senate Bill S1195

Signed By Governor
2013-2014 Legislative Session

Authorizes streamlined adjudicatory proceedings for small businesses appearing as respondents before certain state agencies

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Archive: Last Bill Status - Signed by Governor


  • Introduced
  • In Committee
  • On Floor Calendar
    • Passed Senate
    • Passed Assembly
  • Delivered to Governor
  • Signed by Governor

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Actions

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Assembly Actions - Lowercase
Senate Actions - UPPERCASE
Nov 13, 2013 signed chap.491
Nov 01, 2013 delivered to governor
Jun 20, 2013 returned to senate
passed assembly
ordered to third reading rules cal.523
substituted for a6632
Apr 22, 2013 referred to governmental operations
delivered to assembly
passed senate
Feb 28, 2013 advanced to third reading
Feb 27, 2013 2nd report cal.
Feb 12, 2013 1st report cal.81
Jan 09, 2013 referred to commerce, economic development and small business

Votes

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Feb 12, 2013 - Commerce, Economic Development and Small Business committee Vote

S1195
11
0
committee
11
Aye
0
Nay
0
Aye with Reservations
0
Absent
0
Excused
0
Abstained
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Commerce, Economic Development and Small Business Committee Vote: Feb 12, 2013

Co-Sponsors

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S1195 - Bill Details

See Assembly Version of this Bill:
A6632
Law Section:
State Administrative Procedure Act
Laws Affected:
Add §308, St Ad Proc Act; amd §133, Ec Dev L
Versions Introduced in 2011-2012 Legislative Session:
S7324, A9273

S1195 - Bill Texts

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Authorizes streamlined adjudicatory proceedings for small businesses appearing as respondents before certain state agencies; authorizes a pilot program by the departments of environmental conservation, health and labor and requires a report after 1 year.

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BILL NUMBER:S1195

TITLE OF BILL: An act to amend the state administrative procedure act
and the economic development law, in relation to streamlined adjudicato-
ry proceedings for small businesses

PURPOSE OR GENERAL IDEA OF BILL:
This bill would cut the cost and complexity of small business partic-
ipation in adjudicatory proceedings by allowing agencies to offer
streamlined optional proceedings (e.g., mail, e-mail, telephone confer-
encing, Skype) to small businesses.

SUMMARY OF SPECIFIC PROVISIONS:
Section 1 adds a new § 308 to the State Administrative Procedure Act
(SAPA) to allow agencies to adopt regulations providing for streamlined
proceedings involving small businesses for specific programs and catego-
ries of violations/other issues that can be fairly resolved without a
physical hearing. In adopting such regulations, an agency shall consider
the types of programs and issues for which such streamlined proceedings
may reasonably be conducted, and shall:

> ensure that a streamlined proceeding is at the option of the respond-
ent small business with the consent of the agency and other necessary
parties, and no rights will be diminished through exercise of this
option;

> establish available formats and procedures for requesting, scheduling,
conducting and recording such proceedings; and

> provide that, if it becomes impractical or inappropriate to continue a
stream-lined proceeding, the matter may be rescheduled as an ordinary
adjudicatory proceeding without prejudice to any party.

Section 2 amends Economic Development Law § 133(6) to empower the Small
Business Advisory Board to report on agency use of streamlined optional
adjudicatory proceedings for small businesses.

Section 3 requires three agencies that regulate small businesses (either
the Departments of Environmental Conservation, Health and Labor, or
others to be substituted by the Governor) to undertake pilot projects to
conduct streamlined proceedings.

Section 4 provides that the act shall be not construed to limit any
existing authority of any agency to provide for the conduct of adjudica-
tory proceedings by mail, telephone or electronic means.

JUSTIFICATION:
The success of small businesses is key to our economy. New York State
must continue its efforts to improve the business climate and allow the
use of technology to reduce the costs of government and improve effi-
ciency. This requires rethinking statutory requirements to ensure that

20th - or sometimes 19th - century laws are not creating barriers to job
creation, agency coordination and administrative streamlining.

