NY State Senate Bill 2011-S5389

Archive: Last Bill Status - In Senate Committee Aging Committee

Introduced
- In Committee Assembly
- In Committee Senate
- On Floor Calendar Assembly
- On Floor Calendar Senate
- Passed Assembly
- Passed Senate
Delivered to Governor
Signed By Governor

Please enter your contact information

First Name

Last Name

Email Address

A valid email address is required.

Home address is used to determine the senate district in which you reside. Your support or opposition to this bill is then shared immediately with the senator who represents you.

Optional services from the NY State Senate:

Create an account. An account allows you to officially support or oppose key legislation, sign petitions with a single click, and follow issues, committees, and bills that matter to you. When you create an account, you agree to this platform's terms of participation.

Include a custom message for your Senator? (Optional)

Enter a message to your senator. Many New Yorkers use this to share the reasoning behind their support or opposition to the bill. Others might share a personal anecdote about how the bill would affect them or people they care about.

Actions

View Actions

Date of Action	Assembly Actions - Lowercase Senate Actions - UPPERCASE
Jan 05, 2012	print number 5389a
Jan 05, 2012	amend and recommit to aging
Jan 04, 2012	referred to aging
May 16, 2011	referred to aging

Bill Amendments

Original

A (Active)

2011-S5389 - Details

Current Committee:: Senate Aging
Law Section:: Elder Law
Laws Affected:: Amd §202, add §219-a, Eld L; add §99-u, St Fin L; add Art 5 Title 13 §370-aa, Soc Serv L

2011-S5389 - Summary

Relates to the financial exploitation of the elderly.

2011-S5389 - Sponsor Memo

                                BILL NUMBER:S5389

TITLE OF BILL:
An act
to amend the elder law, in relation to financial exploitation of the
elderly; to amend the state finance law, in relation to creating the
financial exploitation outreach, education and training fund;
to amend the social services law, in relation to protection of the
elderly against financial exploitation;
and to repeal title 13 of article 5
of such law relating to state heating fuel crisis assistance

PURPOSE:
To protect the elderly from financial exploitation through educational
programs and to require certain persons or officials in their
professional capacity to report suspected elder financial abuse.

SUMMARY OF PROVISIONS:
Section 1 -- Amends section 202 of the Elder Law and changes the
duties of the New York State Office for the Aging to include the
administration of programs on financial elder abuse.

Section 2 -- Adds a new section 219-a to the Elder Law and creates the
Financial Exploitation, Outreach, Education and Training Program to
be administered by the New York State Office for the Aging. Section
219-a also creates an advisory committee for the program.

Section 3 -- Adds a section 99-u to the State Finance Law. Creates a fun
to provide monies to the Financial Exploitation, Outreach, Education
and Training Program.

Section 4 -- Repeals title 13 of article 5 of the social services law,
and adds a new title which makes it mandatory that certain persons
and officials report when they have reasonable cause to suspect that
a person aged sixty-two or older coming before them in their
professional or official capacity is a victim of financial
exploitation in violation of the penal law. The persons and officials
required to make such a report include the following: medical,
dental, podiatric and mental health professionals; hospital or nursing
home personnel engaged in the admission, examination, care or
treatment of patients; social workers, counselors and social service
workers; police officers and other law enforcement officials;
district attorneys, assistant district attorneys and investigators
employed by their offices; lawyers; accountants; tax preparers; and
certain banking institutions.

Reports shall be made to the local social services official of the
district in which the reporting person gains knowledge of the illegal
activity or in which the elderly person resides. The commissioner of
children and family services shall promulgate rules providing for the
conduct of investigations of reports made pursuant to this section
and for the implementation of measures to protect victims against
such financial exploitation when it is found.

It would allow for any person aged sixty-two or over or his or her
estate to have a cause of action for damages against any person other


than banking institutions defined in section nine-f of the banking
law and their affiliates who fails to make a report required by
subdivision one of this section.

That any institution, facility, or agency, other than the alleged
perpetrator, participating in good faith in making of a report of an
alleged incident of suspected adult abuse, neglect or exploitation
shall have immunity from any liability, civil or criminal penalties.

Section 5 - Establishes the effective date.

JUSTIFICATION:
Elderly Americans are often the victims of financial abuse. This abuse
can come in many different forms, but some common forms of elder
financial abuse are forging an elderly person's signature, coercing
an elderly person into signing a deed, will or power-of-attorney form,
or using an elderly person's property or possessions without their
permission. Perpetrators of elderly financial abuse are often
unethical businessmen, unscrupulous individuals posing as financial
advisors, or even members of an elderly person's family.

