S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   4893
 
                        2023-2024 Regular Sessions
 
                           I N  A S S E M B L Y
 
                             February 24, 2023
                                ___________
 
 Introduced  by  M.  of  A.  FORREST,  SIMON,  LEVENBERG -- read once and
   referred to the Committee on Correction
 
 AN ACT to amend the correction law,  in  relation  to  requiring  public
   agencies  to  establish  preliminary license application procedures to
   determine whether an applicant for a license would be  ineligible  for
   such license based on criminal history
 
   THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section 1. This act shall be known and may be cited as  the  "prelimi-
 nary license application navigation (PLAN) act".
   § 2. The correction law is amended by adding a new section 756 to read
 as follows:
   §  756.  PRELIMINARY  LICENSE  APPLICATION NAVIGATION. 1. DEFINITIONS.
 FOR THE PURPOSES OF THIS SECTION, THE FOLLOWING  TERMS  SHALL  HAVE  THE
 FOLLOWING MEANINGS:
   (A)  "APPLICANT"  MEANS  ANY INDIVIDUAL INTENDING TO SUBMIT OR WHO HAS
 SUBMITTED A PRELIMINARY LICENSE APPLICATION UNDER THIS SECTION.
   (B) "CRIMINAL HISTORY" MEANS A RECORD OF ALL CONVICTIONS  AND  PENDING
 CHARGES THAT A PUBLIC AGENCY IS ALLOWED TO CONSIDER PURSUANT TO SUBDIVI-
 SION  SIXTEEN OF SECTION TWO HUNDRED NINETY-SIX OF THE EXECUTIVE LAW AND
 ANY OTHER GOVERNING LAW.
   2. THIS SECTION SHALL APPLY TO ALL PUBLIC AGENCIES  THAT  CONSIDER  AN
 APPLICANT'S  CRIMINAL HISTORY AS PART OF A LICENSE APPLICATION OR CLEAR-
 ANCE PROCESS. NOTHING IN THIS SECTION SHALL  EXPAND  A  PUBLIC  AGENCY'S
 ABILITY TO COLLECT, EITHER FROM AN INDIVIDUAL OR THIRD PARTIES, INFORMA-
 TION  ABOUT  AN  APPLICANT'S CRIMINAL HISTORY THAT THE PUBLIC AGENCY WAS
 NOT AUTHORIZED TO COLLECT AS PART OF  THE  LICENSE  APPLICATION  PROCESS
 THAT EXISTED PRIOR TO THE EFFECTIVE DATE OF THIS SECTION.
   3.  A  PUBLIC  AGENCY  AUTHORIZED  TO  ISSUE  A LICENSE SHALL CLEARLY,
 CONSPICUOUSLY, AND IN  PLAIN  TERMS  POST  ON  ITS  WEBSITE  INFORMATION
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
                                                            LBD06199-01-3
 A. 4893                             2
              

 
 DETAILING HOW THE PUBLIC AGENCY CONSIDERS AN APPLICANT'S CRIMINAL HISTO-
 RY WHEN AN APPLICANT SEEKS A LICENSE. SUCH INFORMATION SHALL INCLUDE:
   (A)  THE PUBLIC AGENCY'S PROCESS FOR CONSIDERING AN APPLICANT'S CRIMI-
 NAL HISTORY, INCLUDING A LIST AND A REVIEW OF THE GOVERNING STATUTES AND
 REGULATIONS AND ANY OTHER LAW, GUIDANCE, OR PRACTICE THAT IS PART OF THE
 PUBLIC AGENCY'S CRIMINAL HISTORY REVIEW;
   (B) A LIST OF CRIMINAL HISTORY THAT  WILL  NEVER  BE  CONSIDERED  WITH
 REGARD TO LICENSURE;
   (C) A LIST OF WHICH, IF ANY, CRIMINAL HISTORY WILL BE CONSIDERED IN AN
 INDIVIDUALIZED DETERMINATION ABOUT WHETHER THE PUBLIC AGENCY WILL CONFER
 THE LICENSE;
   (D)  THE  PROCESS  FOR MAKING A DETERMINATION AND THE INFORMATION THAT
 WILL BE CONSIDERED;
   (E) A LIST OF WHICH CRIMINAL HISTORY, IF ANY, WILL OPERATE AS A BAR TO
 LICENSURE;
   (F) A LIST OF THE TYPES OF INFORMATION ABOUT  AN  APPLICANT  THAT  THE
 PUBLIC  AGENCY IS PROHIBITED FROM CONSIDERING AND THAT THE PUBLIC AGENCY
 WILL NOT CONSIDER, INCLUDING  INFORMATION  THAT  THE  PUBLIC  AGENCY  IS
 PROHIBITED  FROM  CONSIDERING  IN ACCORDANCE WITH SUBDIVISION SIXTEEN OF
 SECTION TWO HUNDRED NINETY-SIX OF THE EXECUTIVE LAW; AND
   (G) THE FACTORS THE PUBLIC AGENCY IS REQUIRED TO CONSIDER PURSUANT  TO
 THIS ARTICLE.
