Relates to electronic permit applications and electronic recordkeeping.
Ayes (58): Adams, Addabbo, Alesi, Avella, Ball, Bonacic, Breslin, Carlucci, DeFrancisco, Dilan, Espaillat, Farley, Flanagan, Fuschillo, Gallivan, Gianaris, Golden, Griffo, Grisanti, Hannon, Hassell-Thomps, Huntley, Kennedy, Klein, Krueger, Lanza, Larkin, LaValle, Libous, Little, Marcellino, Martins, Maziarz, McDonald, Montgomery, Nozzolio, O'Mara, Oppenheimer, Parker, Peralta, Perkins, Ranzenhofer, Ritchie, Rivera, Robach, Saland, Sampson, Savino, Serrano, Seward, Skelos, Smith, Squadron, Stavisky, Stewart-Cousin, Valesky, Young, Zeldin
Nays (1): Duane
Excused (2): Diaz, Johnson
TITLE OF BILL:
An act to amend the state administrative procedure act and the executive law, in relation to electronic permit applications and electronic recordkeeping
PURPOSE OR GENERAL IDEA OF BILL:
This bill would reduce unnecessary barriers to electronic filing of applications for business permits with state agencies by allowing agency regulations to substitute an affirmation under penalty of perjury for a required sworn acknowledgement or oath, and allowing fingerprints and other criminal history information to be submitted electronically.
SUMMARY OF PROVISIONS:
Bill §1 adds a new §402 to the State Administrative Procedure Act to provide for electronic filing of applications for certain business permits. Subdivision 1 authorizes an agency to adopt regulations allowing an application for a business permit or other license to be filed that is subscribed and affirmed by the applicant as true under penalty of perjury, where statute would otherwise require that such signature be acknowledged, verified or sworn under oath. Subdivision 2 authorizes an agency to promulgate regulations allowing an application for a business permit to be submitted electronically, provided that all electronic signatures and records meet the standards of the State Technology Law. Subdivision 3 provides that the section applies to applications for licenses, permits and similar approvals which are required for business undertakings, projects or activities, but shall not include bonds or other forms of security required to be submitted by applicants, any individual licenses for practicing a profession prescribed in Title 8 of the Education Law, filings under the Uniform Commercial Code, or for routine licenses and permits for individual privileges, including licenses for operating a motor vehicle.
Bill §2 amends Executive Law §837(7) by adding language to clarify that provide that, in its function as a state clearinghouse for fingerprints and other information related to criminal histories, the Division of Criminal Justice Services (DCJS) may deem the terms "criminal record", "criminal history record", "fingerprints", "fingerprint cards", "photographs", "palmprints", "personal appearance data", "handwriting samples", and "descriptive data" to include digital or electronic images, impressions, representations or reproductions of such items.
EFFECTS OF PRESENT LAW WHICH THIS BILL WOULD ALTER:
In 2000, the Legislature authorized the Department of State to substitute an affirmation under penalty of perjury for a sworn oath or acknowledgment in its licensing programs (Executive Law §97-a). Other agencies still operate under provisions of law that in many cases unnecessarily require sworn oaths or acknowledgements.
New York State must continue its efforts to improve the business climate and allow the use of technology to reduce the costs of government and improve efficiency. This requires rethinking statutory requirements to ensure that 20th - or sometimes 19th - century laws are not creating barriers to job creation, agency coordination and administrative streamlining. Requiring a sworn oath or affirmation as part of a permit application may preclude electronic submission or web-based forms. This bill would allow licensing agencies to use their best judgment and, after soliciting public input, adopt regulations allowing for the more flexible but equally effective approach of requiring an applicant to affirm the truth of statements in an application under penalty of perjury.
The experience of the Department of State since it changed from oaths to affirmations a decade ago has been positive. Not only was the agency able to reduce its processing times and costs by no longer having to return improperly verified applications, but it estimates that the change saved businesses hundreds of thousands of dollars.
The clarification allowing processing of digital information related to criminal history by DCJS will ensure that electronic fingerprinting and other emerging technological tools can be used as appropriate in the permit application process.
PRIOR LEGISLATIVE HISTORY:
New bill - similar legislation was introduced as an Article VII bill in 2010 (A.9714/S.6614) but was not enacted.
FISCAL IMPLICATIONS FOR STATE AND LOCAL GOVERNMENTS:
State agencies that use the provisions of this bill are expected to replicate the experience of the Department of State and reduce their costs and workloads.
