What's happening
This bill requires state agencies to include prevention tips for common regulatory violations in small business regulation guides and coordinate with the division for small business.
Why it matters
Improves transparency and fairness for small businesses. by requiring agencies to clearly identify the most common violations and provide practical steps to avoid them, helping business owners understand exactly what to watch out for.
Encourages smarter regulatory compliance. by mandating that agencies explain not just what the rules are, but also provide accessible assistance resources and real-world prevention tips, which could reduce accidental noncompliance and fines.
Promotes coordinated support. by involving the Division for Small Business in both guide creation and oversight, aiming for more consistent and helpful guidance across state agencies.
Could reduce enforcement burdens and costs. for both small businesses and the state by proactively addressing common pitfalls, potentially leading to fewer violations and less need for punitive action.
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Who cares
Headline styles
Help Small Businesses Avoid Fines
Plain English, a few words. Used as the page title.
Sponsors
No co-sponsors yet.
History
- Approval memo.38
- Signed chap.462
- Delivered to governor
- Returned to senate
- Passed assembly
- Ordered to third reading rules cal.112
- Substituted for A5779
- Referred to governmental operations
- Delivered to assembly
- Passed senateVote 62–0
- Advanced to third reading
- 2nd report cal.
Show 2 earlier actions
- 1st report cal.134
- Referred to commerce, economic development and small business
Companion bill
The same bill in the other chamber. A bill becomes law when one version passes both houses and the governor signs it, so either number can carry it.
Help Small Businesses Follow Rules
Assembly Floor Calendar · Sponsor Aravella Simotas
Full text
2 pagesUnderlined is new[Struck] is removedOfficial text on nysenate.gov ↗
STATE OF NEW YORK
1643
2017-2018 Regular Sessions
IN SENATE
January 10, 2017
Introduced by Sen. CARLUCCI -- read twice and ordered printed, and when printed to be committed to the Committee on Commerce, Economic Development and Small Business
AN ACT to amend the state administrative procedure act, in relation to providing information on the prevention of common regulatory violations in small business regulation guides
The People of the State of New York, represented in Senate and Assembly, do enact as follows:
Section 1. Section 102-a of the state administrative procedure act, as amended by section 3 of part O of chapter 60 of the laws of 2011, is amended to read as follows:
§ 102-a. Small business regulation guides. 1. For each rule or group of related rules which significantly impact a substantial number of small businesses, the agency which adopted the rule shall post on its website one or more guides explaining the actions a small business may take to comply with such rule or group of rules if the agency determines, in conjunction with the division for small business, that such guide or guides will assist small businesses in complying with the rule, and shall designate each such posting as a "small business regulation guide". The guide shall explain the actions a small business may take to comply with a rule or group of rules, identify any sources of information or assistance available to facilitate small business regulatory compliance, and, where appropriate, include information on (a) the most common regulatory violations that small businesses are cited for by the agency and (b) any actions that small businesses can reasonably undertake to minimize or prevent the occurrence of such violations.
2. The agency shall, in its sole discretion, taking into account the subject matter of the rule and the language of relevant statutes, ensure that the guide is written using sufficiently plain language that it is likely to be understood by affected small businesses. Agencies shall cooperate with the division for small business and other state agencies
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD01840-01-7
S. 1643 2
in developing such guides. The division for small business shall oversee and coordinate the preparation of such small business regulation guides by agencies. An agency shall provide the division at such times and in such format as the division may request with (a) statistical information on the frequency of violations of various regulations by small businesses and (b) information and analysis regarding actions that can reasonably be undertaken by small businesses to minimize or prevent the occurrence of such violations.
§ 2. This act shall take effect immediately.
Reflowed for reading: line numbers and page breaks removed. Cite the official text.
Sponsor's memo
Title of bill
An act to amend the state administrative procedure act, in relation to providing information on the prevention of common regulatory violations in small business regulation guides
Purpose
This bill would enhance the State's business climate by providing effective oversight and coordination of the process of preparing small business regulation guides and by highlighting information on how small businesses can avoid common violations.
Summary of provisions
Section 1. Amends § 102-a of the State Administrative Procedure Act to vest the Division for Small Business (within DED) with responsibility for overseeing the process of agency issuance of small business regulation guides -- this duty had been assigned to the now-disbanded Governor's Office of Regulatory Reform (GORR). The bill provides that such guides shall "identify any sources of information and assistance available to facilitate small business regulatory compliance" and where appropriate, shall also include information on how to avoid the most common regulatory violations small businesses are cited for by the agency.
Read the full memo (680 words)
The Division for Small Business would activate the inclusion of information on avoiding common violations by requesting agencies to provide (i) statistical information on the frequency of violations of various regulations, by small businesses and (2) information and analysis regarding actions that small publishing and using enforcement results for management and control of agency resources so long as enforcement results tabulations are not used as the primary criterion to evaluate enforcement staff or to impose or suggest enforcement quotas. Also, agency managers could raise questions with an officer or employee about the number of cases processed or inspections performed by the officer or employee, the amount of time the officer or employee has been spending on individual enforcement activities, or the kind of results the officer or employee has been obtaining, and may use similar standards in evaluating the performance of a supervisor of such officers or employees.
"Enforcement quota" is defined as a quantitative standard for evaluating or measuring enforcement activities, including but not limited to (a) a specific number of enforcement cases in Which citations for violations are made within a specified period of time; (b) the total number of violations found within a specified period; (c) the total dollar amount of penalties associated with enforcement activities within a specified period of time; or (d) any comparison of the enforcement activities of an officer, employee or supervisors with other officers, employees or supervisors, with an average or such activities or with other quantitative standards, when used to penalize or reward officers, employees or supervisors for attaining or failing to attain a specific number of citations For violations and/or penalties within a specified period of time.
Section 2. Effective date.
Justification
Regulatory programs perform important and necessary functions that protect public health and safety, preserve our natural environment and neighborhoods, and ensure an orderly marketplace. Monetary penalties are useful as a means of promoting compliance as well as defraying the cost of regulatory oversight. However, penalties should always be used
as a means to an end - incentivizing compliance - and should never come to be viewed as a guaranteed source of revenue.
The increasing use of performance metrics in public organizations brings many benefits, but also the risk of creation of inappropriate numerical standards by which employee performance can be judged. This has long been recognized for some types of enforcement. For example, Labor Law § 215-a was enacted in 1978 to prevent discrimination against police officers for failing to meet pre-ordained quotas for the number of traffic tickets issued or arrests or stops made within a specified time period. More recently, Tax Law § 3012 was enacted as part of the "Taxpayers' Bill of Rights" to bar imposition of quotas in tax collection efforts. This bill establishes similar safeguards against the establishment of regulatory enforcement quotas.
Legislative history
2015-16: S1972/A1765 - Passed Senate/ governmental operations 2014: S6258/A5371 - Commerce,Economic Development & Small Business/Gov't Ops 2012: S6441/A9275 - Commerce, Economic Development & Small Business/Gov't Ops
Fiscal implications
None.
Effective date
This act shall take effect immediately.
Summaries, headlines and scores are AI-generated from the official bill text. How we score bills. Source: NYS Open Legislation.