§ 32.39 — Fiscal year report

New York § 32.39

• Jurisdiction: New York
• Law MHY: Mental Hygiene
• Title E: General Provisions
• Art. 32: Regulation and Quality Control of Chemical Dependence Services and Compulsive Gambling Services

Text

§ 32.39 Fiscal year report.\n (a) Every provider of chemical dependence services which is required\nto have an operating certificate pursuant to this chapter shall within\none hundred twenty days after the end of its fiscal year, file an annual\nreport with the commissioner. Said report shall be in such form and\nshall contain such information as shall be prescribed in rule by the\ncommissioner, including the following:\n 1. A balance sheet of the program as of the end of its fiscal year,\nsetting forth assets and liabilities at such date, including all\ncapital, surplus, reserve depreciation and similar accounts.\n 2. A statement of operations of the program for its fiscal year,\nsetting forth all revenues, expenses, taxes, extraordinary items and\nother credits or charges.\n 3. To the extent known or reasonably ascertainable, the name and\naddress of each of the following persons:\n (i) the operator of the program;\n (ii) any person who, directly or indirectly, beneficially owns any\ninterest in the land in which the program is located;\n (iii) any person who, directly or indirectly, beneficially owns any\ninterest in the building in which the program is located;\n (iv) any person who, directly or indirectly, beneficially owns any\ninterest in or any mortgage, note, deed of trust or other obligation\nsecured in whole or in part by the land on which or the building in\nwhich the program is located;\n (v) any person who, directly or indirectly, has any interest as lessor\nor lessee in any lease or sub-lease of the land on which the building in\nwhich the program is located; and\n (vi) if the names of any of the above are not known or reasonably\nascertainable by the provider, then a statement explaining why such\nnames are not ascertainable and a description of the efforts made to\nascertain such information.\n 4. If the program or any person named in response to subparagraph\n(iii) of paragraph three of this subdivision is a partnership, then the\nname and address of each partner.\n 5. If the program or any person named in response to the subparagraph\n(iii) of paragraph three of this subdivision is a corporation, other\nthan a corporation whose shares are traded on a national securities\nexchange or are regularly quoted in an over-the-counter market or which\nis a commercial bank, savings bank or savings and loan association, then\nthe name and address of each officer, director, stockholder, and, if\nknown, each principal stockholder and controlling person of such\ncorporation.\n 6. If any corporation named in response to subparagraph (iii) of\nparagraph three of this subdivision is a corporation whose shares are\ntraded on a national securities exchange or are regularly quoted in an\nover-the-counter market or which is a commercial bank, savings bank or\nsavings and loan association, then the name and address of the principal\nexecutive officers and each director and, if known, each principal\nstockholder of such corporation.\n 7. If the program paid or received an aggregate of five hundred\ndollars or more during the fiscal year in connection with transactions\nwith any person named in response to subparagraph (iii), (iv), or (v) of\nparagraph three of this subdivision or any affiliate of said person, a\ndescription of the transactions, naming the parties thereto and\ndescribing the relationships which require the transactions to be\ndescribed and the goods, services, payment or other consideration\nreceived by each party to the transactions.\n 8. If known, the nature and amount of any interest in, or relationship\nwith, any other program for chemical dependence, held by any person\nnamed in response to subparagraph (iii) of paragraph three of this\nsubdivision or by any affiliate of such person.\n (b) The following definitions shall be applicable to this section and\nto any reports filed pursuant hereto:\n 1. "Affiliate" means:\n (i) with respect to a partnership, each partner thereof;\n (ii) with respect to a corporation, each officer, director, principal\nstockholder and controlling person thereof;\n (iii) with respect to a natural person (A) each member of said\nperson's immediate family, (B) each partnership and each partner\nthereof, and (C) each corporation in which said person or any affiliate\nof said person is an officer, director, principal stockholder or\ncontrolling person.\n 2. "Controlling person" of any corporation, partnership or other\nentity means any person who by reason of a direct or indirect ownership\ninterest (whether of record or beneficial) has the ability, acting\neither alone or in concert with others with ownership interest, to\ndirect or cause the direction of the management or policies of said\ncorporation, partnership or other entity. Neither the commissioner nor\nany employee of the office nor any member of a local legislative body of\na county or municipality, nor any county or municipal official shall by\nreason of his or her official position, be deemed a controlling person\nof any corporation, partnership or other entity nor shall any person who\nserves as an officer, administrator or other employee of any\ncorporation, partnership or other entity or as a member of a board of\ndirectors or trustees of any corporation be deemed to be a controlling\nperson of such corporation, partnership or other entity as a result of\nsuch position or his or her official actions in such position.\n 3. "Immediate family" means parent, spouse, child, brother, sister,\nfirst cousin, aunt and uncle of such person, whether such relationship\narises by reason of birth, marriage or adoption.\n 4. "Principal stockholder" of a corporation means any person who\nbeneficially owns, holds or has the power to vote, ten percent or more\nof any class of securities issued by said corporation.\n (c) The commissioner shall develop such reporting forms as he or she\ndeems necessary to carry out the provisions of this section and in\ndeveloping such forms shall consider such criteria as program size,\ntotal operating budget and modality.\n (d) Every report filed by a program pursuant to this section shall\ncontain a written statement, sworn to by or on behalf of such facility\nand the operator of such program, to the effect that the report is, to\nthe best of such person's knowledge, true and complete and prepared in\naccordance with the provisions of this section.\n