The elderly are often an attractive target because elderly Americans
control over 70% of the nation's wealth. Many seniors do not realize
the value of their assets and don't know what action they can take
when they are the victims of a financial abuse.

This legislation will ensure that elderly New Yorkers receive the
education and training they need to protect them from financial abuse.

Certain persons or officials in their professional or official
capacity, who have reason to suspect an elderly person has been a
victim of financial exploitation, will also be required to report
these acts.

LEGISLATIVE HISTORY:
Similar to S.3127 (2008)
Similar to S.6297 (2005-2006)

FISCAL IMPLICATIONS:
Undetermined.

EFFECTIVE DATE:
One hundred and twentieth day after it shall become law.

2011-S5389 - Bill Text download pdf

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

                                  5389

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                              May 16, 2011
                               ___________

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

AN ACT to amend the elder law, in relation to financial exploitation  of
  the  elderly;  to amend the state finance law, in relation to creating
  the financial exploitation outreach, education and training  fund;  to
  amend the social services law, in relation to protection of the elder-
  ly against financial exploitation; and to repeal title 13 of article 5
  of such law relating to state heating fuel crisis assistance

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

  Section 1. Section 202 of the elder law is amended  by  adding  a  new
subdivision 15 to read as follows:
  15.  TO CONDUCT AN OUTREACH, EDUCATION AND TRAINING PROGRAM FOR FINAN-
CIAL INSTITUTIONS AS DEFINED IN SUBDIVISION SIX OF SECTION 470.00 OF THE
PENAL LAW.
  S 2. The elder law is amended by adding a new section 219-a to read as
follows:
  S 219-A. FINANCIAL  EXPLOITATION,  OUTREACH,  EDUCATION  AND  TRAINING
PROGRAM.  1.  DEFINITIONS.  FOR  THE  PURPOSES OF THIS SECTION, THE TERM
"DESIGNATED AGENCY" SHALL HAVE THE MEANING ASCRIBED TO IT UNDER  SECTION
TWO  HUNDRED  FOURTEEN  OF  THIS TITLE AND "FINANCIAL INSTITUTION" SHALL
HAVE THE MEANING ASCRIBED TO IT IN SUBDIVISION SIX OF SECTION 470.00  OF
THE PENAL LAW.
  2.  THE  DIRECTOR, WITHIN THE AMOUNTS APPROPRIATED THEREFOR, SHALL, IN
CONJUNCTION WITH THE OFFICE OF CHILDREN  AND  FAMILY  SERVICES  AND  THE
DEPARTMENT  OF  FINANCIAL  SERVICES,  ESTABLISH A FINANCIAL EXPLOITATION
OUTREACH, EDUCATION AND TRAINING PROGRAM,  HEREINAFTER  REFERRED  TO  AS
"THE  PROGRAM"  FOR  THE PURPOSE OF PROVIDING AN EDUCATION, OUTREACH AND
TRAINING PROGRAM TO FINANCIAL INSTITUTIONS, TO CERTIFIED PUBLIC ACCOUNT-
ANTS LICENSED IN THIS STATE, TO ANY PREPARER OF TAXES OPERATING IN  THIS
STATE  AND  TO  ATTORNEYS LICENSED IN THIS STATE. THE PROGRAM SHALL BE A