   4.  ANY INDIVIDUAL MAY SUBMIT TO THE RELEVANT PUBLIC AGENCY A PRELIMI-
 NARY LICENSE APPLICATION FOR A DETERMINATION AS TO WHETHER THE  INDIVID-
 UAL'S  CRIMINAL  HISTORY  RENDERS THE INDIVIDUAL INELIGIBLE TO RECEIVE A
 LICENSE OR LICENSES THAT THE INDIVIDUAL SPECIFIES.
   5. (A) A PRELIMINARY LICENSE APPLICATION MAY BE SUBMITTED AT ANY TIME,
 INCLUDING PRIOR TO OBTAINING OR PAYING FOR REQUIRED EDUCATION OR  PAYING
 ANY FEE FOR LICENSURE OR TRAINING.
   (B)  PUBLIC  AGENCIES  SHALL CREATE A FORM FOR THE PRELIMINARY LICENSE
 APPLICATION  AND  PROVIDE  CLEAR,  STEP-BY-STEP  INSTRUCTIONS  ON  THEIR
 WEBSITES  CONCERNING  THE PRELIMINARY LICENSE APPLICATION PROCESS BEGIN-
 NING FROM PREPARING THE PRELIMINARY LICENSE APPLICATION THROUGH DETERMI-
 NATION OF WHETHER AN INDIVIDUAL'S CRIMINAL HISTORY RENDERS THE  INDIVID-
 UAL  INELIGIBLE  TO  RECEIVE  A  LICENSE.  ALL FORMS PUBLISHED BY PUBLIC
 AGENCIES SHALL BE CONSISTENT WITH THE REQUIREMENTS SET FORTH  IN  EXECU-
 TIVE ORDER NUMBER TWENTY-SIX OF TWO THOUSAND ELEVEN.
   (C) PUBLIC AGENCIES MAY CHARGE A FEE NOT TO EXCEED TWENTY-FIVE DOLLARS
 FOR EACH PRELIMINARY LICENSE APPLICATION FILED PURSUANT TO THIS SECTION.
 PUBLIC  AGENCIES SHALL ALLOW APPLICANTS TO SUBMIT AN AFFIDAVIT OF FINAN-
 CIAL HARDSHIP TO ALLOW THE  APPLICANT  TO  FILE  A  PRELIMINARY  LICENSE
 APPLICATION  WITHOUT  PAYING  A  FEE  AND SHALL NOT REFUSE TO ACCEPT FOR
 FILING THE PRELIMINARY LICENSE APPLICATION  OF  ANY  APPLICANT  WHO  HAS
 SIGNED SUCH AN AFFIDAVIT.
