S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   7540
 
                        2019-2020 Regular Sessions
 
                           I N  A S S E M B L Y
 
                                May 9, 2019
                                ___________
 
 Introduced by M. of A. McDONALD -- read once and referred to the Commit-
   tee on Small Business
 
 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.
              

                                                            LBD11565-01-9

                            
 
                     S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                  7540--A
 
                        2019-2020 Regular Sessions
 
                           I N  A S S E M B L Y
 
                                May 9, 2019
                                ___________
 
 Introduced  by M. of A. McDONALD, STIRPE, LUPARDO, WALLACE, BUTTENSCHON,
   McMAHON -- read once and referred to the Committee on  Small  Business
   --  committee  discharged,  bill amended, ordered reprinted as amended
   and recommitted to said committee
 
 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
 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
 SMALL BUSINESS WITH A COPY OF ANY APPLICABLE SMALL  BUSINESS  REGULATION
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
              

                                                            LBD11565-05-9

 A. 7540--A                          2
 
 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) PROVIDE AN OPPORTUNITY FOR AN
 IN-PERSON  MEETING,  TELECONFERENCE  OR  VIDEOCONFERENCE  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, WHICH SHALL BE REASONABLE BUT SHALL NOT  BE  LESS  THAN
 THIRTY DAYS.
   2. AS USED IN THIS SECTION: (A) "SMALL BUSINESS" 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.
   (B) "STATE AGENCY" SHALL MEAN AN AGENCY AS DEFINED IN SUBDIVISION  ONE
 OF  SECTION  ONE  HUNDRED TWO OF THE STATE ADMINISTRATIVE PROCEDURE ACT;
 PROVIDED THAT "STATE AGENCY" SHALL NOT INCLUDE THE DEPARTMENT  OF  TAXA-
 TION AND FINANCE BUT SHALL ALSO MEAN THE WORKERS' COMPENSATION BOARD.
   3.  NOTHING  HEREIN  SHALL  PREVENT  OR  PRECLUDE ANY OTHER WAIVERS OF
 PENALTIES THAT MAY BE APPLICABLE BY THIS OR ANY OTHER AGENCY.
   § 2. This act shall take effect immediately.