2023 New York Laws › PBH - Public Health › Article 46-B - Assisted Living › Title 2 - Assisted Living › 4653*2 - Licensure Procedures and Requirements for Assisted Living.

* §  4653.  Licensure procedures and requirements for assisted living.
1.   In order to operate  as  assisted  living,  an  operator  shall  be
licensed  as  an adult home or enriched housing program and apply and be
approved for licensure with the commissioner pursuant to  this  article.
The  operator  shall  provide,  on  an application form developed by the
commissioner, the following information to the commissioner in order  to
be licensed:
(a)  business  name,  street  address,  and  mailing  address  of  the
residence and of the owners of the residence;
(b) status of current operating certificate;
(c) verification that the operator has a valid residency agreement  in
compliance  with  this  article  to  be entered into with each resident,
resident's representative and resident's legal representative,  if  any,
and  shall  include  a  copy  of  the  information to be included in the
residency  agreement  and  disclosures  as  required  pursuant  to   the
provisions  of  section  four  thousand  six hundred fifty-eight of this
article, as added by chapter two of the laws of two thousand four,  that
will be given to prospective residents; and
(d)  any  other  information the department may deem necessary for the
evaluation  of  the  application  provided  such  information   is   not
duplicative  of what is otherwise required of the applicant in obtaining
an adult care facility license.
2.  For  existing  licensed  operators  in  good  standing  and  their
affiliates,  the  department  shall  develop  a  streamlined application
review and approval process, in collaboration  with  representatives  of
associations  of  operators,  to  be  available  for  use in relation to
approval of an additional facility of the same type. Notwithstanding any
provision  of  law  or  regulation  to  the  contrary,  the  streamlined
application  review  and  approval  process  shall  include,  but not be
limited to, the following:
(a) a certification process and form for the operator or its affiliate
to attest that it will have sufficient financial resources, revenue  and
financing  to  meet  facility  expenses  and resident needs, which shall
satisfy  the  statutory  and  regulatory  financial  component  of   the
application review and approval process;
(b) a certification process and form for the operator or its affiliate
to  attest that its legal, corporate and organizational documents comply
in substance with  department  requirements,  which  shall  satisfy  the
statutory  and  regulatory legal component of the application review and
approval process;
(c) a certification process and form for the operator or its affiliate
to attest that it is  in  substantial  compliance  with  all  applicable
codes,  rules  and  regulations in any other state in which it operates,
and to disclose any enforcement or administrative action  taken  against
it in any other state;
(d)  issuance  by  the department of a conditional approval to operate
the facility for a specified period of time upon substantial  completion
of  the  character  and  competence,  legal, financial and architectural
components of the application, so long as the operator or its  affiliate
agrees  in  writing  to  satisfy  all  pending  conditions  prior to the
expiration  of  the  conditional  approval  period  or  a   time   frame
established by the department;
(e)  issuance by the department of a conditional approval to construct
a facility,  at  the  operator's  or  its  affiliate's  own  risk,  upon
substantial   completion   of   the   architectural   component  of  the
application;
(f)  elimination  of  duplicative  submission  and   review   of   any
application  information which has been previously reviewed and approved

by the department or any of its regional offices  within  the  past  two
years  through  a certification process and form whereby the operator or
its  affiliate  will  attest  that  such  application   information   is
duplicative;
(g)  with  respect  to  any programmatic application information to be
reviewed by the regional office, such review shall be conducted  on-site
by  the  regional office during the pre-opening inspection or first full
annual  inspection,  if  the  department  has  previously  approved  the
operator or its affiliate to operate the same type of program at another
facility within the past two years;
(h) electronic submission of applications; and
(i)  a  combined  application for licensure as an adult care facility,
assisted living residence and/or assisted living program, to the  extent
the department determines such a combined application is feasible.
2-a.  For  purposes  of  subdivision  two of this section, "affiliate"
shall mean  an  entity,  for  which  a  majority  of  the  ownership  or
controlling  interest  is  the  same  as  the  ownership  or controlling
interest in an existing licensed operator under this  section  (provided
that an affiliate may have different percentages of ownership or control
or  fewer  natural  persons  with  ownership or control than an existing
licensed operator) and, further:
(a) for any entity owned, directly or indirectly, by natural persons:
(i) at all times, more than half of  the  ownership  interest  of  the
entity  shall  be  owned, directly or indirectly, by natural persons who
have  previously  been  determined  to  have  undergone  a  satisfactory
determination of character, competence and standing in the community;
(ii)  at  all  times,  any  owner  with a direct or indirect ownership
interest  who  has  not  undergone  a  satisfactory   determination   of
character,  competence and standing in the community review must possess
a less than ten percent direct or indirect interest in the entity, until
a satisfactory determination has been made; and
(iii) for any natural person proposed to  be  an  owner,  directly  or
indirectly,  of  the  entity  who is a controlling person, as defined in
section four hundred sixty-one-b of the social services  law,  or  is  a
member, director, or officer of an existing licensed operator under this
section,  such  existing licensed operator must be in good standing with
the department; and
(b) for any not-for-profit  corporation  or  other  entity  not  under
paragraph (a) of this subdivision:
(i)  more  than  half  of the entity's total board members, directors,
officers and controlling persons, as defined  in  section  four  hundred
sixty-one-b  of the social services law, shall have previously undergone
a satisfactory determination of character, competence  and  standing  in
the community; and
(ii) if any natural person proposed to be a board member, director, or
officer of the entity has an ownership interest, directly or indirectly,
or  is  a  board  member,  director,  officer, or controlling person, as
defined in section four hundred sixty-one-b of the social services  law,
in  an  existing  licensed  operator  under  this section, such existing
licensed operator must also be in good standing with the department.
2-b. For purposes of subdivision two of this section, "good  standing"
shall  mean  the  operator  and  its affiliate have not (i) received any
official written notice from the department of  a  proposed  revocation,
suspension,  denial  or  limitation  on the operating certificate of the
facility or residence;  (ii)  within  the  previous  three  years,  been
assessed   a  civil  penalty  after  a  hearing  conducted  pursuant  to
subparagraph one of paragraph (b) of subdivision seven of  section  four
hundred  sixty-d of the social services law for a violation that has not

been rectified; (iii) within the previous year,  received  any  official
written  notice  from the department of a proposed assessment of a civil
penalty for a violation described in subparagraph two of  paragraph  (b)
of  subdivision  seven  of  section  four  hundred sixty-d of the social
services law; (iv) within the previous three years, been issued an order
pursuant to subdivision two, five, six, or eight of section four hundred
sixty-d of the social services law; (v) within the previous three years,
been placed on, and if placed on, removed from the department's "do  not
refer  list"  pursuant  to  subdivision  fifteen of section four hundred
sixty-d of the social services law. Provided, however, that in the  case
of  an operator or affiliate that is not in good standing as provided in
this paragraph, the department may permit the operator or  affiliate  to
use  the  streamlined  application  process,  in  its  discretion, if it
determines that the disqualifying violation was an  isolated  occurrence
that was promptly corrected by the operator or affiliate.
* NB There are 2 § 4653's