senate Bill S5815C

2019-2020 Legislative Session

Relates to regulatory fines for small businesses

download bill text pdf

Sponsored By

Current Bill Status Via A7540 - Delivered to Governor


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

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Actions

view actions (20)
Assembly Actions - Lowercase
Senate Actions - UPPERCASE
Dec 10, 2019 delivered to governor
Jun 18, 2019 returned to assembly
passed senate
3rd reading cal.1349
substituted for s5815c
Jun 18, 2019 substituted by a7540b
Jun 14, 2019 amended on third reading (t) 5815c
Jun 14, 2019 vote reconsidered - restored to third reading
returned to senate
recalled from assembly
Jun 13, 2019 referred to small business
delivered to assembly
passed senate
ordered to third reading cal.1349
committee discharged and committed to rules
Jun 10, 2019 print number 5815b
Jun 10, 2019 amend and recommit to finance
Jun 03, 2019 print number 5815a
Jun 03, 2019 amend (t) and recommit to finance
May 15, 2019 referred to finance

Votes

view votes

Jun 13, 2019 - Rules committee Vote

S5815B
19
0
committee
19
Aye
0
Nay
0
Aye with Reservations
0
Absent
0
Excused
0
Abstained
show committee vote details

Co-Sponsors

S5815 - Details

See Assembly Version of this Bill:
A7540
Law Section:
Executive Law
Laws Affected:
Add §170-c, Exec L
Versions Introduced in 2017-2018 Legislative Session:
S4120, A8205

S5815 - Summary

Relates to regulatory penalties for small businesses; provides that upon an initial violation of a state agency's rules or regulations, a small business shall be afforded a cure period or other opportunity for ameliorative action, which if successful shall prevent the imposition of a fine or fines.

S5815 - Sponsor Memo

S5815 - Bill Text download pdf


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

                                  5815

                       2019-2020 Regular Sessions

                            I N  S E N A T E

                              May 15, 2019
                               ___________

Introduced  by  Sens.  KAPLAN, AKSHAR -- read twice and ordered printed,
  and when printed to be committed to the Committee on Finance

AN ACT to amend the executive law, in relation to regulatory  fines  for
  small businesses

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

  Section 1. The executive law is amended by adding a new section  170-c
to read as follows:
  §  170-C.  REGULATORY  FINES FOR SMALL BUSINESSES.  1. NOTWITHSTANDING
ANY OTHER LAW, RULE OR REGULATION  TO  THE  CONTRARY,  UPON  AN  INITIAL
VIOLATION  OF  A  STATE  AGENCY'S RULES OR REGULATIONS, A SMALL BUSINESS
SHALL BE AFFORDED A CURE PERIOD OR OTHER  OPPORTUNITY  FOR  AMELIORATIVE
ACTION,  THE  SUCCESSFUL COMPLETION OF WHICH WILL PREVENT THE IMPOSITION
OF PENALTIES ON THE PARTY OR PARTIES SUBJECT TO ENFORCEMENT, UNLESS  THE
AGENCY  DETERMINES THAT THE VIOLATION DIRECTLY AFFECTED PUBLIC HEALTH OR
SAFETY, VIOLATED HUMAN OR CIVIL RIGHTS LAW, OR IS A PENAL LAW VIOLATION.
THE CURE PERIOD SHALL NOT INTERFERE WITH THE RESOLUTION OF HARASSMENT OR
DISCRIMINATION CLAIMS. UPON SUCH FIRST VIOLATION, A STATE  AGENCY  SHALL
(A) PROVIDE THE SMALL BUSINESS WITH A COPY OF ANY APPLICABLE SMALL BUSI-
NESS  REGULATION  GUIDES  PURSUANT  TO  SECTION ONE HUNDRED TWO-A OF THE
STATE ADMINISTRATIVE PROCEDURE ACT  AND  ANY  OTHER  HELPFUL  COMPLIANCE
INFORMATION DETAILING THE AGENCY'S RULES AND REGULATIONS, OR (B) HOLD AN
IN-PERSON  MEETING  WITH  THE  SMALL  BUSINESS TO HELP ASSIST SUCH SMALL
BUSINESS WITH COMPLIANCE WITH THE AGENCY'S RULES AND REGULATIONS.    THE
AGENCY  SHALL HAVE THE DISCRETION TO DETERMINE THE APPROPRIATE PERIOD OF
TIME TO ALLOW FOR SUCH AMELIORATIVE ACTION TO OCCUR, PROVIDED SUCH PERI-
OD IS NOT LESS THAN NINETY DAYS.
  2. "SMALL BUSINESS" AS USED IN THIS  SECTION  SHALL  MEAN  A  BUSINESS
WHICH  IS  RESIDENT IN THIS STATE, INDEPENDENTLY OWNED AND OPERATED, NOT
DOMINANT IN ITS FIELD AND EMPLOYS ONE HUNDRED OR LESS PERSONS.
  § 2. This act shall take effect immediately.

