NY Soc Serv L § 461-E (2021)
2021 New York Laws SOS - Social Services Article 7 - Residential Care Programs for Adults and Children Title 2 - Residential Programs for Adults 461-E - Records and Reports.

§  461-e.  Records  and  reports.  1.  Every adult care facility shall maintain, as public information available for  public  inspection  under such  conditions  as  the department shall prescribe, records containing copies of the most recent inspection report pertaining to  the  facility that has been issued by the department or social services district or to the facility.   2.  Pursuant  to  the provisions of article six of the public officers law, the department shall make available for public inspection copies of all  inspection  reports  of  adult  care  facilities  issued   by   the department.   3. Every adult care facility shall:  (a)  Post  in  a  prominent  position  in  the  facility  so  as to be accessible to all residents and to the general public, a summary of  the most recent inspection of such facility performed by the department or a social services district.  (b)  Provide  to  any  resident  and  each  applicant for admission an opportunity to review the most recent inspection  report  pertaining  to and  issued  by  the  department  or  social  services  district to such facility.   4. (a) Each adult home and residence for adults except those  operated by  a  social services district shall file an annual financial statement with the department on or before the fifteenth day of the sixth calendar month after the close of the  facility's  fiscal  year  for  which  such report is due, upon forms prescribed by the department and in compliance with the regulations of the department. Such statement shall clearly set forth  all  financial  information  pertaining  to the operation of such facility in accordance with generally  accepted  accounting  principles, including but not limited to the following:  (i) revenues and expenses by categories during such fiscal year.  (ii)  a  balance  sheet  of  the facility as of the end of such fiscal year, setting forth assets and liabilities at such date,  including  all capital, surplus, reserve, depreciation and similar accounts.  (iii)  a statement of operations of the facility for such fiscal year, setting forth all revenues, expenses,  taxes,  extraordinary  items  and other credits or charges.  (iv) the name and address of each of the following persons:  (1) the operator of the facility;  (2)  any  person  who,  directly  or indirectly, beneficially owns any interest in the land on which the facility is located;  (3) any person who, directly  or  indirectly,  beneficially  owns  any interest in the building in which the facility is located;  (4)  any  person  who,  directly  or indirectly, beneficially owns any interest in any mortgage,  note,  deed  of  trust  or  other  obligation secured  in  whole  or in part by the land on which or building in which the facility is located; and  (5) any person who, directly or indirectly, has any interest as lessor or lessee in any lease or sub-lease of the land on which or the building in which the facility is located.  (v) if the facility or any person named in  response  to  subparagraph (iv)  of this paragraph is a partnership, then the name and home address of each partner.  (vi) if the facility or any person named in response  to  subparagraph (iv)  of this paragraph is a corporation, other than a corporation whose shares are traded on a national securities  exchange  or  are  regularly quoted  in  an  over-the-counter  market  or which is a commercial bank, savings bank or savings and loan association, then the name and  address of   each   officer,   director,  and  each  principal  stockholder  and controlling person of such corporation.  (vii) if any corporation named in response  to  subparagraph  (iv)  of this  paragraph  is  a corporation whose shares are traded on a national securities exchange or  are  regularly  quoted  in  an  over-the-counter market  or  which is a commercial bank, savings bank or savings and loan association,  then  the  name  and  address  of  the principal executive officers and each director and, if known, each principal stockholder  of such corporation.  (viii)  if  the facility paid or received an aggregate of five hundred dollars or more during the fiscal year in connection  with  transactions with  any  person  named  in response to subparagraph (iv), (v), (vi) or (vii) of this paragraph or any affiliate of said person,  a  description of  the  transactions,  naming  the  parties  thereto and describing the relationships which require the transactions to  be  described  and  the goods,  services, payments or other consideration received by each party to  the  transactions.    Such  facility  must  make  available  to  the department,  when requested, adequate documentation to support the costs involved  including  access  to  books  and  records  related  to   such transactions.  (ix)  if  known,  the  nature  and  amount  of  any  interest  in,  or relationship with, any other adult care facility,  held  by  any  person named  in  response  to  subparagraph  (iv) of this paragraph, or by any affiliate of such person.  (x) the following definitions shall be applicable  to  this  paragraph and to any reports filed pursuant to this paragraph:  (1) "affiliate" means:  (A) with respect to a partnership, each partner thereof;  (B)  with  respect to a corporation, each officer, director, principal stockholder and controlling person thereof;  (C) with respect to a natural person (a) each member of said  person's immediate family, (b) each partnership and each partner thereof of which said  person  or any affiliate of said person is a partner, and (c) each corporation in which said person or any affiliate of said person  is  an officer, director, principal stockholder or controlling person;  (2)  "controlling  person"  of  any  corporation, partnership or other entity means any person who has the power, directly  or  indirectly,  to significantly  influence  or  direct  the  actions  or  policies of such facility. Neither the department nor  any  employee  of  the  department shall,  by  reason  of  his  or  her  official  position,  be  deemed  a controlling person of any corporation, partnership or other entity;  (3) "immediate family" of any  person  includes  each  parent,  child, spouse,  brother,  sister,  first  cousin, aunt and uncle of such person whether such  relationship  arises  by  reason  of  birth,  marriage  or adoption;  (4)  "principal  stockholder"  of  a  corporation means any person who beneficially owns, holds or has the power to vote, ten percent  or  more of any class of securities issued by said corporation.  (xi)  together  with  such other information as may be required by the department.   Such statement shall  be  accompanied  by  an  opinion  signed  by  an independent licensed accountant that such financial statement represents the  financial  operations  and  position  of  the facility, except such opinion shall not be required for facilities with a capacity of nine  or less.  (b) The department shall accept in full satisfaction of the provisions of  this  subdivision  from  operators of adult homes and residences for adults who are required to submit  an  annual  report  as  a  charitable organization  to  the secretary of state of the state of New York or are required to submit to the commissioner of the New York state  department  of  health  an  annual  report  of residential health care facilities, a certified copy of such report and upon request from  the  department  an uncertified  copy  of  the financial statement required to be filed with the department pursuant to the provisions of this subdivision.  (c) The department may examine the books and records of any adult home or  residence  for  adults  to  determine  the  accuracy  of  the annual financial statement or for any other reason deemed  appropriate  by  the department to effectuate the purposes of this section.  (d)  The  department shall perform on a selected sample of adult homes and residences for adults, a financial audit as part of  the  inspection procedure.  (e) Each enriched housing program shall file financial statements with the  department  on  at  least  an  annual  basis,  in  accordance  with regulations.   5. The department may promulgate regulations which require each  adult care  facility  to  maintain the following written records and any other such records, under such  conditions  and  for  such  time,  as  may  be prescribed  pursuant  to such regulations: (i) a chronological admission and discharge register consisting of a listing of  residents  registered in  and discharged from such facility by name, age, sex of resident, and place from or to which the resident is registered or discharged, (ii)  a daily  census  record,  (iii)  a  personal  non-medical  record for each resident, including but not limited to, identification  of  his  or  her next-of-kin,  family  and sponsor, the name and address of the person or persons to be contacted in the event of an emergency, and all details of the referral and registration and non-medical correspondence and  papers concerning  the  resident,  (iv)  a  financial record for each resident, including but not limited to, copies of all agreements, resident account records and a current inventory of personal property being held  by  the operator.   6.  No  facts  and information retained as part of individual resident records by an operator of an adult care  facility  may  be  released  to anyone other than the resident, the resident's next-of-kin or authorized representative  of  the resident, the operator, his employees or agents, or an employee  or  designee  of  the  department  without  the  written permission of the resident.   7.  Nothing  contained in this section shall be construed or deemed to require the public disclosure of confidential medical, social,  personal or  financial  records  of any resident. The department shall adopt such regulations as may be necessary to give effect to the provisions of this section and to preserve the confidentiality of medical, social, personal or financial records of residents.   8. Nothing contained in this section shall be construed or  deemed  to require  the  disclosure of the names and addresses or other information that would identify or tend to identify persons who file complaints with the department concerning the operation of adult care  facilities.  This shall  apply  to all complaints, regardless of whether the department is able to substantiate the complaint. Such information shall be deemed  to be  confidential and shall only be made available to a district attorney or police officer conducting a  criminal  investigation  or  prosecution relating  to an adult care facility and only upon the written request of the investigating officer or district attorney; or to a court or to  the presiding  officer  of  an  administrative proceeding and the parties to such proceeding if, with the  consent  of  the  persons  providing  such information,  it  is to be utilized by the department or any other state or local agency or subdivision in such proceeding.   If a party  is  not provided  with  the  identity  of  a  person  providing  information  in accordance with the provisions of  this  section,  the  fact  that  such  confidential report was made shall in no way be relied upon by any court or  presiding  officer  of an administrative proceeding in the course of reaching a determination  in  such  proceeding.  The  department  shall, consistent  with  the provisions of this section, adopt such regulations as may be necessary to preserve the confidentiality  of  persons  making such complaints.