-e of the Town Law, as added by chapter 242 of the Laws of 2006, which impose a training requirement on fire district commissioners and require the State Comptroller to promulgate rules relating to that training.

Section 153.2 would define terms used in Part 153.

Section 153.3 would clarify the statutory training requirement by providing that every “fire commissioner” who is elected, reelected, appointed or reappointed shall attend and successfully complete an “approved training course” within two hundred seventy days of taking office on or after January 22, 2007. A fire commissioner would be able to fulfill the training requirement by attending and successfully completing “course modules” offered by different persons and organizations. In general, a fire commissioner receiving documentation evidencing attendance and successful completion of an approved training course or a course module would be required to retain the documentation for the duration of his or her current term of office.

Section 153.4 would prescribe the content of an approved training course. An approved training course would consist of instruction in six course modules: fire district management, financial administration, travel procedures and policies, procurements and disposition of fire district assets, internal controls and detection of fraud and abuse, and conflicts of interest and ethics. The proposed rule would prescribe the subjects and topics to be covered in each course module.

Section 153.5 would prescribe requirements relating to the manner of providing an approved training course or course module. An approved training course or course module could be provided through live instruction in a classroom or similar setting, or by means of teleconferencing, interactive web-based training, self-paced on-line training, or any other method designed to address the learning needs of fire commissioners that is approved by the State Comptroller. All methods of providing an approved training course or course module would have to be interactive. An approved training course could be offered in one or more sessions conducted over one or more days. The instructor presenting a course module would be required to verify attendance during, and successful completion of, the course module. When an approved training course or course module is offered at a specific location or facility, the location or facility would be required to comply with all legal requirements relating to physical access by persons with disabilities. Upon request, study and reference materials, and delivery of the training course or module, would have to be accessible and usable by persons with disabilities through the use of means such as aides, auxiliary materials and services, and written materials in accessible formats. Person or organizations offering an approved training course or a course module would be required to issue to fire commissioners documentation evidencing successful completion of the training course or course module, and maintain for a period of at least six years a record thereof.

Section 153.6 would prescribe requirements relating to the duration of an approved training course or course module. As a rule, the duration of an approved training course would have to be at least six hours, with at least one hour of instruction in each course module. In the case of self-paced on-line training, an approved training course or course module would have to be designed to enable verification that the training course or course module is completed.

Section 153.7 would prescribe requirements relating to the frequency of an approved training course or course module. In general, each person or organization that has received certification of an approved training course would be required to offer each course module at least once a year and, on or before January 15, annually, establish a schedule for offering the course modules. Each such person or organization would then be required to take timely and reasonable steps to announce the schedule to the fire commissioners serving fire districts in the vicinity of the location that the course modules will be offered.

Section 153.8 would prescribe the process for obtaining from the State Comptroller certification of a training course as an approved training course. Application for certification would be made on a form prescribed by the Comptroller containing certain information, including a detailed outline of each course module and the amount of time to be devoted to each subject and topic included within the module. If an application is approved, the Comptroller would issue to the applicant documentation evidencing certification which, generally, would be valid for five years. If an application is disapproved, the Comptroller would issue to the applicant a statement indicating the reason or reasons for the disapproval and, following receipt of that statement, the applicant could submit a new application. The Comptroller would be authorized to revoke certification as an approved training course in the event that the Comptroller determines that there has been a material departure from the requirements of the rules, or a material departure from the representations made in the application for certification, following notice and an opportunity to submit a written reply. The Comptroller would be required to maintain a record of all persons and organizations which have received certification of an approved training course, the dates on which such certifications expire and, if a certification has been revoked, the date of the revocation.