   (D) A PRELIMINARY LICENSE APPLICATION SHALL CONSIST OF:
   (I)  THE  PRELIMINARY  LICENSE  APPLICATION FORM CREATED BY THE PUBLIC
 AGENCY;
   (II) ANY ADDITIONAL INFORMATION THE APPLICANT SUBMITS,  INCLUDING  BUT
 NOT LIMITED TO, INFORMATION ABOUT THE APPLICANT'S CURRENT CIRCUMSTANCES,
 THE  AMOUNT  OF  TIME THAT HAS PASSED SINCE THE INDIVIDUAL'S MOST RECENT
 OFFENSE OR ALLEGED OFFENSE; OTHER EVIDENCE OF REHABILITATION OR PROOF OF
 POSITIVE CHANGE; REFERENCE LETTERS, EMPLOYMENT HISTORY, EMPLOYMENT ASPI-
 RATIONS, AND ANY CONDITIONS FULFILLED  SINCE  ANY  PREVIOUS  PRELIMINARY
 LICENSE APPLICATION SUBMITTED BY THE APPLICANT; AND
   (III)  THE  APPLICATION  FEE OR COMPLETED AFFIDAVIT OF FINANCIAL HARD-
 SHIP.
 A. 4893                             3
 
   (E) AT ANY TIME FOLLOWING A FINAL DETERMINATION OF THE PUBLIC  AGENCY,
 AN  APPLICANT  MAY SUBMIT A NEW PRELIMINARY LICENSE APPLICATION BASED ON
 THE APPLICANT'S CHANGED CIRCUMSTANCES OR THE PASSAGE OF TIME.
   6. UPON RECEIPT OF A PRELIMINARY LICENSE APPLICATION UNDER SUBDIVISION
 FOUR  OF  THIS SECTION, THE APPLICABLE PUBLIC AGENCY SHALL UNDERTAKE THE
 PROCESS SET FORTH IN SUBDIVISION SEVEN  OF  THIS  SECTION  TO  DETERMINE
 WHETHER  THE APPLICANT'S CRIMINAL HISTORY RENDERS THE APPLICANT INELIGI-
 BLE TO RECEIVE THE APPLICABLE LICENSE FROM THAT PUBLIC AGENCY.
   7. (A) UPON RECEIPT OF A PRELIMINARY  LICENSE  APPLICATION,  A  PUBLIC
 AGENCY  SHALL  REVIEW  SUCH  APPLICATION FOR COMPLETENESS AND NOTIFY THE
 APPLICANT WITHIN FIVE BUSINESS DAYS IF THE APPLICATION  IS  COMPLETE  OR
 WHICH COMPONENTS OF THE APPLICATION ARE MISSING.
   (B)  WHERE  A  PUBLIC  AGENCY  CONSIDERS  PARTICULAR  CRIMINAL HISTORY
 REPORTS IN DETERMINING WHETHER TO GRANT AN APPLICATION  FOR  A  LICENSE,
 THE PUBLIC AGENCY SHALL REQUEST ALL SUCH CRIMINAL HISTORY REPORTS WITHIN
 FIVE  BUSINESS  DAYS FOLLOWING RECEIPT OF A PRELIMINARY LICENSE APPLICA-
 TION.
   (C) THE PUBLIC AGENCY SHALL NOTIFY THE APPLICANT BOTH WHEN THE  PUBLIC
 AGENCY  REQUESTS  ANY  THIRD PARTY CRIMINAL HISTORY REPORT AND WHEN SUCH
 REPORT IS RECEIVED BY THE PUBLIC AGENCY.
   (D) IN REVIEWING A PRELIMINARY LICENSE APPLICATION TO DETERMINE WHETH-
 ER AN APPLICANT'S CRIMINAL HISTORY RENDERS THEM  INELIGIBLE  FOR  LICEN-
 SURE,  THE  PUBLIC AGENCY SHALL BE BOUND BY THE SAME RULES, REGULATIONS,
 AND STATUTES, INCLUDING THIS ARTICLE,  THAT  BIND  THE  PUBLIC  AGENCY'S
 REVIEW OF A LICENSE APPLICATION.
