Empire State Ass'n of Adult Homes, Inc. v. Novello

193 Misc. 2d 543, 751 N.Y.S.2d 694, 2002 N.Y. Misc. LEXIS 1447
CourtNew York Supreme Court
DecidedAugust 22, 2002
StatusPublished

This text of 193 Misc. 2d 543 (Empire State Ass'n of Adult Homes, Inc. v. Novello) is published on Counsel Stack Legal Research, covering New York Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Empire State Ass'n of Adult Homes, Inc. v. Novello, 193 Misc. 2d 543, 751 N.Y.S.2d 694, 2002 N.Y. Misc. LEXIS 1447 (N.Y. Super. Ct. 2002).

Opinion

OPINION OF THE COURT

Dan Lamont, J.

Petitioners bring this CPLR article 78 proceeding seeking an order and judgment: (1) vacating, voiding, and annulling the new emergency regulation 18 NYCRR 486.5 (a) (4) (v) (new emergency regulation); (b) staying the respondent from enforcing any provision of the new emergency regulation; and (c) granting such other and further relief which the court deems just and proper, including the costs and disbursements of this proceeding. The enforcement of the new emergency regulation has been temporarily stayed during the pendency of this proceeding.

The respondent has filed an answer and a notice of motion to dismiss asserting the following objections in point of law: (1) the petition fails to state a cause of action; (2) the petitioners lack standing to litigate the claims presented; and (3) the is[545]*545sues raised by the petitioner are not ripe for judicial review. The petitioners have filed reply papers in opposition to the respondent’s motion to dismiss.

Background

The respondent has licensing, regulatory and enforcement jurisdiction over adult care facilities. Respondent’s investigators visit adult care facilities and prepare reports, and then administrative hearings are conducted regarding any alleged rule violations. If violations are found after an administrative evidentiary hearing, a variety of sanctions may be imposed against the violator. Some violations are curable within a 30-day rectification period in order to avoid a civil penalty — which is only imposed if the violation continues beyond 30 days (see, Social Services Law § 460-d [7] [b] [1]; 18 NYCRR 486.5 [a] [3]). The statutory rule and regulatory framework also provide for penalties for various types of violations which are not allowed a 30-day rectification period before a civil penalty can be assessed — including violations for “systemic practices and procedures” (see, Social Services Law § 460-d [7] [b] [2] [i]-[iv], as amended by L 1994, ch 733, § 4).

Respondent contends that over the past several months, the Department of Health has become aware of acute failures within the adult care facility industry to remedy systemic deficiencies and has also become aware of failures by adult homes to comply with Social Services Law § 461-m — requiring the report of a resident’s death, attempted suicide, or involvement with alleged felonies.

On May 3, 2002, the respondent issued an emergency regulation, 18 NYCRR 486.5 (a) (4) (v) — pursuant to Social Services Law § 460-d (7) and State Administrative Procedure Act § 202 (6). The new emergency regulation increases fines upon adult homes and defines the term “systemic practices and procedures” for violations — the prompt correction of which will not abate a civil penalty. Respondent contends that the new emergency regulation has two elements which must be met before such regulation can be invoked: (1) the violation must have resulted in harm to or endangerment of a resident, and (2) there must be a failure of systemic practices and procedures as demonstrated by a pattern of noncompliance or an inability to bring a specific area of facility operation into compliance with specific regulatory provisions. Respondent further contends that this new emergency regulation is necessary to provide an incentive to operators to avoid deficiencies — which incentive did not heretofore exist.

[546]*546The respondent explained the new emergency regulation in the State Register as follows:

“These regulations establish protections for these residents by permitting the department to expedite the enforcement process against facilities that endanger or cause harm to residents. Recent surveys conducted at a significant number of adult care facilities by officials from the Department of Health Commission on Quality of Care for the Mentally Disabled and the Office of Mental Health have confirmed that unsanitary and dangerous conditions have existed at some of these facilities for a sustained period of time and that operators have failed to report attempted suicides, deaths and serious crimes by or against residents. Current regulations permit the operators of these facilities to correct these regulatory violations within 30 days of being cited by the Department and avoid all civil penalties. This new rule would permit the Department to impose civil penalties, after hearing, even though a violation has been corrected, in cases where the violation is a failure in systemic practices and procedures which endangered or caused harm to a resident or when an operator fails to report an attempted suicide or death of a resident, thereby preventing the department and CQC from investigating the occurrence and surrounding circumstances. Delay in these investigations endangers the health, safety and welfare of facility residents. This rule will ensure that facilities are maintained in a much safer and more sanitary condition, that resident deaths, attempted suicides and felonies are reported and investigated promptly and that residents are much better protected than under current regulations. The rule will also ensure that facility operators are more accountable and responsible for the life, health, safety, and welfare of these vulnerable residents by requiring operators to maintain their facilities consistently in a manner which assures resident safety and protection. Without this new rule, as confirmed by recent surveys, some operators have permitted their facilities to deteriorate to a point where dangerous conditions exist. These surveys have also confirmed that only after State officials conduct on-site surveys are corrections made. With the avail[547]*547ability of substantial civil penalties, this new rule will require operators to maintain safe and sanitary conditions at all times.”

The respondent explained the reasons for adopting the new emergency regulation on an emergency basis by stating the following in the State Register:

“Compliance with the requirements of the State Administrative Procedure Act for filing of a regulation on a non-emergency basis including the requirement for a period of time for public comment cannot be met because to do so would be detrimental to the health and general welfare of the frail, disabled, and functionally impaired residents of these facilities and also would permit public funds to be expended for maintaining conditions that are both dangerous and unhealthy. As outlined above, the conditions in some of these facilities remain dangerous and unhealthy for extended periods of time. Recent surveys conducted by three separate State agencies have confirmed these conditions and emphasized the need for immediate Department action to assure that residents of these facilities are safe and protected from unhealthy and dangerous conditions and that reports of resident deaths or attempted suicides and felonies committed by or against residents are promptly reported to the Department of Health, CQC and law enforcement authorities so these incidents can be investigated promptly. Without this emergency regulation some operators will simply maintain the status quo and refuse to maintain consistently safe and healthy environments for their vulnerable residents.”

Petitioners contend that no emergency situation exists; that the regulation exceeds the respondent’s statutory authority; and that the respondent’s adoption of the new emergency regulation was in response to a three-part article published in the New York Times which was critical of the respondent’s oversight of adult care facilities.

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Bluebook (online)
193 Misc. 2d 543, 751 N.Y.S.2d 694, 2002 N.Y. Misc. LEXIS 1447, Counsel Stack Legal Research, https://law.counselstack.com/opinion/empire-state-assn-of-adult-homes-inc-v-novello-nysupct-2002.