OFT-37-06-00005-A State Agency Internet Posting of Application Forms

8/1/07 N.Y. St. Reg. OFT-37-06-00005-A

NEW YORK STATE REGISTER

VOLUME XXIX, ISSUE 31

August 01, 2007

RULE MAKING ACTIVITIES

OFFICE FOR TECHNOLOGY

NOTICE OF ADOPTION

 

I.D No. OFT-37-06-00005-A

Filing No. 706

Filing Date. Jul. 12, 2007

Effective Date. Aug. 01, 2007

State Agency Internet Posting of Application Forms

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

Action taken:

Addition of Part 552 to Title 9 NYCRR.

Statutory authority:

Executive Law, section 164-d; and State Technology Law, section 103

Subject:

State agency internet posting of application forms.

Purpose:

To establish a process for State agencies to use in prioritizing application forms to be made available on the internet and in establishing the timing for posting such forms on the internet.

Text of final rule:

A new Part 552 is added to read as follows:

PART 522

STATE AGENCY INTERNET POSTING OF APPLICATION FORMS

Section 552.1 Purpose, Intent, and Applicability.

Section 164-d of the Executive Law provides that the state and every state agency, department, bureau, board, authority, office, commission, or any other instrumentality of the state shall make those various application forms developed and distributed by such agency or instrumentality for public use that are readily convertible to Internet form and that are intended to be commonly used by the general public available on the Internet. Section 164-d requires the New York State Office for Technology (OFT), in consultation with the Governor's Office of Regulatory Reform (GORR), to promulgate rules and regulations to implement the statute. The purpose of this Part is to establish a process for the entities that are subject to section 164-d to use in prioritizing the application forms to be made available on the Internet and establishing the timing for making such application forms available on the Internet.

Section 552.2 Definitions.

For the purposes of this Part, the terms below have the following meanings:

(a) “Applicant” means a person who makes a formal request to a state agency for an approval, authorization, certification, consent, decision, determination, license, order, permit, registration, or other administrative action.

(b) “Application forms” means those documents provided by a state agency for completion by an applicant to such state agency.

(c) “General public” means all persons and not limited or restricted to a particular class of persons.

(d) “Internet” means the Internet as defined by subdivision 3 of section 202 of the State Technology Law.

(e) “State agency” means every state agency, department, bureau, board, authority, office, commission, or any other instrumentality of the state.

(f) “State agency website” means state agency website as defined by subdivision 7 of section 202 of the State Technology Law.

Section 552.3 Inventory of and Prioritization Process for Application Forms.

(a) Within one hundred eighty (180) days from the effective date of this regulation each state agency shall: (i) review and inventory its existing application forms that are intended to be commonly used by the general public; (ii) determine which of these application forms, if any, have already been made available to the general public on the Internet and which have not; and (iii) establish a priority list for making available to the general public on the Internet those application forms that have not previously been made so available.

(b) With respect to those application forms that the inventory shows have not been made available to the general public on the Internet, each state agency shall prioritize the order and estimated timeframe in which such application forms will be made available on the Internet. In establishing a priority list for making application forms available on the Internet, the state agency may consider, among other things: (i) the annual demand for a particular application form among the general public; (ii) the intended scope of the distribution of a particular application form; and (iii) whether a particular application form is readily convertible to Internet form. In assessing whether an application form is “readily convertible to Internet form,” the state agency may consider, among other things, the characteristics of an application form, including, but not limited to, graphic content, security features, and other technical issues, including the need to comply with laws, policies, and procedures in regard to the accessibility of Internet information and applications, that may make conversion to Internet form more difficult.

(c) The inventory prepared by the state agency pursuant to subdivision (a)(i) of this section and the priority list established by the state agency pursuant to subdivision (a)(iii) of this section shall be posted on a state agency website. The state agency website on which the inventory and priority list are posted shall include a conspicuous and direct link to the inventory and the priority list. The inventory and the priority list shall also be filed with GORR in a format prescribed by GORR.