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD11539-01-1

S. 5389                             2

VOLUNTARY PROGRAM. THE DIRECTOR, IN CONJUNCTION WITH THE OFFICE OF CHIL-
DREN AND FAMILY SERVICES AND THE DEPARTMENT OF FINANCIAL SERVICES, SHALL
COORDINATE ACTIVITIES TO IDENTIFY AND PROVIDE  TRAINING  TO  THE  INSTI-
TUTIONS AND INDIVIDUALS DESCRIBED IN THIS SECTION.
  3. (A) AS PART OF THE PROGRAM, THE DIRECTOR MAY AWARD GRANTS TO QUALI-
FIED   DESIGNATED  AGENCIES  TO  ESTABLISH  LOCAL  ELDERLY  EXPLOITATION
OUTREACH, EDUCATION AND TRAINING PROGRAMS. QUALIFIED DESIGNATED AGENCIES
SHALL WORK COLLABORATIVELY WITH SUCH INSTITUTIONS AND  INDIVIDUALS,  AND
THEIR REPRESENTATIVE ASSOCIATIONS.
  (B) IN MAKING SUCH GRANTS, THE DIRECTOR SHALL CONSIDER:
  (1) THE MANNER IN WHICH THE DESIGNATED AGENCY PROPOSES TO PROVIDE SUCH
EDUCATION, OUTREACH AND TRAINING;
  (2)  THE  CAPACITY OF THE DESIGNATED AGENCY TO COORDINATE ITS SERVICES
WITH BANKING, HUMAN SERVICE AND  LAW  ENFORCEMENT  AND  PUBLIC  AGENCIES
WHICH PROVIDE SERVICES OR ASSISTANCE TO THE ELDERLY, INCLUDING THE LOCAL
DEPARTMENT OF SOCIAL SERVICES ADULT PROTECTIVE SERVICES UNIT; AND
  (3) ANY OTHER CRITERIA DETERMINED BY THE DIRECTOR TO BE APPROPRIATE.
  4.  THE PROGRAM SHALL, AT A MINIMUM, CONSIST OF THE FOLLOWING ELEMENTS
WHICH SHALL BE PROVIDED BY THE OFFICE:
  (A) EDUCATIONAL AND INFORMATIONAL MATERIALS IN PRINT,  AUDIO,  VISUAL,
ELECTRONIC OR OTHER MEDIA;
  (B)  PUBLIC  SERVICE  ANNOUNCEMENTS,  ADVERTISEMENTS, MEDIA CAMPAIGNS,
WORKSHOPS, MASS MAILINGS, CONFERENCES OR PRESENTATIONS; AND
  (C) INSTRUCTIONS ON HOW TO REPORT  KNOWN  OR  SUSPECTED  INCIDENTS  OF
FINANCIAL  EXPLOITATION  OF THE ELDERLY, INCLUDING THE APPROPRIATE TELE-
PHONE NUMBERS TO CALL AND THE TYPES OF INFORMATION THAT WOULD ASSIST THE
OFFICE WITH ITS INVESTIGATION OF SUCH REPORTS.
  5. THE DIRECTOR SHALL CONVENE AN ADVISORY  COMMITTEE  MADE  UP  OF  AT
LEAST  TEN,  BUT  NO MORE THAN TWENTY MEMBERS TO ADVISE THE DIRECTOR AND
MAKE RECOMMENDATIONS ON THE ASPECTS OF DEVELOPING AND  IMPLEMENTING  THE
PROGRAM.  MEMBERS  OF  THE  ADVISORY COMMITTEE SHALL INCLUDE, BUT NOT BE
LIMITED TO: AT LEAST THREE REPRESENTATIVES FROM STATEWIDE SENIOR ADVOCA-
CY ORGANIZATIONS, AT LEAST ONE ATTORNEY WHOSE PRACTICE  CONCENTRATES  IN
ELDER  LAW OR AN INDIVIDUAL ACTING ON BEHALF OF THE ELDER LAW SECTION OF
THE NEW YORK STATE BAR ASSOCIATION, AT LEAST ONE BANKER OR  A  REPRESEN-
TATIVE  OF  AN  ASSOCIATION REPRESENTING BANKERS, AT LEAST ONE CERTIFIED
PUBLIC ACCOUNTANT OR A REPRESENTATIVE  OF  AN  ASSOCIATION  REPRESENTING
CERTIFIED  PUBLIC ACCOUNTANTS, AT LEAST TWO MEMBERS REPRESENTING PROTEC-
TIVE SERVICE AGENCIES FOR ADULTS,  AND  AT  LEAST  TWO  LAW  ENFORCEMENT
REPRESENTATIVES.
  S  3. The state finance law is amended by adding a new section 99-u to
read as follows:
  S 99-U. FINANCIAL EXPLOITATION, OUTREACH, EDUCATION AND TRAINING FUND.
1. THERE IS HEREBY ESTABLISHED IN THE JOINT CUSTODY OF  THE  COMPTROLLER
AND  THE  SUPERINTENDENT OF FINANCIAL SERVICES A SPECIAL REVENUE FUND TO
BE KNOWN AS THE FINANCIAL EXPLOITATION, OUTREACH, EDUCATION AND TRAINING
FUND.
  2. THE FINANCIAL EXPLOITATION, OUTREACH, EDUCATION AND  TRAINING  FUND
SHALL  CONSIST  OF ALL MONEYS, APPROPRIATED THERETO, AND ALL OTHER FEES,
FINES, GRANTS, BEQUESTS OR OTHER MONIES CREDITED OR TRANSFERRED  THERETO
FROM ANY OTHER FUND OR SOURCE.
  3.  THE  MONEYS OF THE FINANCIAL EXPLOITATION, OUTREACH, EDUCATION AND
TRAINING FUND SHALL BE DISBURSED BY THE COMPTROLLER TO THE STATE  OFFICE
FOR THE AGING FOR THE PURPOSE OF CARRYING OUT THE PROVISIONS OF SECTIONS
TWO HUNDRED NINETEEN AND TWO HUNDRED NINETEEN-A OF THE ELDER LAW.

