(a) Section 102 of the Executive Law directs the Secretary of State to maintain a master compilation of all codes, rules and regulations of the State of New York. The master compilation is to be comprised of two parts:

1. (1) those codes, rules and regulations printed in the Official Compilation; and
2. (2) all Federal statutes, Federal regulations and all other published data, criteria, standards, specifications, techniques, illustrations, or other information that have been adopted as a rule of the State of New York but not included in the Official Compilation pursuant to section 102 of the Executive Law.

(b) Except as provided in subdivision (c) of this section, Federal statutes, Federal regulations or other published data, criteria, standards, specifications, techniques, illustrations must conform to the following requirements to be accepted for filing pursuant to Executive Law, section 102(1)(c):

1. (1) If the material was published in a permanently bound volume, the bound volume itself must be submitted for filing.

   1. (i) If a soft-bound publication contains less than 100 pages, one copy of the publication must be placed in a rigid-cover binder.
   2. (ii) If the publication is self-covering, i.e., the cover and the inside pages are made of the same or similar stock, one copy of the publication must be placed in a rigid-cover binder.
2. (2) Loose-leaf publications must be bound in the loose-leaf binder specially manufactured and imprinted by the publisher for storing the pages. Alternatively, pages from a loose-leaf publication may qualify for the photocopy exemption provided for in paragraph (c)(2) of this section.
3. (3) Two copies of each publication must be submitted.
4. (4) A rigid-cover binder may not contain more than one publication nor more than one issue of a periodical or series publication.

5. (5) Use of rigid-cover binders.

   1. (i) Whenever an agency submits a publication in a rigid-cover binder, the agency must affix an adhesive label securely in the upper-left corner of the front cover. The following must be printed or typed on the label:

      1. (a) the name of the publication;
      2. (b) the edition or volume title, if applicable;
      3. (c) the author; and
      4. (d) the date of publication.

   2. (ii) Ring binders, such as a standard three-ring binder, are not acceptable rigid-cover binders. Agencies may, however, use pin-and-prong binders, post binders or other similar types of binders that will hold the publication compactly and securely.

      (c) Photocopies or similar reproductions on paper of referenced material.

6. (1) An agency may submit photocopies or similar reproductions on paper of the referenced material in lieu of the original publication. However, the Secretary of State requires, as a condition to filing such copies, that the agency compile, prepare and certify, in a manner acceptable to the Secretary, that such copies are true copies and that their reproduction has not violated any copyright. Incorporation by Reference certification forms are on the Department of State's website and are also available from the Division of Administrative Rules of the Department of State.

7. (2) Submitting photocopies or similar reproductions on paper.

   1. (i) To be accepted for filing, photocopies, or similar reproductions on paper of or from a referenced publication must include the following:

      1. (a) a copy of the title page or a page or pages which clearly identify the title, edition (if any), author and publisher of the referenced material;
      2. (b) a copy of the copyright page or, if there is no copyright page, a copy of the appropriate page for identifying the date of the publication; and
      3. (c) a copy of the text that is being referenced in the Official Compilation.

   2. (ii) When submitting photocopies of referenced material for filing, an agency must submit two copies. One set of the copies must be enclosed in a rigid-cover binder. The other set must be stapled, as part of agency's rule, to the certification. The provisions of paragraph (b)(5) of this section shall apply to the rigid-cover binders used to submit photocopies.

      (d) Incorporation by reference certification.

8. (1) For each publication referenced pursuant to Executive Law, section 102(1)(c), the general counsel of the adopting agency must complete the incorporation by reference certification containing the following:

   1. (i) a statement identifying, with particularity, the referenced publication and the sections thereof that have been adopted;
   2. (ii) a statement of opinion that the referenced publication is reasonably available to regulated parties as is required by Executive Law, section 102(1)(c);
   3. (iii) a statement of the facts relied upon to support the opinion that the publication is reasonably available;
   4. (iv) a statement of opinion that reproduction and distribution of all or part of the referenced publication will not violate any copyright; and

   5. (v) a statement of the facts relied upon to support the opinion that reproduction and distribution will not violate any copyright.

      (e) Reference to publication previously filed with the Secretary of State.

9. (1) If an agency has previously filed a publication and if that same publication is then referenced in a subsequent rule, that agency will not be required to file additional copies of the publication if the text of the rule, as submitted for filing, is accompanied by a statement precisely identifying the previously filed publication, including the Department of State's file number for the publication and the date the publication was filed with the Secretary of State.
10. (2) If any agency has previously filed a publication with the Secretary of State and if that same publication is then referenced by another agency, that other agency will not be required to file additional copies of the publication if the text of the rule, as submitted for filing, is accompanied by a statement precisely identifying the previously filed publication, including the name of the agency that filed the publication, the date the publication was filed with the Secretary of State and the file number given to the publication when it was originally filed.
11. (3) Agencies that file rules pursuant to this subdivision in lieu of filing copies of the referenced publications are responsible for the accuracy of their citation to the previously filed publication. In the case of an inaccurate citation, the Department of State may have to certify that it has no record of the publication having been filed. Such certificates are commonly requested and issued pursuant to Rule 4521 of the Civil Practice Law and Rules of the State of New York.