(d) At least once per year, the state agency's inventory and priority list shall be updated to reflect the development and distribution by the state agency of any new or redesigned application form that is intended to be commonly used by the general public. Such updated inventory and priority list shall be posted on a state agency website and filed with GORR, in the format prescribed by GORR.

(e) In developing a new application form or updating an existing application form that is intended to be commonly used by the general public, a state agency shall, whenever practicable and reasonable, do so in a manner that facilitates making such application form available on the Internet at the time it is initially made available to the general public. If the state agency is unable to make a newly developed or updated application form available on the Internet at the time it is initially made available to the general public, the state agency shall, as provided in subdivision (d) of this section, add such new or updated application form to the state agency's inventory and priority list.

Section 552.4 Posting Process.

(a) Upon completion of the inventory and priority list required by subdivision (a) of Section 552.3 above, a state agency shall, consistent with the priority list and as expeditiously as possible, begin the process of posting application forms on a state agency website. The state agency website on which the application forms are posted shall include a conspicuous and direct link to the application forms. The direct link to the application forms may be combined with the link to the inventory and the priority list required by subdivision (c) of section 552.3.

(b) In posting application forms on the Internet, state agencies shall comply with laws, policies and procedures in regard to the accessibility of Internet information and applications.

Section 552.5 Miscellaneous Provisions.

(a) OFT, in consultation with GORR, is responsible for administering this Part. OFT and GORR may request and shall receive such assistance and information from state agencies as may be necessary or convenient to properly administer this Part.

(b) Nothing in section 164-d of the Executive Law or this Part shall require that a state agency accept or process application forms submitted through the Internet, or post application forms including user-specific data on the Internet.

Final rule as compared with last published rule:

Nonsubstantive changes were made in section 552.3(d).

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

John Aveni, Esq., Office for Technology, State Capitol ESP, P.O. Box 2062, Albany, NY 12220-0062, [phone], e-mail: [e-mail]

Revised Regulatory Impact Statement

1. Statutory authority: Section 164-d of the Executive Law requires the Office for Technology (OFT), in consultation with the Governor's Office of Regulatory Reform (GORR), to promulgate rules and regulations to implement the provisions of this section of the Executive Law. Additionally, Section 103 (11) of the State Technology Law authorizes OFT to adopt rules and regulations necessary or convenient to the performance of OFT's functions, powers and duties.

2. Legislative objectives: Section 164-d of the Executive Law was enacted to allow citizens to access certain state application forms on the Internet. To this end, section 164-d requires state agencies to make available on the Internet those application forms that are: (i) intended to be commonly used by the general public; and (ii) readily convertible to the Internet format. This section also provides that OFT, in consultation with GORR, shall promulgate regulations to implement the provisions of section 164-d. Section 164-d requires that such regulations shall at least provide for the prioritization and timing for making application forms available on the Internet. This proposed regulation achieves this Legislative objective by setting forth processes for state agencies to use in inventorying existing application forms and in prioritizing the order and timing in which application forms that are intended to be commonly used by the general public, and that are readily convertible to the Internet format, will be made available on the Internet.

3. Needs and benefits: The purpose of this proposed regulation is to establish processes pursuant to which state agencies will: (i) review and inventory existing state agency application forms intended to be commonly used by the general public; (ii) determine which of those application forms are already available to the general public on the Internet; and (iii) establish a publicly accessible priority list of the order and estimated timeframes in which application forms that are not currently available on the Internet, and which are readily convertible to Internet form, will be made available on the Internet. Such processes are necessary to achieve the stated objective of providing the general public access to commonly used state agency application forms on the Internet. The processes established also provide state agencies with adequate time in which to review and inventory their existing application forms that are intended to be commonly used by the general public, and with a structure for prioritizing the order and timeframe in which any such application forms that have not previously been made available on the Internet will be posted on the Internet. This structure includes certain factors that a state agency may take into consideration in establishing its priority list of application forms to be made available on the Internet. Furthermore, this proposed regulation recognizes that, where practicable and reasonable, state agencies shall develop new application forms that are intended to be commonly used by the general public, or update existing application forms, in a manner that facilitates making such forms available on the Internet. The proposed regulation also recognizes the need for state agencies to comply with existing laws, policies, and procedures regarding the accessibility of information and applications that are posted on the Internet by state agencies. As a consequence of the operation of the proposed regulation, those application forms that are readily convertible to Internet form and are intended to be commonly used by the general public will be made available on the Internet in a timely and orderly fashion.

