NY State Senate Bill S5815C

Archive: Last Bill Status Via A7540 - Signed by Governor

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

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Actions

view actions (22)

	Assembly Actions - Lowercase Senate Actions - UPPERCASE
Dec 20, 2019	approval memo.78 signed chap.731
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

Bill Amendments

Original

C (Active)

Original

C (Active)

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

 
BILL NUMBER: S5815

SPONSOR: KAPLAN
 
TITLE OF BILL:  An act to amend the executive law, in relation to
regulatory fines for small businesses

 
PURPOSE OR GENERAL IDEA OF BILL:

This bill is intended to reduce regulatory fines on businesses and to
create a productive relationship between the state and business owners
that will allow them to work closely together.

 
SUMMARY OF SPECIFIC PROVISIONS:

Section 1 amends the executive law by adding a new section 170-c to
provide a small business with the opportunity to cure for a first
violation of such agency's regulations, unless the agency determines
that the violation directly affects public health, safety, or other
concerns. The agency must provide literature or an in-person meeting to
inform such small business of its regulations. Changes have been incor-
porated into the bill language to address the veto message concerns

(Veto No. 285 of 2018).

Paragraph 2 of Section 1 defines the term "small business".

Section 2 lists the effective date.

 
JUSTIFICATION:

New York's small businesses are heavily regulated and are not always
aware of the numerous current and new regulations. Various regulations
can cost small businesses thousands of dollars in implementation and
penalties. According to CNBC, New York state is currently ranked 29th
when comparing top business states across the country (2016).

For small business to effectively abide by state regulations, they
should be provided with essential resources such as literature or an
in-person meeting that informs the owner(s) of their obligations to New
York's state agencies. This includes frequent updates on updated rules
or regulations.

By allowing our small businesses the opportunity to cure as opposed to
an immediate fine, the state would be improving communication with our
small businesses and working to improve our business climate.

 
LEGISLATIVE HISTORY:

2017/18: A.8205B/S.4120B

 
FISCAL IMPLICATIONS:

None.

 
EFFECTIVE DATE:
Immediately.

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.

                                                           LBD11565-01-9

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

S5815A - Sponsor Memo

 
BILL NUMBER: S5815A

SPONSOR: KAPLAN
 
TITLE OF BILL:  An act to amend the executive law, in relation to
regulatory penalties for small businesses

 
PURPOSE OR GENERAL IDEA OF BILL:

This bill is intended to reduce regulatory fines on businesses and to
create a productive relationship between the state and business owners
that will allow them to work closely together.

 
SUMMARY OF SPECIFIC PROVISIONS:

Section 1 amends the executive law by adding a new section 170-c to
provide a small business with the opportunity to cure for a first
violation of such agency's regulations unless explicitly exempted.
Violation must be paperwork related, or omissions that are de minimus.
A successful completion will prevent the imposition of penalties.
However, no waiver may be given if the agency determines the violation
affected public health, environment, safety, is a violation of human

rights or civil rights law 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, relates to state
procurement, is similar to other violations, is a penal law violation,
or relates to a substantive part of the business. Upon first violation a
state agency shall provide the small business with a copy of any appli-
cable small business regulation guide, or hold an in person meeting to
help with the small business' compliance with the agency's rules and
regulations.

Changes have been incorporated into the bill language to address the
veto message concerns

(Veto No. 285 of 2018).

Paragraph 2 of Section 1 defines the term "small business".

Section 2 lists the effective date.

 
JUSTIFICATION:

New York's small businesses are heavily regulated and are not always
aware of the numerous current and new regulations. Various regulations
can cost small businesses thousands of dollars in implementation and
penalties. According to CNBC, New York state is currently ranked 29th
when comparing top business states across the country (2016).

For small business to effectively abide by state regulations, they
should be provided with essential resources such as literature or an
in-person meeting that informs the owner(s) of their obligations to New
York's state agencies. This includes frequent updates on updated rules
or regulations.

By allowing our small businesses the opportunity to cure as opposed to
an immediate fine, the state would be improving communication with our
small businesses and working to improve our business climate.

 
LEGISLATIVE HISTORY:

2017/18: A.8205B/S.4120B, Veto 285 of 2018.

 
FISCAL IMPLICATIONS:

None.

 
EFFECTIVE DATE:
Immediately.

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.

                                                           LBD11565-03-9

S. 5815--A                          2

TION 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.
  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.

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

S5815B - Sponsor Memo

 
BILL NUMBER: S5815B

SPONSOR: KAPLAN
 
TITLE OF BILL:  An act to amend the executive law, in relation to
regulatory penalties for small businesses

 
PURPOSE OR GENERAL IDEA OF BILL:

This bill is intended to reduce regulatory fines on businesses and to
create a productive relationship between the state and business owners
that will allow them to work closely together.

 
SUMMARY OF SPECIFIC PROVISIONS:

Section 1 amends the executive law by adding a new section 170-c to
provide a small business with the opportunity to cure for a first
violation of such agency's regulations unless explicitly exempted.
Violation must be paperwork related, or omissions that are de minimus.
A successful completion will prevent the imposition of penalties. Howev-
er, no waiver may be given if the agency determines 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 rights
or civil rights law in loss of employee wages or benefits; interferes
with any remedy, review, or resolution related to harassment or discrim-
ination claims; was a willful violation; violates requirements related
to federal funding; relates to state procurement; is similar to other
violations; is a penal law violation; or relates to a substantive part
of the business. Upon first violation a state agency shall provide the
small business with a copy of any applicable small business regulation
guide, or provide an in person meeting, teleconference or videoconfer-
ence to help with the small business' compliance with the agency's rules
and regulations.

