senate Bill S5628

Signed by Governor Amended

Directs the department of health to develop a streamlined application and review process for adult care facility and assisted living operators who are in good standing

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Bill Status


  • Introduced
  • In Committee
  • On Floor Calendar
    • Passed Senate
    • Passed Assembly
  • Delivered to Governor
  • Signed by Governor
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actions

  • 30 / May / 2013
    • REFERRED TO HEALTH
  • 10 / Jun / 2013
    • 1ST REPORT CAL.1173
  • 11 / Jun / 2013
    • 2ND REPORT CAL.
  • 12 / Jun / 2013
    • AMENDED 5628A
  • 12 / Jun / 2013
    • ADVANCED TO THIRD READING
  • 17 / Jun / 2013
    • PASSED SENATE
  • 17 / Jun / 2013
    • DELIVERED TO ASSEMBLY
  • 17 / Jun / 2013
    • REFERRED TO CODES
  • 20 / Jun / 2013
    • SUBSTITUTED FOR A7835A
  • 20 / Jun / 2013
    • ORDERED TO THIRD READING RULES CAL.557
  • 20 / Jun / 2013
    • PASSED ASSEMBLY
  • 20 / Jun / 2013
    • RETURNED TO SENATE
  • 09 / Oct / 2013
    • DELIVERED TO GOVERNOR
  • 21 / Oct / 2013
    • SIGNED CHAP.414

Summary

Directs the department of health to develop a streamlined application and review process for adult care facility and assisted living operators who are in good standing.

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Bill Details

Versions:
S5628
S5628A
Legislative Cycle:
2013-2014
Law Section:
Social Services Law
Laws Affected:
Amd §461-b, Soc Serv L; amd §4653, Pub Health L

Votes

15
0
15
Aye
0
Nay
2
aye with reservations
0
absent
0
excused
0
abstained
show Health committee vote details

Sponsor Memo

BILL NUMBER:S5628

TITLE OF BILL: An act to amend the social services law and the public
health law, in relation to establishing a streamlined application
process for adult care facility and assisted living residence
operators in good standing

PURPOSE:

To help expedite the review and approval of license applications, the
bill would establish a streamlined application process for existing
licensed adult care facility and assisted living residence operators
in good standing.

SUMMARY OF PROVISIONS:

Section 1 amends Social Services Law § 461-b(2) to require the
Department of Health ("Department") to develop, in collaboration with
representatives of associations of operators, a streamlined
application process for existing licensed adult care facility (ACF)
operators in good standing to be available for use on or before
January 1, 2014. The definition of good standing in this section is
taken nearly verbatim from a comparable provision in Public Health Law
§ 4656(3)(b).

Section 2 makes a conforming change to Public Health Law § 4653 so
that the streamlined application process established in the bill is
also available and applicable to licensed assisted living residence
(ALR) operators in good standing.

Section 3 provides for an immediate effective date.

EXISTING LAW:

Current law and regulation provides one application process - which is
labor-intensive, time-consuming and involves voluminous paperwork -
for all ACF and ALR operators to undergo each time an application to
operate a new facility is submitted.

JUSTIFICATION:

There continues to be industry-wide concern regarding New York's
lengthy licensure process for ACFs and ALRs. This lengthy licensure
process is an impediment to doing business in New York and an
impediment to providing necessary housing and services to an aging
population. Many providers operating in other States are unwilling to
invest in New York because of licensure delays and uncertainties,
while other providers already located here in New York are looking
outside the State for their future investments.

Delays in the application review process are largely attributable to
the following factors: (I) significant volume of application
submissions; (2) Department staffing shortages resulting from
retirements and attrition; (3) volume of documentation that applicants
are required to provide; and (4) application deficiencies due to
confusion regarding substantive requirements.


Over the past few years, the Department has developed a variety of
creative solutions to deal with staffing shortages and help streamline
certain aspects of the licensure process, including: third-party
certification of the architectural component of license applications;

*on-site review of various "Part Two" facility policies (e.g., menus,
activity schedules);
*eliminating duplicative review of information that was previously
reviewed by the Department on another application submitted by the
same operator; and
*"conditional approval" of license applications for a short-term
period, during which time remaining application items must be
completed.

To help further expedite the review and approval of ACF and ALR
license applications, this bill would expand upon these creative
solutions recently developed by the Department and establish a new
streamlined application process for existing licensed ACF and ALR
operators in good standing. The Department would develop this new
streamlined application process, in collaboration with industry
representatives, to be available for use on or before January 1, 2014.
All first-time applicants seeking to operate an ACF or ALR in New York
- as well as any current operator not in good standing - would
continue to use the standard application process.

LEGISLATIVE HISTORY:

New bill.

FISCAL IMPLICATIONS:

None.