4. Costs: This proposed regulation imposes no costs on citizens or businesses seeking to access commonly used state agency application forms on the Internet. Also, the implementation of this proposed regulation should pose nominal costs for state agencies that are now statutorily required to make commonly used application forms available on the Internet. In consultations with GORR and other state agencies, and from a review of information in OFT's Annual e-Commerce Reports, many state agencies are already making the State's most commonly used application forms available on the Internet. In so doing, state agencies are already mandated by state policies to comply with certain accessibility standards and practices to ensure that state agency web-based Internet information and applications are accessible to persons with disabilities. Additionally, most state agencies currently maintain Internet websites on which such application forms can be posted. The proposed regulation permits those state agencies that do not maintain a website to use another state agency's website for such purposes, therefore, negating the need to create an agency-specific website with its related costs. Furthermore, the proposed regulation does not require the immediate posting of all application forms that fall within the scope of section 164-d, but instead allows state agencies 180 days from the effective date of the regulation to inventory existing application forms and then establish the order and estimated timeframe for making available on the Internet only those application forms that are readily convertible to the Internet format and are intended to be commonly used by the general public. Finally, the Law and proposed regulation specifically provide that state agencies are not required to accept or process application forms submitted through the Internet, which, if required, could prove more costly to implement.

5. Local government mandates: The proposed regulation imposes no program, service, duty or responsibility upon any local government entity, since the provisions of section 164-d only apply to state agencies.

6. Paperwork: The proposed regulation requires a state agency to post on a state agency website its inventory of existing application forms and the priority list it establishes for the order and timing of making such forms available on the Internet. A state agency must also file its inventory and priority list with GORR in a format prescribed by GORR. Additionally, and at least once per year, a state agency's inventory and priority list shall be updated to reflect new or redesigned application forms and any such updated list shall be posted on a state agency website and filed with GORR. In this fashion, a state agency's inventory and priority list will be made publicly available, thus informing citizens of those application forms intended to be commonly used by the general public that are already available on the Internet and of the timeframes in which other application forms that are readily convertible to Internet format are expected to be made so available. Filing the initial and updated inventory and priority lists with GORR will: (1) enable OFT, in consultation with GORR, to assess compliance with the statutory requirement that certain application forms be made available via the Internet; (2) support the continuing development of the State's Online Permit Assistance and Licensing (OPAL) initiative, which provides a single portal for an individual to obtain information about and apply for permits and other approvals required to start or expand a business; and (3) enhance access to government services through electronic media.

7. Duplication: There are no state or federal government rules or legal requirements that duplicate, overlap or conflict with this proposed regulation.

8. Alternatives: There were no significant alternatives to this proposed rulemaking to be considered by OFT, since section 164-d mandates that OFT, in consultation with GORR, promulgate rules and regulations to implement its provisions.

9. Federal standards: There are no federal government standards that address the posting of state agency application forms on the Internet. Therefore, this proposed regulation does not exceed any minimum standards imposed by the federal government.

10. Compliance schedule: The proposed regulation provides that each state agency will have 180 days from the effective date of the regulation to review and inventory its existing application forms, to determine which of those application forms, if any, have already been made available to the general public on the Internet, and to establish a priority list for making available on the Internet those application forms that are readily convertible to Internet format and are intended to be commonly used by the general public which have not yet been made available on the Internet. Once a state agency has completed its inventory and priority list, the proposed regulation requires that the state agency shall, consistent with the priority list and as expeditiously as possible, begin the process of posting application forms on a state agency website.