The costs and burdens of attending an in-person hearing for minor
violations can have a disproportionate impact on a small business. New
technologies and innovative procedures can allow New York State to
conduct such operations in a way that minimizes these burdens.

In 2010, the New York City Regulatory Reform Review Panel recommended
that City agencies "facilitate ways for small business owners to avoid
having to appear in person before administrative tribunals, such as by
settling or contesting violations by mail or telephone or over the
internet." In response, the City recently launched a program allowing
"One-Click Hearings" which allows people to contest various violations
handled by the Environmental Control Board (e.g., trash violations,
mobile food carts) as well as parking tickets. In an effort to provide
relief to taxpayers, this bill will increase agency efficiency and limit
the burdens on small businesses throughout New York State.

PRIOR LEGISLATIVE HISTORY:
2012: Advanced to 3rd Reading; Committed to Rules.

FISCAL IMPLICATIONS:
It is anticipated long term savings will be achieved by utilizing more
efficient operations.

EFFECTIVE DATE:
This act shall take effect immediately.

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                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                  1195

                       2013-2014 Regular Sessions

                            I N  S E N A T E

                               (PREFILED)

                             January 9, 2013
                               ___________

Introduced by Sens. FLANAGAN, MAZIARZ -- read twice and ordered printed,
  and when printed to be committed to the Committee on Commerce, Econom-
  ic Development and Small Business

AN  ACT to amend the state administrative procedure act and the economic
  development law, in relation to streamlined  adjudicatory  proceedings
  for small businesses

  THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section 1. The state administrative procedure act is amended by adding
a new section 308 to read as follows:
  S 308. STREAMLINED OPTIONAL ADJUDICATORY PROCEEDINGS FOR  SMALL  BUSI-
NESSES.  UNLESS  OTHERWISE  PROHIBITED BY LAW, AN AGENCY MAY ADOPT REGU-
LATIONS PROVIDING FOR USE AT THE OPTION OF A SMALL BUSINESS  OF  STREAM-
LINED  ADJUDICATORY  PROCEEDINGS  CONDUCTED  BY  MAIL,  ELECTRONIC MAIL,
TELEPHONE CONFERENCE OR VIDEOCONFERENCE. IN ADOPTING  SUCH  REGULATIONS,
THE AGENCY SHALL:
  1.  CONSIDER  THE  TYPES OF PROGRAMS AND ISSUES FOR WHICH SUCH STREAM-
LINED PROCEEDINGS MAY REASONABLY BE CONDUCTED, TAKING INTO  ACCOUNT  (A)
THE  COMPLEXITY OF THE MATTERS TO BE RESOLVED IN THE PROCEEDING, (B) THE
SEVERITY OF POTENTIAL SANCTIONS, (C) ANY NECESSITY FOR PERSONAL  APPEAR-
ANCES,  INCLUDING BUT NOT LIMITED TO REQUIREMENTS FOR SWORN TESTIMONY OR
CROSS-EXAMINATION, AND (D) ANY POTENTIAL  REDUCTION  IN  THE  COSTS  AND
BURDENS  OF PARTICIPATING IN THE PROCEEDING FOR THE AGENCY AND FOR OTHER
PARTIES, AND SHALL APPROPRIATELY LIMIT THE AVAILABILITY  OF  STREAMLINED
PROCEEDINGS  TO PROGRAMS AND ISSUES IN WHICH THE PUBLIC INTEREST IN FAIR
OUTCOMES CAN CONTINUE TO BE ASSURED;
  2. ENSURE THAT A STREAMLINED PROCEEDING MAY ONLY BE USED AT THE OPTION
OF THE RESPONDENT SMALL BUSINESS WITH THE CONSENT OF THE AGENCY AND  ANY
OTHER NECESSARY PARTY TO THE PROCEEDING, AND THAT THE RIGHTS OF RESPOND-