EFFECTIVE DATE:

The act shall take effect immediately.

view bill text
                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                  5628

                       2013-2014 Regular Sessions

                            I N  S E N A T E

                              May 30, 2013
                               ___________

Introduced  by  Sen.  HANNON -- read twice and ordered printed, and when
  printed to be committed to the Committee on Health

AN ACT to amend the social services law and the public  health  law,  in
  relation  to  establishing a streamlined application process for adult
  care facility and assisted living residence operators in good standing

  THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section  1. Subdivision 2 of section 461-b of the social services law,
as added by chapter 601 of the laws of 1981, paragraph (c) as  added  by
chapter 848 of the laws of 1992, is amended to read as follows:
  2.  (a)  No adult care facility shall be operated unless and until the
operator obtains the written approval of the department.  Such  approval
may be granted only to an operator who satisfactorily demonstrates: that
the operator is of good moral character; that the operator is financial-
ly  responsible;  that there is a public need for the facility; that the
buildings, equipment,  staff,  standards  of  care  and  records  to  be
employed  in the operation comply with applicable law and regulations of
the department and that any license or permit required by  law  for  the
operation  of such facility has been issued to such operation. In deter-
mining whether there is a public need for the facility,  the  department
shall  give  consideration to the relative concentration of such facili-
ties in the area proposed to be serviced. Such approval for family  type
home  for  adults  shall  not  be  granted unless the appropriate social
services official has made the required visitation  and  inspection  and
has submitted a report thereof to the department in accordance with this
article.
  (b)  FOR  EXISTING LICENSED OPERATORS IN GOOD STANDING, THE DEPARTMENT
SHALL DEVELOP A STREAMLINED APPLICATION REVIEW AND APPROVAL PROCESS,  IN
COLLABORATION  WITH  REPRESENTATIVES OF ASSOCIATIONS OF OPERATORS, TO BE
AVAILABLE FOR USE ON OR BEFORE JANUARY  FIRST,  TWO  THOUSAND  FOURTEEN.
NOTWITHSTANDING  ANY PROVISION OF LAW OR REGULATION TO THE CONTRARY, THE

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD11285-01-3

S. 5628                             2

STREAMLINED APPLICATION REVIEW AND APPROVAL PROCESS SHALL  INCLUDE,  BUT
NOT BE LIMITED TO, THE FOLLOWING:
  (I)  A  CERTIFICATION PROCESS AND FORM FOR THE OPERATOR TO VERIFY THAT
IT WILL HAVE SUFFICIENT FINANCIAL RESOURCES, REVENUE  AND  FINANCING  TO
MEET FACILITY EXPENSES AND RESIDENT NEEDS, WHICH SHALL SATISFY THE STAT-
UTORY  AND  REGULATORY FINANCIAL COMPONENT OF THE APPLICATION REVIEW AND
APPROVAL PROCESS;
  (II) A CERTIFICATION PROCESS AND FORM FOR THE OPERATOR TO VERIFY  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 PROC-
ESS;
  (III) A CERTIFICATION PROCESS AND FORM FOR THE OPERATOR TO VERIFY 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;
  (IV) 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 AGREES IN WRITING
TO  SATISFY ALL PENDING CONDITIONS PRIOR TO THE EXPIRATION OF THE CONDI-
TIONAL APPROVAL PERIOD OR A TIME FRAME ESTABLISHED BY THE DEPARTMENT;
  (V) ISSUANCE BY THE DEPARTMENT OF A CONDITIONAL APPROVAL TO  CONSTRUCT
A  FACILITY,  AT THE OPERATOR'S OWN RISK, UPON SUBSTANTIAL COMPLETION OF
THE ARCHITECTURAL COMPONENT OF THE APPLICATION;
  (VI) ELIMINATION OF DUPLICATIVE SUBMISSION AND REVIEW OF ANY  APPLICA-
TION  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 WILL VERI-
FY THAT SUCH APPLICATION INFORMATION IS DUPLICATIVE;
  (VII)  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  OPERA-
TOR  TO  OPERATE THE SAME TYPE OF PROGRAM AT ANOTHER FACILITY WITHIN THE
PAST TWO YEARS;
  (VIII) ELECTRONIC SUBMISSION OF APPLICATIONS; AND
  (IX) 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.
  FOR PURPOSES OF THIS PARAGRAPH, "GOOD STANDING" SHALL MEAN THE  OPERA-
TOR HAS NOT (A) RECEIVED ANY OFFICIAL WRITTEN NOTICE FROM THE DEPARTMENT
OF  A PROPOSED REVOCATION, SUSPENSION, DENIAL OR LIMITATION ON THE OPER-
ATING CERTIFICATE OF THE FACILITY OR RESIDENCE; (B) 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 THIS ARTICLE FOR A VIOLATION THAT HAS
NOT BEEN RECTIFIED; (C) 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 THIS ARTICLE;
(D) WITHIN THE PREVIOUS THREE YEARS, BEEN ISSUED AN  ORDER  PURSUANT  TO
SUBDIVISION  TWO,  FIVE, SIX OR EIGHT OF SECTION FOUR HUNDRED SIXTY-D OF
THIS ARTICLE; (E) WITHIN THE PREVIOUS THREE YEARS, BEEN PLACED  ON,  AND
IF PLACED ON, REMOVED FROM THE DEPARTMENT'S "DO NOT REFER LIST" PURSUANT