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

Co-Sponsors

S5815A - Details

See Assembly Version of this Bill:
A7540
Law Section:
Executive Law
Laws Affected:
Add §170-c, Exec L
Versions Introduced in 2017-2018 Legislative Session:
S4120, A8205

S5815A - Summary

Relates to regulatory penalties for small businesses; provides that upon an initial violation of a state agency's rules or regulations, a small business shall be afforded a cure period or other opportunity for ameliorative action, which if successful shall prevent the imposition of a fine or fines.

S5815A - Sponsor Memo

S5815A - Bill Text download pdf


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

                                 5815--A

                       2019-2020 Regular Sessions

                            I N  S E N A T E

                              May 15, 2019
                               ___________

Introduced  by  Sens.  KAPLAN, AKSHAR -- read twice and ordered printed,
  and when printed to be  committed  to  the  Committee  on  Finance  --
  committee  discharged,  bill amended, ordered reprinted as amended and
  recommitted to said committee

AN ACT to amend the executive law, in relation to  regulatory  penalties
  for small businesses

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

  Section 1. The executive law is amended by adding a new section  170-c
to read as follows:
  § 170-C. REGULATORY PENALTIES FOR SMALL BUSINESSES.  1. UNLESS EXPLIC-
ITLY  EXEMPTED  OR EXCLUDED BY ANY OTHER LAW, RULE OR REGULATION, UPON A
FIRST TIME VIOLATION OF A STATE AGENCY'S RULES OR REGULATIONS RELATED TO
PAPERWORK SUBMITTED TO A STATE AGENCY OR ACTIONS OR OMISSIONS  THAT  ARE
DE  MINIMUS,  A  SMALL BUSINESS SHALL BE AFFORDED A CURE PERIOD OR OTHER
OPPORTUNITY FOR AMELIORATIVE ACTION IF THE VIOLATION CAN  BE  CORRECTED,
THE SUCCESSFUL COMPLETION OF WHICH WILL PREVENT THE IMPOSITION OF PENAL-
TIES  ON THE PARTY OR PARTIES SUBJECT TO ENFORCEMENT. HOWEVER, NO WAIVER
OF PENALTIES OR CURE PERIOD OR OTHER OPPORTUNITY FOR AMELIORATIVE ACTION
MAY BE GIVEN IF  THE  AGENCY  DETERMINES  THAT  THE  VIOLATION  DIRECTLY
AFFECTED  PUBLIC HEALTH, ENVIRONMENT, SAFETY, IS A VIOLATION OF HUMAN OR
CIVIL RIGHTS LAW RESULTS IN LOSS OF EMPLOYEE WAGES OR  BENEFITS,  INTER-
FERES  WITH  ANY  REMEDY, REVIEW, OR RESOLUTION RELATED TO HARASSMENT OR
DISCRIMINATION CLAIMS, WAS A  WILLFUL  VIOLATION,  INVOLVED  TAX  FRAUD,
VIOLATES  REQUIREMENTS  RELATED TO FEDERAL FUNDING TO THE STATE, RELATES
TO STATE FUNDING OR PROCUREMENT, IS SIMILAR TO PRIOR  VIOLATIONS,  IS  A
PENAL  LAW VIOLATION, OR RELATES TO A MATERIAL OR SUBSTANTIVE PORTION OF
THE BUSINESS. UPON SUCH  FIRST  VIOLATION,  A  STATE  AGENCY  SHALL  (A)
PROVIDE  THE SMALL BUSINESS WITH A COPY OF ANY APPLICABLE SMALL BUSINESS
REGULATION GUIDES PURSUANT TO SECTION ONE HUNDRED  TWO-A  OF  THE  STATE
ADMINISTRATIVE  PROCEDURE  ACT AND ANY OTHER HELPFUL COMPLIANCE INFORMA-