   (E)  IF  A  PUBLIC  AGENCY  DETERMINES, IN RESPONSE TO THE PRELIMINARY
 LICENSE APPLICATION, THAT IT WILL DEEM AN APPLICANT TO BE INELIGIBLE FOR
 LICENSURE DUE SOLELY OR IN PART TO CRIMINAL HISTORY, THE  PUBLIC  AGENCY
 SHALL  NOTIFY THE APPLICANT OF ITS INTENT TO DEEM THE APPLICANT INELIGI-
 BLE IN WRITING, SPECIFY ANY ADDITIONAL  INFORMATION  THE  APPLICANT  MAY
 PROVIDE THAT COULD RESULT IN THE APPLICANT'S ELIGIBILITY, INCLUDE COPIES
 OF  ANY  CRIMINAL  HISTORY THE PUBLIC AGENCY OBTAINED OR REVIEWED DURING
 THE APPLICATION PROCESS, AND ALLOW THE APPLICANT FOURTEEN DAYS FROM  THE
 DATE  ON THE NOTICE TO PROVIDE ADDITIONAL INFORMATION THAT MAY RESULT IN
 A FINDING THAT THE APPLICANT  IS  ELIGIBLE  FOR  LICENSURE,  THOUGH  ANY
 EXTENSIONS  REQUESTED  BY  THE  APPLICANT SHALL BE GRANTED BY THE PUBLIC
 AGENCY.
   (F) THE PUBLIC AGENCY SHALL ISSUE ITS DETERMINATION IN WRITING  WITHIN
 TEN  BUSINESS DAYS AFTER RECEIVING A PRELIMINARY LICENSE APPLICATION AND
 ANY NECESSARY CRIMINAL HISTORY REPORT. ANY DAYS GIVEN TO  THE  APPLICANT
 TO PROVIDE ADDITIONAL INFORMATION RESPONSIVE TO A NOTICE OF INTENT SHALL
 BE EXCLUDED FROM THE TEN BUSINESS DAYS.
   (G)  THE  DETERMINATION BY THE PUBLIC AGENCY SHALL INCLUDE FINDINGS OF
 FACT AND CONCLUSIONS OF LAW.
   (H) THE DETERMINATION BY THE PUBLIC AGENCY SHALL  BE  IN  WRITING  AND
 SHALL INCLUDE AN ANALYSIS OF THE APPLICANT'S CRIMINAL HISTORY, CONSIDER-
 ING THE FACTORS UNDER SECTIONS SEVEN HUNDRED FIFTY-TWO AND SEVEN HUNDRED
 FIFTY-THREE  OF  THIS  ARTICLE  AND  ANY OTHER FACTORS THE PUBLIC AGENCY
 CONSIDERS WHEN DECIDING WHETHER TO GRANT OR DENY A LICENSE.
   (I) IF THE PUBLIC AGENCY DETERMINES THAT THE APPLICANT  IS  INELIGIBLE
 FOR  LICENSURE  DUE  SOLELY  OR  IN PART TO CRIMINAL HISTORY, THE PUBLIC
 AGENCY SHALL ADVISE THE APPLICANT IN ITS  DETERMINATION  OF  ANY  RECOM-
 MENDED  ACTIONS  THE  APPLICANT  MAY  TAKE TO REMEDY INELIGIBILITY FOR A
 LICENSE BASED ON CRIMINAL HISTORY. SUCH ACTIONS SHALL BE  DEEMED  RECOM-
 MENDED ACTIONS AND SHALL NOT BE DEEMED TO BE ADDITIONAL REQUIREMENTS FOR
 ISSUANCE OF A LICENSE. ANY DETERMINATION THAT AN APPLICANT IS INELIGIBLE
 A. 4893                             4
 
 FOR  LICENSURE  DUE  SOLELY OR IN PART TO CRIMINAL HISTORY SHALL BE NON-
 BINDING.
   (J)  THE  PUBLIC  AGENCY'S  DETERMINATION  SHALL INCLUDE COPIES OF ANY
 CRIMINAL HISTORY THE PUBLIC  AGENCY  OBTAINED  OR  REVIEWED  DURING  THE
 APPLICATION PROCESS.
