N.Y. MHY Law § 16.05 — New York Code / Act MHY / Title C / Article 16 / Section 16.05
Issuance of operating certificates
Status: in_force

§ 16.05 Issuance of operating certificates.\n  (a)(1) Application for an operating certificate shall be made upon\nforms prescribed by the commissioner.\n  (2) Application shall be made by the person or entity responsible for\noperation of the facility or provider of services as described in\nsubdivision four of section 16.03 of this article. Applications shall be\nin writing, shall be verified and shall contain such information as\nrequired by the commissioner.\n  (b) Notice of an application for an operating certificate shall be\nforwarded by the office to the appropriate local governmental unit in\nthe area to be served and the local health planning agency.\n  (c) No operating certificate shall be issued by the commissioner\nunless the commissioner is satisfied as to:\n  (1) The public need for the facility or services to be established\nupon issuance of the operating certificate;\n  (2) The character, competence and standing in the community of the\nperson or entity responsible for operating the facility or providing\nservices;\n  (3) The financial resources of the proposed facility or provider of\nservices and its sources of future revenues;\n  (4) The adequacy of the premises, equipment, personnel and program to\nprovide the services which would be authorized by the operating\ncertificate;\n  (5) The commissioner may deny an operating certificate to any operator\nwho, within ten years of the date of application, has been denied\nrenewal for cause of an operating certificate, or who has had an\noperating certificate revoked or suspended for cause, and such denial,\nrevocation or suspension was not reversed after an administrative\nhearing or other appeal, for a program or facility licensed or operated\nby a health, mental hygiene, social services or education agency or\ndepartment of this or any state or who has failed to operate a program\nserving the mentally disabled, other disabled persons as defined in\nsubdivision twenty-one of section two hundred ninety-two of the\nexecutive law, the aged, children or other persons receiving health,\nmental hygiene, residential, social or educational services in\ncontinuous compliance with applicable laws or regulations within the\nprevious ten years in any state;\n  (6) In the case of residential facilities, that arrangements have been\nmade with other providers of services for the provision of health,\nhabilitation, day treatment, education, sheltered workshop,\ntransportation or other services as may be necessary to meet the needs\nof individuals who will reside in the facility; and\n  (6-a) In the case of a provider of services seeking to provide nursing\ntasks by non-licensed persons authorized to provide such tasks pursuant\nto subparagraph (v) of paragraph a of subdivision one of section\nsixty-nine hundred eight of the education law, that such provider will\nprovide services and perform tasks in a safe and competent manner and\nwill fully comply with the requirements of such subparagraph and any\nmemorandum of understanding between the office and the state education\ndepartment pursuant to such subparagraph. Any operating certificate\nsubject to this paragraph shall specify that the provider of services is\nauthorized to provide these nursing services.\n  (7) Such other matters as the commissioner shall deem pertinent in the\npublic interest.\n  (d) No operating certificate shall be renewed by the commissioner\nunless the commissioner is satisfied as to:\n  (1) the financial resources of the proposed facility or provider of\nservices and its sources of future revenues;\n  (2) the adequacy of the premises, equipment, personnel and program to\nprovide the services which would be authorized by the operating\ncertificate;\n  (3) the ability of the operator to provide the services required by\nthe operating certificate as demonstrated by the operator's compliance\nwith applicable laws and regulations within the previous ten years;\n  (4) in the case of residential facilities, that arrangements have been\nmade with other providers of services for the provision of health,\nhabilitation, day treatment, education, sheltered workshop,\ntransportation or other services as may be necessary to meet the needs\nof individuals who will reside in the facility; and\n  (5) such other matters as the commissioner shall deem pertinent in the\npublic interest.\n  (e) The commissioner may disapprove an application for an operating\ncertificate, may authorize fewer services than applied for, and may\nplace limitations or conditions on the operating certificate including,\nbut not limited to compliance with a time limited plan of correction of\nany deficiency which does not threaten the health or well-being of any\nindividuals. In such cases the applicant shall be given an opportunity\nto be heard, at a public hearing if requested by the applicant.\n  (f) Operating certificates shall be valid for up to a three-year\nperiod as shall be expressly provided upon such certificate or renewal\nthereof.  No application fee shall be required for an application for\nissuance or renewal of an operating certificate.\n  (g) The commissioner shall specify on each operating certificate the\nkind or kinds of services authorized, any limitations or conditions of\nthe certificate and the expiration date of the certificate.\n  (h) Operating certificates shall not be transferable.\n  (i) In the event that the holder of an operating certificate for a\nresidential facility issued by the commissioner pursuant to this article\nwishes to cease the operation or conduct of any of the activities, as\ndefined in paragraph one or four of subdivision (a) of section 16.03 of\nthis article, for which such certificate has been issued or to cease\noperation of any one or more of facilities for which such certificate\nhas been issued; wishes to transfer ownership, possession or operation\nof the premises and facilities upon which such activities are being\nconducted or to transfer ownership, possession or operation of any one\nor more of the premises or facilities for which such certificate has\nbeen issued; or elects not to apply to the commissioner for\nre-certification upon the expiration of any current period of\ncertification, it shall be the duty of such certificate holder to give\nto the commissioner written notice of such intention not less than sixty\ndays prior to the intended effective date of such transaction. Such\nnotice shall set forth a detailed plan which makes provision for the\nsafe and orderly transfer of each person with a developmental disability\nserved by such certificate holder pursuant to such certificate into a\nprogram of services appropriate to such person's on-going needs and/or\nfor the continuous provision of a lawfully operated program of such\nactivities and services at the premises and facilities to be conveyed by\nthe certificate holder. Such certificate holder shall not cease to\nprovide any such services to any such person with a developmental\ndisability under any of the circumstances described in this section\nuntil the notice and plan required hereby are received, reviewed and\napproved by the commissioner. For the purposes of this paragraph, the\nrequirement of prior notice and continuous provision of programs and\nservices by the certificate holder shall not apply to those situations\nand changes in circumstances directly affecting the certificate holder\nthat are not reasonably foreseeable at the time of occurrence,\nincluding, but not limited to, death or other sudden incapacitating\ndisability or infirmity. Written notice shall be given to the\ncommissioner as soon as reasonably possible thereafter in the manner set\nforth within this subdivision.\n  (j) Notwithstanding any other provision of this chapter, except in the\ncase of family care, the commissioner may issue one operating\ncertificate for two or more facilities in the same program class\noperated by the same person or entity.\n