S. 5389                             3

  S  4. Title 13 of article 5 of the social services law is REPEALED and
a new title 13 is added to read as follows:
                                TITLE 13
            MANDATORY REPORTING OF FINANCIAL EXPLOITATION OF
                               THE ELDERLY
SECTION 370-AA. MANDATORY  REPORTING  OF  FINANCIAL  EXPLOITATION OF THE
                  ELDERLY.
  S 370-AA.  MANDATORY REPORTING OF FINANCIAL EXPLOITATION OF THE ELDER-
LY. 1. THE FOLLOWING PERSONS AND OFFICIALS ARE  REQUIRED  TO  REPORT  OR
CAUSE A REPORT TO BE MADE IN ACCORDANCE WITH THIS SECTION WHEN THEY HAVE
REASONABLE  CAUSE TO SUSPECT THAT A PERSON AGED SIXTY-TWO YEARS OR OLDER
COMING BEFORE THEM IN THEIR  PROFESSIONAL  OR  OFFICIAL  CAPACITY  IS  A
VICTIM  OF  FINANCIAL  EXPLOITATION  IN  VIOLATION OF THE PENAL LAW: ANY
PHYSICIAN; REGISTERED PHYSICIAN ASSISTANT;  SURGEON;  MEDICAL  EXAMINER;
CORONER;  DENTIST;  DENTAL HYGIENIST; OSTEOPATH; OPTOMETRIST; CHIROPRAC-
TOR;  PODIATRIST;  RESIDENT;  INTERN;  PSYCHOLOGIST;  REGISTERED  NURSE;
HOSPITAL  OR  NURSING  HOME PERSONNEL ENGAGED IN THE ADMISSION, EXAMINA-
TION, CARE, OR TREATMENT OF  PERSONS;  SOCIAL  SERVICES  WORKER;  SOCIAL
WORKER;  MENTAL HEALTH PROFESSIONAL; SUBSTANCE ABUSE COUNSELOR; ALCOHOL-
ISM COUNSELOR; PEACE  OFFICER;  POLICE  OFFICER;  DISTRICT  ATTORNEY  OR
ASSISTANT  DISTRICT  ATTORNEY;  INVESTIGATOR EMPLOYED IN THE OFFICE OF A
DISTRICT ATTORNEY; OR OTHER LAW  ENFORCEMENT  OFFICIAL;  LAWYER;  PUBLIC
ACCOUNTANT  OR CERTIFIED PUBLIC ACCOUNTANT; INCOME TAX PREPARER (WHETHER
PAID OR UNPAID); OR OFFICER OF A  BANKING  INSTITUTION,  AS  DEFINED  IN
SECTION  NINE-F  OF THE BANKING LAW. WHENEVER SUCH PERSON IS REQUIRED TO
REPORT UNDER THIS SECTION IN HIS OR HER CAPACITY  AS  A  MEMBER  OF  THE
STAFF  OF A MEDICAL OR OTHER PUBLIC OR PRIVATE INSTITUTION, FACILITY, OR
AGENCY, HE OR SHE SHALL IMMEDIATELY NOTIFY THE PERSON IN CHARGE OF  SUCH
INSTITUTION,  FACILITY,  OR  AGENCY, OR HIS OR HER DESIGNATED AGENT, WHO
THEN ALSO SHALL BECOME RESPONSIBLE TO REPORT  OR  CAUSE  REPORTS  TO  BE
MADE.  HOWEVER, NOTHING IN THIS SECTION IS INTENDED TO REQUIRE MORE THAN
ONE REPORT FROM ANY SUCH INSTITUTION, FACILITY, OR AGENCY.
  2. (A) THE REPORTS REQUIRED TO BE MADE  BY  SUBDIVISION  ONE  OF  THIS
SECTION  SHALL  BE  MADE  TO  THE  LOCAL SOCIAL SERVICES OFFICIAL OF THE
SOCIAL SERVICES DISTRICT IN WHICH THE REPORTING PERSON  GAINS  KNOWLEDGE
OF THE ILLEGAL ACTIVITY OR IN WHICH THE ELDERLY PERSON RESIDES.
  (B)  UPON  THE RECEIPT OF SUCH A REPORT, SUCH SOCIAL SERVICES OFFICIAL
SHALL INVESTIGATE SUCH REPORT AND TAKE SUCH ACTION AS MAY  BE  WARRANTED
PURSUANT  TO  THE  RULES  OF  THE  COMMISSIONER  OF  CHILDREN AND FAMILY
SERVICES PROMULGATED THEREFOR.
  (C) THE COMMISSIONER OF CHILDREN AND FAMILY SERVICES SHALL  PROMULGATE
RULES PROVIDING FOR THE CONDUCT OF INVESTIGATIONS OF REPORTS MADE PURSU-
ANT  TO  THIS  SECTION AND FOR THE IMPLEMENTATION OF MEASURES TO PROTECT
PERSONS AGED SIXTY-TWO YEARS OR OLDER AGAINST SUCH  FINANCIAL  EXPLOITA-
TION  WHEN IT IS FOUND. SUCH RULES SHALL INCLUDE, BUT NOT BE LIMITED TO,
NOTIFYING THE APPROPRIATE DISTRICT ATTORNEY, THE  ATTORNEY  GENERAL,  OR
OTHER  APPROPRIATE LAW ENFORCEMENT OFFICIAL OF ILLEGAL CONDUCT AND NOTI-
FYING THE NON-IMPLICATED NEXT OF KIN, ATTORNEY-IN-FACT, OR  GUARDIAN  OF
THE PERSON AND/OR PROPERTY OF THE ELDERLY PERSON.
  3. ANY PERSON AGED SIXTY-TWO OR OVER OR HIS OR HER ESTATE SHALL HAVE A
CAUSE OF ACTION FOR DAMAGES AGAINST ANY PERSON OTHER THAN BANKING INSTI-
TUTIONS  AS  DEFINED  IN  SECTION  NINE-F  OF THE BANKING LAW, AND THEIR
AFFILIATES WHO FAILS TO MAKE A REPORT REQUIRED  BY  SUBDIVISION  ONE  OF
THIS SECTION.
  4.  ANY INSTITUTION, FACILITY, OR AGENCY, OTHER THAN AN ALLEGED PERPE-
TRATOR, PARTICIPATING IN GOOD FAITH IN THE MAKING  OF  A  REPORT  OF  AN

