2023 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, race or ethnicity,
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.