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

Co-Sponsors

S5815B - Details

See Assembly Version of this Bill:
A7540
Law Section:
Executive Law
Laws Affected:
Add §170-c, Exec L
Versions Introduced in 2017-2018 Legislative Session:
S4120, A8205

S5815B - Summary

Relates to regulatory penalties for small businesses; provides that upon an initial violation of a state agency's rules or regulations, a small business shall be afforded a cure period or other opportunity for ameliorative action, which if successful shall prevent the imposition of a fine or fines.

S5815B - Sponsor Memo

S5815B - Bill Text download pdf


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

                                 5815--B

                       2019-2020 Regular Sessions

                            I N  S E N A T E

                              May 15, 2019
                               ___________

Introduced  by  Sens.  KAPLAN, AKSHAR -- read twice and ordered printed,
  and when printed to be  committed  to  the  Committee  on  Finance  --
  committee  discharged,  bill amended, ordered reprinted as amended and
  recommitted to said committee -- committee discharged,  bill  amended,
  ordered reprinted as amended and recommitted to said committee

AN  ACT  to amend the executive law, in relation to regulatory penalties
  for small businesses

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

  Section  1. The executive law is amended by adding a new section 170-c
to read as follows:
  § 170-C. REGULATORY PENALTIES FOR SMALL BUSINESSES.  1. UNLESS EXPLIC-
ITLY EXEMPTED OR EXCLUDED BY ANY OTHER LAW, RULE OR REGULATION,  UPON  A
FIRST TIME VIOLATION OF A STATE AGENCY'S RULES OR REGULATIONS RELATED TO
PAPERWORK  SUBMITTED  TO A STATE AGENCY OR ACTIONS OR OMISSIONS THAT ARE
DE MINIMUS, A SMALL BUSINESS SHALL BE AFFORDED A CURE  PERIOD  OR  OTHER
OPPORTUNITY  FOR  AMELIORATIVE ACTION IF THE VIOLATION CAN BE CORRECTED,
THE SUCCESSFUL COMPLETION OF WHICH WILL PREVENT THE IMPOSITION OF PENAL-
TIES ON THE PARTY OR PARTIES SUBJECT TO ENFORCEMENT. HOWEVER, NO  WAIVER
OF PENALTIES OR CURE PERIOD OR OTHER OPPORTUNITY FOR AMELIORATIVE ACTION
MAY  BE  GIVEN IF THE AGENCY DETERMINES THAT THE VIOLATION RESULTED IN A
NATURAL RESOURCE DAMAGE CLAIM  OR  SERIOUS  ACTUAL  HARM,  OR  MAY  HAVE
PRESENTED  AN  IMMINENT  AND  SUBSTANTIAL ENDANGERMENT TO PUBLIC SAFETY,
HUMAN HEALTH OR THE ENVIRONMENT, IS A VIOLATION OF HUMAN OR CIVIL RIGHTS
LAW RESULTS IN LOSS OF EMPLOYEE WAGES OR BENEFITS, INTERFERES  WITH  ANY
REMEDY,  REVIEW,  OR  RESOLUTION RELATED TO HARASSMENT OR DISCRIMINATION
CLAIMS, WAS A WILLFUL VIOLATION, INVOLVED TAX FRAUD,  VIOLATES  REQUIRE-
MENTS  RELATED TO FEDERAL FUNDING TO THE STATE, RELATES TO STATE FUNDING
OR  PROCUREMENT,  IS  SIMILAR  TO  PRIOR  VIOLATIONS,  IS  A  PENAL  LAW
VIOLATION,  OR RELATES TO A MATERIAL OR SUBSTANTIVE PORTION OF THE BUSI-
NESS. UPON SUCH FIRST VIOLATION, A STATE AGENCY SHALL  (A)  PROVIDE  THE