STATE OF NEW YORK ________________________________________________________________________ 4815 2011-2012 Regular Sessions IN SENATE April 27, 2011 ___________Introduced by Sen. CARLUCCI -- read twice and ordered printed, and when printed to be committed to the Committee on Commerce, Economic Devel- opment and Small Business AN ACT to amend the state administrative procedure act and the executive law, in relation to electronic permit applications and electronic recordkeeping THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM- BLY, DO ENACT AS FOLLOWS: Section 1. The state administrative procedure act is amended by adding a new section 402 to read as follows: S 402. ELECTRONIC FILING OF APPLICATIONS FOR CERTAIN BUSINESS PERMITS. 1. NOTWITHSTANDING ANY PROVISION OF LAW TO THE CONTRARY, A STATE AGENCY MAY, BY PROMULGATION OF REGULATIONS, PERMIT AN APPLICATION FOR A BUSI- NESS PERMIT OR OTHER LICENSE SUBJECT TO THE PROVISIONS OF THIS SECTION TO BE FILED WITH SUCH AGENCY, SUBSCRIBED AND AFFIRMED BY THE APPLICANT AS TRUE UNDER PENALTY OF PERJURY WHERE STATUTE OTHERWISE REQUIRES THAT SUCH SIGNATURE BE ACKNOWLEDGED, VERIFIED OR SWORN UNDER OATH. 2. NOTWITHSTANDING ANY PROVISION OF LAW TO THE CONTRARY, A STATE AGEN- CY MAY, BY PROMULGATION OF REGULATIONS, PERMIT ANY APPLICATION FOR A BUSINESS PERMIT OR OTHER LICENSE SUBJECT TO THE PROVISIONS OF THIS SECTION TO BE SUBMITTED TO SUCH AGENCY BY ELECTRONIC MEANS, PROVIDED THAT ANY SIGNATURE REQUIRED THEREON SHALL MEET THE REQUIREMENTS OF SUBDIVISION THREE OF SECTION THREE HUNDRED TWO OF THE STATE TECHNOLOGY LAW, AND THE USE OF ELECTRONIC RECORDS SHALL MEET THE REQUIREMENTS OF SUBDIVISION ONE OF SECTION THREE HUNDRED FIVE OF THE STATE TECHNOLOGY LAW. 3. THIS SECTION SHALL APPLY TO APPLICATIONS FOR THE ISSUANCE, MODIFI- CATION OR RENEWAL OF ANY PERMIT, LICENSE, CERTIFICATE, APPROVAL, REGIS- TRATION, CHARTER, OR SIMILAR FORM OF PERMISSION OR AUTHORITY REQUIRED BY LAW, OR BY STATE AGENCY RULES HAVING THE FORCE AND EFFECT OF LAW, WHICH IS REQUIRED FOR A BUSINESS UNDERTAKING, PROJECT OR ACTIVITY FOR ANEXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets [ ] is old law to be omitted. LBD10872-01-1 S. 4815 2
APPLICANT, BUT SHALL NOT INCLUDE BONDS OR OTHER FORMS OF SECURITY REQUIRED TO BE SUBMITTED BY APPLICANTS, ANY INDIVIDUAL LICENSES FOR PRACTICING A PROFESSION PRESCRIBED IN TITLE EIGHT OF THE EDUCATION LAW, FILINGS UNDER THE UNIFORM COMMERCIAL CODE, OR ROUTINE LICENSES AND PERMITS FOR INDIVIDUAL PRIVILEGES, INCLUDING LICENSES FOR OPERATING A MOTOR VEHICLE. S 2. Subdivision 7 of section 837 of the executive law, as added by chapter 399 of the laws of 1972 and such section as renumbered by chap- ter 603 of the laws of 1973, is amended to read as follows: 7. Receive, process and file fingerprints, photographs and other descriptive data for the purpose of establishing identity and previous criminal record. WHENEVER ANY PROVISION OF LAW REQUIRES OR PERMITS THE SUBMISSION, TRANSMISSION, FORWARDING, RETENTION, RETURN OR DESTRUCTION THEREOF, THE TERMS "CRIMINAL RECORD", "CRIMINAL HISTORY RECORD", "FING- ERPRINTS", "FINGERPRINT CARDS", "PHOTOGRAPHS", "PALMPRINTS", "PERSONAL APPEARANCE DATA", "HANDWRITING SAMPLES", AND "DESCRIPTIVE DATA" SHALL MEAN AND INCLUDE DIGITAL OR ELECTRONIC IMAGES, IMPRESSIONS, REPRESENTA- TIONS OR REPRODUCTIONS OF SUCH CRIMINAL RECORD, CRIMINAL HISTORY RECORD, FINGERPRINTS, FINGERPRINT CARDS, PHOTOGRAPHS, PALMPRINTS, PERSONAL APPEARANCE DATA, HANDWRITING SAMPLES AND DESCRIPTIVE DATA; S 3. This act shall take effect immediately.