Regulatory Flexibility Analysis

A revised Regulatory Flexibility Analysis (RFA) is not attached because this proposed rule will not impose any adverse economic impact or reporting, record keeping or other compliance requirements on small businesses or local governments. This finding is based upon the fact that this proposed rule implements a law that requires state agencies, and not businesses or local governments, to make certain application forms available to the general public on the Internet. This proposed rule imposes no economic impact or other requirements on small businesses, local governments or any members of the general public who access these application forms through the Internet.

Rural Area Flexibility Analysis

A revised Rural Area Flexibility Analysis (RAFA) is not attached because this proposed rule will not impose any adverse impact on rural areas or reporting, record keeping or other compliance requirements on public or private entities in rural areas. This finding is based upon the fact that this proposed rule implements a law that requires state agencies, and not public or private entities in rural areas, to make certain application forms available to the general public on the Internet. This proposed rule does not adversely impact or impose requirements on any other entities or on any members of the general public who access these application forms through the Internet.

Job Impact Statement

A revised Job Impact Statement (JIS) is not attached because this proposed rule will not have a substantial adverse impact on jobs and employment opportunities as apparent from the rule's nature and purpose. This finding is based upon the fact that this proposed rule implements a law that requires state agencies to make certain application forms available to the general public on the Internet. Making such application forms available on the Internet should facilitate and expedite transactions with state agencies, thus improving the general public's ability to do business with the state. Consequently, this proposed rule should have a positive impact on jobs and employment opportunities in the state.

Assessment of Public Comment

The Office for Technology (OFT) received two written comments during the 45 day public comment period following the publication in the State Register on September 13, 2006 of the Notice of Proposed Rule Making relative to this adoption. Both comments were from State agencies that will be directly affected by this rule. One agency questioned that part of § 552.3(c) of the rule which provides that in addition to posting a State agency's inventory and priority list on a State agency web site, the list shall also be filed with the Governor's Office of Regulatory Reform (GORR) in a format prescribed by GORR. This agency questioned the necessity of separately filing with GORR a list that will be publicly available on a State agency web site. In addition, this agency was of the opinion that the requirement in § 552.3(d), that a State agency re-file an updated list with GORR whenever it develops and distributes any new or redesigned application form, was unduly burdensome to an agency with thousands of forms on its web site which undergo continual changes over the course of a given year. This agency requested that the requirement of filing an inventory and priority list with GORR either be deleted in its entirety or that State agencies only be required to file updated lists with GORR periodically on an annual basis. In response to this request, OFT has revised § 552.3(d) of the rule to clarify that a State agency shall update its inventory and priority list to identify any new or redesigned application forms at least once per year and file the updated inventory and priority list with GORR. OFT believes that this change is a non-substantial revision of the rule since it does not materially alter the purpose, meaning or effect of the original text. While this revision provides that the updating and re-filing of inventory and priority lists need occur only once per year, State agencies remain free to update their inventory and priority lists and file the same with GORR on a more frequent basis. This revision addresses a potentially burdensome requirement for certain regulated State agencies, while allowing other agencies to continue to operate as provided in the original text of the rule. A second State agency suggested a technical modification to the definition of the term “applicant” that appears in § 552.2(a) of the rule. The original text of the rule defines “applicant” as “a person who makes a formal request to a state agency for an approval, authorization, etc. …” It was suggested that this definition be modified to “a person who is a member of the general public and who makes a formal request to a state agency for an approval, authorization, etc. …” OFT does not believe that this suggested technical change makes any substantive difference to the definition of the term “applicant,” since the rule defines “general public” as “all persons and not limited or restricted to a particular class of persons.” Consequently, adding the phrase “who is a member of the general public” to the definition of “applicant” appears to have no impact on the persons who are included in and captured by that definition, namely, all persons. Thus, OFT has elected not to make this technical change to the definition of “applicant.”