Text of proposed rule and any required statements and analyses may be obtained from:

Michael Kupferman, Assistant Counsel, Office of the State Comptroller, 110 State St., 14th Fl., Albany, NY 12236-0001, [phone], e-mail: [e-mail]

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:

Section 176-e of the Town Law, as added by chapter 242 of the Laws of 2006, requires each commissioner of a fire district to attend and successfully complete a State-approved training course within two hundred seventy days of taking office. Section 176-e requires the training course to contain instruction relating to such fire commissioners' legal, fiduciary, financial, procurement, and ethical responsibilities, and such other disciplines as may be prescribed by the State Comptroller. That section also requires the training course to be prescribed and certified in rules promulgated by the State Comptroller, and requires such rules to establish the manner, frequency and duration of the training course. Section 2 of chapter 242 provides that the State Comptroller may promulgate any rules and regulations necessary to implement section 176-e prior to the effective date of chapter 242 on January 22, 2007. Section 8(14) of the State Finance Law authorizes the State Comptroller to make, amend and repeal rules and regulations as he may deem necessary in the performance of the duties imposed upon him by law.

2. Legislative Objectives:

The proposed rule would accomplish the legislative objectives of prescribing, and establishing a procedure for certifying, the content, manner of providing, and duration of the training course for fire district commissioners.

3. Needs and Benefits:

The purpose of the proposed rule is to prescribe, and establish a procedure for certifying, the content, manner of providing, frequency, and duration of the training course for fire district commissioners. The rule is necessary because section 176-e of the Town Law requires the State Comptroller to promulgate rules addressing these issues. The benefit of the proposed rule is that it would make possible the training required by section 176-e.

4. Costs:

a. The costs to regulated parties for the implementation of, and continuing compliance with, the proposed rule are indeterminate, but likely to be small.

The proposed rule would require persons and organizations seeking to develop an approved training course for fire district commissioners to comply with certain provisions relating to the content, manner of providing, duration and frequency of the course. These provisions may impose implementation and compliance costs on such persons or organizations, but these costs are apt to vary greatly based on a number of factors, the most important of which are the course developer's familiarity with the content of the course, that person's rate of compensation, and the choices made by the course provider with respect to the manner in which the course is to be provided. Nonetheless, it is estimated that the cost to develop a training course that complies with the proposed rule is approximately $3,600. The cost of an instructor to provide the course in a classroom or similar setting with course materials is estimated to be $2,100.

The proposed rule would also require persons and organizations that develop a training course to apply to the State Comptroller for certification of the course as an approved training course. The principal information that would be required by the application is a description of how the applicant intends to comply with the provisions in the proposed rule relating to the content, manner of providing, duration, and frequency of the course, as well as a detailed outline of the training course. Because an applicant must have the information and outline required by the application before it is submitted to the Comptroller, the additional cost of preparing an application form and submitting it to the Comptroller would be minimal.

In addition, the proposed rule would require persons or organizations providing an approved training course to issue to fire district commissioners documentation evidencing successful completion of the course, and to maintain, for six years, a record of the fire district commissioners who successfully complete the course. These requirements would impose only minimal costs because the documentation evidencing successful completion of the course can take the form of a letter, or even an e-mail, and the amount of information that must be maintained as a record is small and readily available from the commissioners who take the course.

b. The costs of the proposed rule to the agency are indeterminate. The proposed rule would require the State Comptroller to evaluate applications for certification of training courses for fire district commissioners as approved training courses. The cost of performing this function will depend on the number of applications received by the agency, and there is no way to predict how many applications the agency is likely to receive. Nonetheless, the agency expects that performance of the function would require the full time equivalent (FTE) of two people – one and half FTE of an SG-18 professional and one-half FTE of an SG-11 administrative assistant, but would not require hiring additional personnel. The proposed rule would impose no other costs on the State, and no costs on local governments.

c. The basis for the foregoing cost estimates is the above analysis of the requirements of the proposed rule, and an estimate of professional course development and teaching costs based on the agency's knowledge of such costs.

5. Local Government Mandates:

The proposed rule would impose no requirements on any local governments.

6. Paperwork:

The proposed rule would require persons or organizations that develop a training course for fire district commissioners to file an application with the State Comptroller for certification of the course as an approved training course. Course providers would be required to issue documentation evidencing successful completion of the course, and maintain records thereof for at least six years.