   (K)  A  PUBLIC  AGENCY'S  DETERMINATION  THAT THE APPLICANT'S CRIMINAL
 HISTORY DOES NOT RENDER THE APPLICANT INELIGIBLE TO  RECEIVE  A  LICENSE
 SHALL BE BINDING IF THE APPLICANT APPLIES FOR LICENSURE AND FULFILLS ALL
 OTHER  REQUIREMENTS  FOR THE LICENSE AND THE APPLICANT HAS NO ADDITIONAL
 CRIMINAL HISTORY BETWEEN THE PRELIMINARY  LICENSE  APPLICATION  DETERMI-
 NATION AND THE LICENSE APPLICATION DETERMINATION.
   (L)  WHERE A HEARING PROCESS EXISTS FOR DENIAL OF AN APPLICATION FOR A
 LICENSE, ANY APPLICANT WHOSE PRELIMINARY LICENSE APPLICATION  IS  DENIED
 MAY  REQUEST  A HEARING WITHIN SIXTY DAYS OF SUCH DENIAL. HEARINGS SHALL
 PROCEED UNDER THE SAME STATUTES, RULES, AND  REGULATIONS  APPLICABLE  TO
 HEARINGS A PUBLIC AGENCY OFFERS FOLLOWING DENIAL OF AN APPLICATION FOR A
 LICENSE,  PROVIDED,  HOWEVER,  THAT  THE ADMINISTRATIVE JUDGE SHALL ALSO
 CONSIDER WHETHER THE PUBLIC AGENCY ABIDED BY SUBDIVISIONS SIX AND  SEVEN
 OF THIS SECTION AND WHETHER CONSISTENT WITH THOSE SUBDIVISIONS AN APPLI-
 CANT'S PRELIMINARY LICENSE APPLICATION MAY BE GRANTED.
   8. THE DETERMINATION OF A PUBLIC AGENCY FOLLOWING A HEARING, IF AVAIL-
 ABLE,  IS  A  FINAL AGENCY DETERMINATION. AN APPLICANT MAY SEEK JUDICIAL
 APPEAL OF THE DETERMINATION IN ACCORDANCE WITH ARTICLE SEVENTY-EIGHT  OF
 THE CIVIL PRACTICE LAW AND RULES.
   9.  NO  PERSON,  ENTITY,  OR PUBLIC AGENCY SHALL REQUIRE ANY PERSON TO
 SUBMIT A PRELIMINARY LICENSE APPLICATION OR GRANT OR DENY ANY PERSON ANY
 OPPORTUNITY, GOOD, SERVICE, OR COMPENSATION BASED ON A PERSON'S DECISION
 TO SUBMIT OR DECLINE TO SUBMIT A PRELIMINARY LICENSE APPLICATION.
   10. PUBLIC AGENCIES SHALL KEEP ALL INFORMATION  SUBMITTED,  COLLECTED,
 OR  CREATED IN THE COURSE OF A PRELIMINARY LICENSE APPLICATION CONFIDEN-
 TIAL BETWEEN THE PUBLIC AGENCY AND THE APPLICANT OR ANY AUTHORIZED AGENT
 OR REPRESENTATIVE OF THE APPLICANT,  BUT  MAY  FULFILL  REPORTING  OBLI-
 GATIONS  UNDER  THIS  SECTION AND, PURSUANT TO ARTICLE SIX OF THE PUBLIC
 OFFICERS LAW, RELEASE ANONYMIZED OR REDACTED INFORMATION TO  THE  PUBLIC
 OR  THE APPLICANT'S UNREDACTED FILE IN RESPONSE TO A REQUEST MADE BY THE
 APPLICANT OR ANY AUTHORIZED AGENT OR REPRESENTATIVE  OF  THE  APPLICANT.