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD05664-01-3

S. 1195                             2

ENTS  AND  OTHER PARTIES WILL NOT BE DIMINISHED IN ANY RESPECT BY VIRTUE
OF PARTICIPATION IN A STREAMLINED PROCEEDING;
  3.  SPECIFY  THE  FORMAT  OR FORMATS FOR REMOTE CONDUCT OF STREAMLINED
PROCEEDINGS;
  4.  ESTABLISH  PROCEDURES   FOR   REQUESTING   AND   SCHEDULING   SUCH
PROCEEDINGS,  FOR  THE CONDUCT OF SUCH PROCEEDINGS, AND FOR THE DEVELOP-
MENT OF A COMPLETE RECORD AS PROVIDED IN SECTION THREE  HUNDRED  TWO  OF
THIS ARTICLE; AND
  5.  PROVIDE THAT, IN THE EVENT THAT IT BECOMES IMPRACTICAL OR INAPPRO-
PRIATE TO CONTINUE A PROCEEDING COMMENCED PURSUANT TO THIS SECTION AS  A
STREAMLINED PROCEEDING, SUCH PROCEEDING MAY BE RESCHEDULED AS AN ADJUDI-
CATORY  PROCEEDING PURSUANT TO SECTION THREE HUNDRED ONE OF THIS ARTICLE
WITHOUT PREJUDICE TO ANY PARTY.
  S 2. Paragraphs (g) and (h) of subdivision 6 of  section  133  of  the
economic  development law, paragraph (g) as amended and paragraph (h) as
added by section 5 of part BB of chapter 59 of the  laws  of  2006,  are
amended and a new paragraph (i) is added to read as follows:
  (g)  establish procedures for making annual awards to be known as "New
York State Small Business Awards". These non-monetary  awards  shall  be
given in recognition of unusual performance by persons, firms and organ-
izations  which  are  engaged  in  the operation of New York state small
businesses or which are engaged in activities to assist small businesses
in the state. The board may nominate up to five award  winners  annually
and forward such names to the governor for his consideration. The gover-
nor  may  designate award winners from these nominees at his discretion.
Current members of the advisory board  are  not  eligible  as  nominees;
[and]
  (h)  advise the commissioner on recommendations for the selection of a
minority and women-owned business enterprise statewide advocate  as  set
forth by section three hundred eleven-a of the executive law[.]; AND
  (I)  REPORT  TO  THE COMMISSIONER, THE GOVERNOR AND THE LEGISLATURE ON
AGENCY USE OF STREAMLINED OPTIONAL ADJUDICATORY  PROCEEDINGS  FOR  SMALL
BUSINESSES.
  S 3. Within one hundred eighty days of the effective date of this act,
the  departments  of  environmental conservation, health and labor shall
institute pilot projects  to  offer  optional  streamlined  adjudicatory
proceedings  for small businesses for at least one regulatory program of
the agency under which small businesses currently appear as  respondents
in  adjudicatory  proceedings;  provided, however, that the governor may
direct that another agency shall institute a pilot project instead of  a
listed  agency.  Such  pilot projects shall be designed by the agency in
conjunction with the division for small business and in consideration of
input solicited from small businesses and other stakeholders.   Notwith-
standing the provisions of section one of this act, the agency shall not
be  required  to adopt regulations governing such proceedings, but shall
ensure that such proceedings are governed by guidelines consistent  with
the  provisions  of  such  section  one  and voluntarily accepted by all
participants. One year after initiating  a  pilot  project,  the  agency
shall  prepare  a comparative review of the cost, timeliness and outcome
of streamlined proceedings and  ordinary  adjudicatory  proceedings  and
shall  provide  such  review to the small business advisory board, along
with any other information which the board shall request.
  S 4. Nothing in this act shall be  construed  to  limit  any  existing
authority  of  any  agency  to  provide  for the conduct of adjudicatory
proceedings by mail, telephone or electronic means.
  S 5. This act shall take effect immediately.

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