7. Duplication:

None.

8. Alternatives:

No significant alternatives were considered.

9. Federal Standards:

None.

10. Compliance Schedule:

It is estimated that the time to develop a training course that complies with the proposed rule would be eighteen hours. Completion of an application to have the course certified as an approved training course is estimated to take less than an hour. The agency's evaluation of such an application is expected to take no more than forty-five days. Persons or organizations receiving certification of an approved training course would be required to offer the course at least once a year. Except in the case of self-paced on-line training, the duration of an approved training course must be at least six hours. Within forty-five days of a fire commissioner successfully completing an approved training course or course module, the person or organization offering the training course or course module would be required to issue to the fire commissioner documentation evidencing the date on which the fire commissioner successfully completed the training course or course module.

Regulatory Flexibility Analysis

1. Effect of rule:

The proposed rule would affect every small business that intends to provide an approved training course to fire district commissioners. The types of small businesses most likely to be affected are state-wide fire service organizations, law firms, accounting firms, financial advisers, and professional trainers. It is not anticipated that the proposed rule would affect local governments because it is not expected that local governments will provide the training.

2. Compliance requirements:

The proposed rule would require small businesses intending to develop an approved training course for fire district commissioners to comply with certain provisions relating to the content, manner of providing, duration, and frequency of the course. These small businesses would also be required to apply to the State Comptroller for certification of the course as an approved training course. In addition, the proposed rule would require small businesses providing an approved training course to issue to fire district commissioners documentation evidencing successful completion of the course, and to maintain, for six years, a record of the fire district commissioners who successfully complete the course.

3. Professional services:

Implementation of the proposed rule would require small businesses to have access to one or more persons who are familiar with the content of an approved training course in order to develop and present the course. The persons who would most likely meet these requirements include, but are not limited to, attorneys, accountants, financial advisers, and professional trainers.

4. Compliance costs:

The initial capital costs that would be incurred by small businesses to comply with the proposed rule are indeterminate, but likely to be small.

The proposed rule would require persons and organizations seeking to develop an approved training course for fire district commissioners to comply with certain provisions relating to the content, manner of providing, duration, and frequency of the course. The cost of complying with these provisions is apt to vary greatly based on a number of factors, the most important of which are the course developer's familiarity with the content of the course, that person's rate of compensation, and the choices made by the course provider with respect to the manner in which the course is to be provided. Nonetheless, it is estimated that the cost to develop a classroom training course that complies with the proposed rule is approximately $3,600.

The proposed rule would also require a person or organization that develops a training course to apply to the State Comptroller for certification of the course as an approved training course. Because the information required for the application is essentially a description of the training course that an applicant would have already developed, the additional cost of applying to the Comptroller for certification of the course as an approved training course is expected to be minimal.

The annual cost for continuing compliance with the proposed rule by small businesses is indeterminate, but likely to be small.

The proposed rule would require persons or organizations to provide an approved training course to fire district commissioners through live instruction in a classroom or similar setting, or by means of teleconferencing, interactive web-based training, self-paced on-line training, or any other method designed to address the learning needs of fire commissioners that is approved by the State Comptroller. Thus, the annual cost of providing the course will vary depending on which of these methods the course provider chooses to utilize. The cost of an instructor to provide the course in a classroom or similar setting with course materials is estimated to be $2,100.

The proposed rule would require persons or organizations providing an approved training course to issue to fire district commissioners documentation evidencing successful completion of the course, and to maintain, for six years, a record of the fire district commissioners who successfully complete the course. These requirements would impose minimal annual compliance costs because the documentation evidencing successful completion of the course can take the form of a letter, or even an e-mail, and the amount of information that must be maintained as a record is small and readily available from the commissioners who take the course.

Neither the initial compliance costs, nor the continuing compliance costs will vary depending on the size or type of a small business.