 UPON  THE  APPLICANT'S  REQUEST  AT  ANY  TIME,  THE PUBLIC AGENCY SHALL
 PROVIDE THE APPLICANT A COPY OF THEIR PRELIMINARY APPLICATION FILE WITH-
 OUT CHARGE TO THE APPLICANT. THE FILE SHALL INCLUDE  ANY  DOCUMENTS  THE
 APPLICANT  SUBMITTED  AS  PART OF THE PRELIMINARY APPLICATION, ANY DOCU-
 MENTS OR INFORMATION THE PUBLIC AGENCY USED IN CONSIDERING THE  PRELIMI-
 NARY  APPLICATION,  ANY  DECISIONS  THE PUBLIC AGENCY MADE REGARDING THE
 PRELIMINARY APPLICATION, AND ANY CORRESPONDENCE  BETWEEN  THE  APPLICANT
 AND  THE PUBLIC AGENCY AND THE PUBLIC AGENCY AND ANY THIRD PARTY REGARD-
 ING THE PRELIMINARY APPLICATION. UPON THE APPLICANT'S REQUEST VIA PHONE,
 MAIL, EMAIL OR FACSIMILE, THE PUBLIC AGENCY SHALL DESTROY  THE  PRELIMI-
 NARY  APPLICATION  MATERIALS  SUBMITTED BY THE APPLICANT OR COLLECTED OR
 RECEIVED BY THE PUBLIC AGENCY EXCEPT FOR THE PUBLIC AGENCY'S  RECORD  OF
 DETERMINATION.
   11.  PUBLIC  AGENCIES  MAY  PROMULGATE RULES AND REGULATIONS AND OTHER
 GUIDANCE REGARDING THEIR PRACTICES FOR PRELIMINARY LICENSE APPLICATIONS.
   12. EACH PUBLIC AGENCY SHALL COMPILE AND PUBLISH ANNUALLY A REPORT  ON
 A  SEARCHABLE  PUBLIC  WEBSITE  WHICH INCLUDES THE FOLLOWING INFORMATION
 REGARDING PRELIMINARY LICENSE APPLICATIONS:
   (A) THE NUMBER OF APPLICATIONS FILED EACH MONTH DURING  THE  REPORTING
 YEAR;
 A. 4893                             5
 
   (B)  THE  NUMBER  OF  APPLICATIONS THAT RECEIVED A NOTICE OF INTENT TO
 DENY BY THE PUBLIC AGENCY DURING THE REPORTING YEAR;
   (C) THE NUMBER OF DETERMINATIONS CONFIRMING ELIGIBILITY FOR LICENSURE;
   (D)  THE  NUMBER OF DETERMINATIONS CONFIRMING INELIGIBILITY FOR LICEN-
 SURE;
   (E) THE NUMBER OF PRELIMINARY LICENSE APPLICATION  HEARINGS  REQUESTED
 AND THE OUTCOME OF THOSE HEARINGS;
   (F)  THE NUMBER OF REQUESTS FOR JUDICIAL REVIEW OF PRELIMINARY LICENSE
 APPLICATION DETERMINATIONS FILED AND THE OUTCOME OF THOSE APPEALS;
   (G) ANONYMOUS DESCRIPTIONS OF EACH CRIMINAL HISTORY, THAT INCLUDES THE
 STATUTORY SECTION OR SECTIONS OF THE PENAL LAW OR OTHER  LAW,  THAT  HAS
 RESULTED IN DENIAL OF LICENSURE DURING THE REPORTING YEAR;
   (H) ANONYMOUS DESCRIPTIONS OF EACH CRIMINAL HISTORY, THAT INCLUDES THE
 STATUTORY  SECTION  OR  SECTIONS OF THE PENAL LAW OR OTHER LAW, THAT HAS
 RESULTED IN DENIAL OF  A  PRELIMINARY  LICENSE  APPLICATION  DURING  THE
 REPORTING YEAR; AND
   (I) ANY OTHER INFORMATION DEEMED RELEVANT BY THE PUBLIC AGENCY.
   §  3.  Subdivision 2 of section 755 of the correction law, as added by
 chapter 931 of the laws of 1976, is amended to read as follows:
   2. In relation to actions by private employers,  PRIVATE  ENTITIES  OR
 PRIVATE  PERSONS, the provisions of this article shall be enforceable by
 the division of human rights pursuant to the powers and  procedures  set
 forth in article fifteen of the executive law, and, concurrently, by the
 New York city commission on human rights.
   § 4. This act shall take effect immediately.