§ 461-E — Records and reports

§ 461-e. Records and reports. 1. Every adult care facility shall\nmaintain, as public information available for public inspection under\nsuch conditions as the department shall prescribe, records containing\ncopies of the most recent inspection report pertaining to the facility\nthat has been issued by the department or social services district or to\nthe facility.\n 2. Pursuant to the provisions of article six of the public officers\nlaw, the department shall make available for public inspection copies of\nall inspection reports of adult care facilities issued by the\ndepartment.\n 3. Every adult care facility shall:\n (a) Post in a prominent position in the facility so as to be\naccessible to all residents and to the general public, a summary of the\nmost recent inspection of such facility performed by the department or a\nsocial services district.\n (b) Provide to any resident and each applicant for admission an\nopportunity to review the most recent inspection report pertaining to\nand issued by the department or social services district to such\nfacility.\n 4. (a) Each adult home and residence for adults except those operated\nby a social services district shall file an annual financial statement\nwith the department on or before the fifteenth day of the sixth calendar\nmonth after the close of the facility's fiscal year for which such\nreport is due, upon forms prescribed by the department and in compliance\nwith the regulations of the department. Such statement shall clearly set\nforth all financial information pertaining to the operation of such\nfacility in accordance with generally accepted accounting principles,\nincluding but not limited to the following:\n (i) revenues and expenses by categories during such fiscal year.\n (ii) a balance sheet of the facility as of the end of such fiscal\nyear, setting forth assets and liabilities at such date, including all\ncapital, surplus, reserve, depreciation and similar accounts.\n (iii) a statement of operations of the facility for such fiscal year,\nsetting forth all revenues, expenses, taxes, extraordinary items and\nother credits or charges.\n (iv) the name and address of each of the following persons:\n (1) the operator of the facility;\n (2) any person who, directly or indirectly, beneficially owns any\ninterest in the land on which the facility is located;\n (3) any person who, directly or indirectly, beneficially owns any\ninterest in the building in which the facility is located;\n (4) any person who, directly or indirectly, beneficially owns any\ninterest in any mortgage, note, deed of trust or other obligation\nsecured in whole or in part by the land on which or building in which\nthe facility is located; and\n (5) any person who, directly or indirectly, has any interest as lessor\nor lessee in any lease or sub-lease of the land on which or the building\nin which the facility is located.\n (v) if the facility or any person named in response to subparagraph\n(iv) of this paragraph is a partnership, then the name and home address\nof each partner.\n (vi) if the facility or any person named in response to subparagraph\n(iv) of this paragraph is a corporation, other than a corporation whose\nshares are traded on a national securities exchange or are regularly\nquoted in an over-the-counter market or which is a commercial bank,\nsavings bank or savings and loan association, then the name and address\nof each officer, director, and each principal stockholder and\ncontrolling person of such corporation.\n (vii) if any corporation named in response to subparagraph (iv) of\nthis paragraph is a corporation whose shares are traded on a national\nsecurities exchange or are regularly quoted in an over-the-counter\nmarket or which is a commercial bank, savings bank or savings and loan\nassociation, then the name and address of the principal executive\nofficers and each director and, if known, each principal stockholder of\nsuch corporation.\n (viii) if the facility 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 (iv), (v), (vi) or\n(vii) of this paragraph or any affiliate of said person, a description\nof the transactions, naming the parties thereto and describing the\nrelationships which require the transactions to be described and the\ngoods, services, payments or other consideration received by each party\nto the transactions. Such facility must make available to the\ndepartment, when requested, adequate documentation to support the costs\ninvolved including access to books and records related to such\ntransactions.\n (ix) if known, the nature and amount of any interest in, or\nrelationship with, any other adult care facility, held by any person\nnamed in response to subparagraph (iv) of this paragraph, or by any\naffiliate of such person.\n (x) the following definitions shall be applicable to this paragraph\nand to any reports filed pursuant to this paragraph:\n (1) "affiliate" means:\n (A) with respect to a partnership, each partner thereof;\n (B) with respect to a corporation, each officer, director, principal\nstockholder and controlling person thereof;\n (C) with respect to a natural person (a) each member of said person's\nimmediate family, (b) each partnership and each partner thereof of which\nsaid person or any affiliate of said person is a partner, and (c) each\ncorporation in which said person or any affiliate of said person is an\nofficer, director, principal stockholder or controlling person;\n (2) "controlling person" of any corporation, partnership or other\nentity means any person who has the power, directly or indirectly, to\nsignificantly influence or direct the actions or policies of such\nfacility. Neither the department nor any employee of the department\nshall, by reason of his or her official position, be deemed a\ncontrolling person of any corporation, partnership or other entity;\n (3) "immediate family" of any person includes each parent, child,\nspouse, brother, sister, first cousin, aunt and uncle of such person\nwhether such relationship arises by reason of birth, marriage or\nadoption;\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 (xi) together with such other information as may be required by the\ndepartment.