5. Economic and technological feasibility:

The proposed rule is economically feasible for small businesses because the compliance costs are likely to be small. The proposed rule is technologically feasible for small business because the proposed rule authorizes an approved training course for fire district commissioners to be provided through live instruction in a classroom or similar setting, or by means of teleconferencing, interactive web-based courses, self-paced on-line training, or any other method designed to address the learning needs of fire commissioners that is approved by the State Comptroller.

6. Minimizing adverse impact:

Because the costs of complying with the proposed rule are likely to be small, the proposed rule does not impose an adverse economic impact on small businesses and, therefore, no approaches for minimizing such impact were considered.

7. Small business and local government participation:

Notice of the proposed rule has been disseminated to state-wide fire service organizations and posted on the agency's website.

Rural Area Flexibility Analysis

1. Types and estimated numbers of rural areas:

The proposed rule will apply to every rural area in the State.

2. Reporting, recordkeeping and other compliance requirements; and professional services:

The proposed rule would require persons or organizations intending to develop an approved training course for fire district commissioners to comply with certain provisions relating to the content, manner of providing, duration, and frequency of the course. The proposed rule would also require persons and organizations that develop a training course to apply to the State Comptroller for certification of the course as an approved training course. In addition, the proposed rule would also require persons or organizations providing an approved training course to issue to fire district commissioners documentation evidencing successful completion of the course, and to maintain, for six years, a record of the fire district commissioners who successfully complete the course.

Implementation of the proposed rule would require access to one or more persons who are familiar with the content of an approved training course in order to develop and present the course to fire district commissioners. The persons who would most likely meet these requirements include, but are not limited to, attorneys, accountants, financial advisers, and professional trainers.

3. Costs:

The initial capital costs that will be incurred by persons or organizations to comply with the proposed rule are indeterminate, but likely to be small.

The proposed rule would require persons and organizations seeking to develop an approved training course for fire district commissioners to comply with certain provisions relating to the content, manner of providing, duration, and frequency of the course. The cost of complying with these provisions is apt to vary greatly based on a number of factors, the most important of which are the course developer's familiarity with the content of the course, that person's rate of compensation, and the choices made by the course provider with respect to the manner in which the course is to be provided. Nonetheless, it is estimated that the cost to develop a classroom training course that complies with the proposed rule is approximately $3,600.

The proposed rule would also require a person or organization that develops a training course to apply to the State Comptroller for certification of the course as an approved training course. Because the information required for the application is essentially a description of the training course that an applicant would have already developed, the additional cost of applying to the Comptroller for certification of the course as an approved training course is expected to be minimal.

The annual cost for continuing compliance with the proposed rule is indeterminate, but likely to be small.

The proposed rule would require persons or organizations to provide an approved training course to fire district commissioners through live instruction in a classroom or similar setting, or by means of teleconferencing, inter-active web-based training, self-paced on-line training, or any other method designed to address the learning needs of fire commissioners that is approved by the State Comptroller. Thus, the annual cost of providing the course will vary depending on which of these methods the course provider chooses to utilize. The cost of an instructor to provide the course in a classroom or similar setting with course materials is estimated to be $2,100.

The proposed rule would require persons or organizations providing an approved training course to issue to fire district commissioners documentation evidencing successful completion of the course, and to maintain, for six years, a record of the fire district commissioners who successfully complete the course. These requirements would impose minimal annual compliance costs because the documentation evidencing successful completion of the course can take the form of a letter, or even an e-mail, and the amount of information that must be maintained as a record is small and readily available from the commissioners who take the course.

Neither the initial compliance costs, nor the continuing compliance costs will vary for different types of public and private entities in rural areas.

4. Minimizing adverse impact:

Because the costs of complying with the proposed rule are likely to be small, the proposed rule does not impose an adverse impact on rural areas and no approaches for minimizing such impact were considered.

5. Rural area participation:

Notice of the proposed rule has been disseminated to state-wide fire service organizations and posted on the agency's website.