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

Co-Sponsors

view additional co-sponsors

S5815C (ACTIVE) - Details

See Assembly Version of this Bill:
A7540
Law Section:
Executive Law
Laws Affected:
Add §170-c, Exec L
Versions Introduced in 2017-2018 Legislative Session:
S4120, A8205

S5815C (ACTIVE) - Summary

Relates to regulatory penalties for small businesses; provides that upon an initial violation of a state agency's rules or regulations, a small business shall be afforded a cure period or other opportunity for ameliorative action, which if successful shall prevent the imposition of a fine or fines.

S5815C (ACTIVE) - Sponsor Memo

S5815C (ACTIVE) - Bill Text download pdf


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

                                 5815--C
    Cal. No. 1349

                       2019-2020 Regular Sessions

                            I N  S E N A T E

                              May 15, 2019
                               ___________

Introduced by Sens. KAPLAN, AKSHAR, LIU -- read twice and ordered print-
  ed,  and  when  printed to be committed to the Committee on Finance --
  committee discharged, bill amended, ordered reprinted as  amended  and
  recommitted  to  said committee -- committee discharged, bill amended,
  ordered reprinted as amended and  recommitted  to  said  committee  --
  committee discharged and said bill committed to the Committee on Rules
  -- reported favorably from said committee, ordered to a third reading,
  passed  by Senate and delivered to the Assembly, recalled, vote recon-
  sidered, restored to third reading,  amended  and  ordered  reprinted,
  retaining its place in the order of third reading

AN  ACT  to amend the executive law, in relation to regulatory fines for
  small businesses

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

  Section  1. The executive law is amended by adding a new section 170-c
to read as follows:
  § 170-C. REGULATORY PENALTIES FOR SMALL BUSINESSES.  1. UNLESS EXPLIC-
ITLY EXEMPTED OR EXCLUDED BY ANY OTHER LAW, RULE OR REGULATION,  UPON  A
FIRST TIME VIOLATION OF A STATE AGENCY'S RULES OR REGULATIONS RELATED TO
PAPERWORK  SUBMITTED  TO A STATE AGENCY OR ACTIONS OR OMISSIONS THAT ARE
DE MINIMUS, A SMALL BUSINESS SHALL BE AFFORDED A CURE  PERIOD  OR  OTHER
OPPORTUNITY  FOR  AMELIORATIVE ACTION IF THE VIOLATION CAN BE CORRECTED,
THE SUCCESSFUL COMPLETION OF WHICH WILL PREVENT THE IMPOSITION OF PENAL-
TIES ON THE PARTY OR PARTIES SUBJECT TO ENFORCEMENT. HOWEVER, NO  WAIVER
OF PENALTIES OR CURE PERIOD OR OTHER OPPORTUNITY FOR AMELIORATIVE ACTION
MAY  BE  GIVEN IF THE AGENCY DETERMINES THAT THE VIOLATION RESULTED IN A
NATURAL RESOURCE DAMAGE CLAIM  OR  SERIOUS  ACTUAL  HARM,  OR  MAY  HAVE
PRESENTED  AN  IMMINENT  AND  SUBSTANTIAL ENDANGERMENT TO PUBLIC SAFETY,
HUMAN HEALTH OR THE ENVIRONMENT, IS A VIOLATION OF HUMAN OR CIVIL RIGHTS
LAW, RESULTS IN LOSS OF EMPLOYEE WAGES OR BENEFITS, INTERFERES WITH  ANY
REMEDY,  REVIEW,  OR  RESOLUTION RELATED TO HARASSMENT OR DISCRIMINATION

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets

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