\n Such statement shall be accompanied by an opinion signed by an\nindependent licensed accountant that such financial statement represents\nthe financial operations and position of the facility, except such\nopinion shall not be required for facilities with a capacity of nine or\nless.\n (b) The department shall accept in full satisfaction of the provisions\nof this subdivision from operators of adult homes and residences for\nadults who are required to submit an annual report as a charitable\norganization to the secretary of state of the state of New York or are\nrequired to submit to the commissioner of the New York state department\nof health an annual report of residential health care facilities, a\ncertified copy of such report and upon request from the department an\nuncertified copy of the financial statement required to be filed with\nthe department pursuant to the provisions of this subdivision.\n (c) The department may examine the books and records of any adult home\nor residence for adults to determine the accuracy of the annual\nfinancial statement or for any other reason deemed appropriate by the\ndepartment to effectuate the purposes of this section.\n (d) The department shall perform on a selected sample of adult homes\nand residences for adults, a financial audit as part of the inspection\nprocedure.\n (e) Each enriched housing program shall file financial statements with\nthe department on at least an annual basis, in accordance with\nregulations.\n 5. The department may promulgate regulations which require each adult\ncare facility to maintain the following written records and any other\nsuch records, under such conditions and for such time, as may be\nprescribed pursuant to such regulations: (i) a chronological admission\nand discharge register consisting of a listing of residents registered\nin and discharged from such facility by name, age, race or ethnicity,\nsex of resident, and place from or to which the resident is registered\nor discharged, (ii) a daily census record, (iii) a personal non-medical\nrecord for each resident, including but not limited to, identification\nof his or her next-of-kin, family and sponsor, the name and address of\nthe person or persons to be contacted in the event of an emergency, and\nall details of the referral and registration and non-medical\ncorrespondence and papers concerning the resident, (iv) a financial\nrecord for each resident, including but not limited to, copies of all\nagreements, resident account records and a current inventory of personal\nproperty being held by the operator.\n 6. No facts and information retained as part of individual resident\nrecords by an operator of an adult care facility may be released to\nanyone other than the resident, the resident's next-of-kin or authorized\nrepresentative of the resident, the operator, his employees or agents,\nor an employee or designee of the department without the written\npermission of the resident.\n 7. Nothing contained in this section shall be construed or deemed to\nrequire the public disclosure of confidential medical, social, personal\nor financial records of any resident. The department shall adopt such\nregulations as may be necessary to give effect to the provisions of this\nsection and to preserve the confidentiality of medical, social, personal\nor financial records of residents.\n 8. Nothing contained in this section shall be construed or deemed to\nrequire the disclosure of the names and addresses or other information\nthat would identify or tend to identify persons who file complaints with\nthe department concerning the operation of adult care facilities. This\nshall apply to all complaints, regardless of whether the department is\nable to substantiate the complaint. Such information shall be deemed to\nbe confidential and shall only be made available to a district attorney\nor police officer conducting a criminal investigation or prosecution\nrelating to an adult care facility and only upon the written request of\nthe investigating officer or district attorney; or to a court or to the\npresiding officer of an administrative proceeding and the parties to\nsuch proceeding if, with the consent of the persons providing such\ninformation, it is to be utilized by the department or any other state\nor local agency or subdivision in such proceeding. If a party is not\nprovided with the identity of a person providing information in\naccordance with the provisions of this section, the fact that such\nconfidential report was made shall in no way be relied upon by any court\nor presiding officer of an administrative proceeding in the course of\nreaching a determination in such proceeding. The department shall,\nconsistent with the provisions of this section, adopt such regulations\nas may be necessary to preserve the confidentiality of persons making\nsuch complaints.\n