N.Y. Executive Law § 170-C – Regulatory penalties for small businesses

1. Unless explicitly 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 penalties 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 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 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 taxation 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.