S. 5628                             3

TO  SUBDIVISION FIFTEEN OF SECTION FOUR HUNDRED SIXTY-D OF THIS ARTICLE.
PROVIDED, HOWEVER, THAT IN THE CASE OF AN OPERATOR THAT IS NOT  IN  GOOD
STANDING  AS  PROVIDED  IN THIS PARAGRAPH, THE DEPARTMENT MAY PERMIT THE
OPERATOR  TO USE THE STREAMLINED APPLICATION PROCESS, IN ITS DISCRETION,
IF IT DETERMINES THAT THE DISQUALIFYING VIOLATION WAS AN ISOLATED OCCUR-
RENCE THAT WAS PROMPTLY CORRECTED BY THE OPERATOR;
  (C) After an operator obtains approval of the department for the oper-
ation of an adult care facility he may operate  such  facility  only  so
long  as  he  continues  to do so in compliance with the requirements of
such approval, applicable law, and the regulations of the department.
  [(c)] (D) The knowing operation of an adult care facility without  the
prior written approval of the department shall be a class A misdemeanor.
  S  2.  Section 4653 of the public health law, as added by chapter 2 of
the laws of 2004, is amended to read as follows:
  S 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:
  [1.] (A) business name, street address, and  mailing  address  of  the
residence and of the owners of the residence;
  [2.] (B) status of current operating certificate;
  [3.]  (C)  verification that the operator has a valid residency agree-
ment in compliance with this article to be entered into with each  resi-
dent,  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
  [4.] (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, THE DEPARTMENT
SHALL DEVELOP A STREAMLINED APPLICATION REVIEW AND APPROVAL PROCESS,  IN
COLLABORATION  WITH  REPRESENTATIVES OF ASSOCIATIONS OF OPERATORS, TO BE
AVAILABLE FOR USE ON OR BEFORE JANUARY  FIRST,  TWO  THOUSAND  FOURTEEN.
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 TO VERIFY THAT
IT WILL HAVE SUFFICIENT FINANCIAL RESOURCES, REVENUE  AND  FINANCING  TO
MEET FACILITY EXPENSES AND RESIDENT NEEDS, WHICH SHALL SATISFY THE STAT-
UTORY  AND  REGULATORY FINANCIAL COMPONENT OF THE APPLICATION REVIEW AND
APPROVAL PROCESS;
  (B) A CERTIFICATION PROCESS AND FORM FOR THE OPERATOR TO  VERIFY  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 PROC-
ESS;
  (C) A CERTIFICATION PROCESS AND FORM FOR THE OPERATOR TO  VERIFY  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

S. 5628                             4

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 AGREES IN WRITING
TO SATISFY ALL PENDING CONDITIONS PRIOR TO THE EXPIRATION OF THE  CONDI-
TIONAL 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 OWN RISK, UPON SUBSTANTIAL  COMPLETION  OF
THE ARCHITECTURAL COMPONENT OF THE APPLICATION;
  (F)  ELIMINATION  OF DUPLICATIVE SUBMISSION AND REVIEW OF ANY APPLICA-
TION 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 WILL VERI-
FY 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 OPERA-
TOR 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.
  FOR PURPOSES OF THIS SUBDIVISION, "GOOD STANDING" SHALL MEAN THE OPER-
ATOR  HAS  NOT (I) RECEIVED ANY OFFICIAL WRITTEN NOTICE FROM THE DEPART-
MENT 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 SUBDIVI-
SION FIFTEEN OF SECTION FOUR HUNDRED SIXTY-D OF THE SOCIAL SERVICES LAW.
PROVIDED, HOWEVER, THAT IN THE CASE OF AN OPERATOR THAT IS NOT  IN  GOOD
STANDING  AS  PROVIDED  IN THIS PARAGRAPH, THE DEPARTMENT MAY PERMIT THE
OPERATOR TO USE THE STREAMLINED APPLICATION PROCESS, IN ITS  DISCRETION,
IF IT DETERMINES THAT THE DISQUALIFYING VIOLATION WAS AN ISOLATED OCCUR-
RENCE THAT WAS PROMPTLY CORRECTED BY THE OPERATOR.
  S 3. This act shall take effect immediately; provided that the depart-
ment  of  health  is authorized and directed to promulgate, amend and/or
repeal, on an emergency basis, any rules and  regulations  necessary  to
implement the provisions of this act.

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