Changes have been incorporated into the bill language to address the
veto message concerns.

(Veto No. 285 of 2018).

Paragraph 2 of Section 1 defines the terms "small business" and "state
agency".

Paragraph 3 of Section 1 outlines that this language won't prevent waiv-
ers of penalties by agencies for reasons not listed.

Section 2 lists the effective date.

 
JUSTIFICATION:

New York's small businesses are heavily regulated and are not always
aware of the numerous current and new regulations. Various regulations
can cost small businesses thousands of dollars in implementation and
penalties. According to CNBC, New York state is currently ranked 29th
when comparing top business states across the country (2016).

For small business to effectively abide by state regulations, they
should be provided with essential resources such as literature or an
in-person meeting that informs the owner(s) of their obligations to New

York's state agencies. This includes frequent updates on updated rules
or regulations.

By allowing our small businesses the opportunity to cure as opposed to
an immediate fine, the state would be improving communication with our
small businesses and working to improve our business climate.

 
LEGISLATIVE HISTORY:

2017/18: A.8205B/S.4120B, Veto 285 of 2018.

 
FISCAL IMPLICATIONS:

None.

 
EFFECTIVE DATE:
Immediately.

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.

                                                           LBD11565-06-9

S. 5815--B                          2

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 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
NINETY 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.

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

S5815C (ACTIVE) - Sponsor Memo

 
BILL NUMBER: S5815C

SPONSOR: KAPLAN
 
TITLE OF BILL:  An act to amend the executive law, in relation to
regulatory fines for small businesses

 
PURPOSE OR GENERAL IDEA OF BILL:

This bill is intended to reduce regulatory fines on businesses and to
create a productive relationship between the state and business owners
that will allow them to work closely together.

 
SUMMARY OF SPECIFIC PROVISIONS:

Section 1 amends the executive law by adding a new section 170-c to
provide a small business with the opportunity to cure for a first
violation of such agency's regulations unless explicitly exempted.
Violation must be paperwork related, or omissions that are de minimus.
A successful completion will prevent the imposition of penalties. Howev-
er, no waiver may be given if the agency determines 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 rights
or civil rights law in loss of employee wages or benefits; interferes
with any remedy, review, or resolution related to harassment or discrim-
ination claims; was a willful violation; violates requirements related
to federal funding; relates to state procurement; is similar to other
violations; is a penal law violation; or relates to a substantive part
of the business. Upon first violation a state agency shall provide the
small business with a copy of any applicable small business regulation
guide, or provide an in person meeting, teleconference or videoconfer-
ence to help with the small business' compliance with the agency's rules
and regulations.

Changes have been incorporated into the bill language to address the
veto message concerns.

(Veto No. 285 of 2018).

Paragraph 2 of Section 1 defines the terms "small business" and "state
agency".

Paragraph 3 of Section 1 outlines that this language won't prevent waiv-
ers of penalties by agencies for reasons not listed.

Section 2 lists the effective date.

 
JUSTIFICATION:

New York's small businesses are heavily regulated and are not always
aware of the numerous current and new regulations. Various regulations
can cost small businesses thousands of dollars in implementation and
penalties. According to CNBC, New York state is currently ranked 29th
when comparing top business states across the country (2016).

For small business to effectively abide by state regulations, they
should be provided with essential resources such as literature or an
in-person meeting that informs the owner(s) of their obligations to New

York's state agencies. This includes frequent updates on updated rules
or regulations.

By allowing our small businesses the opportunity to cure as opposed to
an immediate fine, the state would be improving communication with our
small businesses and working to improve our business climate.

 
LEGISLATIVE HISTORY:

2017/18: A.8205B/S.4120B, Veto 285 of 2018.

 
FISCAL IMPLICATIONS:

None.

 
EFFECTIVE DATE:
Immediately.

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

                      [ ] is old law to be omitted.
                                                           LBD11565-12-9

S. 5815--C                          2

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
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
NINETY 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.

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The New York State Senate

senate Bill S5815C

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Archive: Last Bill Status Via A7540 - Signed by Governor

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Jun 18, 2019 - floor Vote

Floor Vote: Jun 18, 2019

Jun 13, 2019 - floor Vote

Floor Vote: Jun 13, 2019

Jun 13, 2019 - Rules committee Vote

Committee Vote: Jun 13, 2019

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senate Bill S5815C

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Sponsored By

Archive: Last Bill Status Via A7540 - Signed by Governor

Your Voice

Actions

Votes

Jun 18, 2019 - floor Vote

Floor Vote: Jun 18, 2019

Jun 13, 2019 - floor Vote

Floor Vote: Jun 13, 2019

Jun 13, 2019 - Rules committee Vote

Committee Vote: Jun 13, 2019

Bill Amendments

Co-Sponsors

S5815 - Details

S5815 - Summary

S5815 - Sponsor Memo

S5815 - Bill Text download pdf

Co-Sponsors

S5815A - Details

S5815A - Summary

S5815A - Sponsor Memo

S5815A - Bill Text download pdf

Co-Sponsors

S5815B - Details

S5815B - Summary

S5815B - Sponsor Memo

S5815B - Bill Text download pdf

Co-Sponsors

S5815C (ACTIVE) - Details

S5815C (ACTIVE) - Summary

S5815C (ACTIVE) - Sponsor Memo

S5815C (ACTIVE) - Bill Text download pdf

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