S. 5389                             4

ALLEGED  INCIDENT  OF  ADULT  ABUSE,  NEGLECT OR EXPLOITATION, PROVIDING
INFORMATION RELATIVE TO SUCH INCIDENT OR FOLLOWING A REPORTING  PROTOCOL
DEVELOPED JOINTLY WITH THE DEPARTMENT, OR WHO IN GOOD FAITH INVESTIGATES
THE  REPORT, ADMINISTERS THE REGISTRY, OR WHO PARTICIPATES IN A JUDICIAL
OR ADMINISTRATIVE PROCEEDING RESULTING  FROM  THAT  REPORT,  SHALL  HAVE
IMMUNITY  FROM ANY LIABILITY, CIVIL OR CRIMINAL, THAT MIGHT OTHERWISE BE
INCURRED OR IMPOSED.
  5. ANY PERSON OR AGENCY PROVIDING INFORMATION IN GOOD FAITH, INCLUDING
MATERIALS REQUESTED BY THE COMMISSIONER PURSUANT TO  THIS  TITLE,  SHALL
HAVE  THE  SAME  IMMUNITY  WITH RESPECT TO PARTICIPATION IN ANY INVESTI-
GATION BY THE COMMISSIONER OR HIS OR HER AUTHORIZED REPRESENTATIVE OR IN
ANY JUDICIAL PROCEEDING RESULTING FROM SUCH REPORT.
  S 5. This act shall take effect on the one hundred twentieth day after
it shall have become a law.

2011-S5389A (ACTIVE) - Details

Current Committee:: Senate Aging
Law Section:: Elder Law
Laws Affected:: Amd §202, add §219-a, Eld L; add §99-u, St Fin L; add Art 5 Title 13 §370-aa, Soc Serv L

2011-S5389A (ACTIVE) - Summary

Relates to the financial exploitation of the elderly.

2011-S5389A (ACTIVE) - Sponsor Memo

                                BILL NUMBER:S5389A

TITLE OF BILL:
An act
to amend the elder law, in relation to financial exploitation of the
elderly; to amend the state finance law, in relation to creating the
financial exploitation outreach, education and training fund;
to amend the social services law, in relation to protection of the
elderly against financial exploitation;
and to repeal title 13 of article 5
of such law relating to state heating fuel crisis assistance

PURPOSE:
To protect the elderly from financial exploitation through educational
programs and to require certain persons or officials in their
professional capacity to report suspected elder financial abuse.

SUMMARY OF PROVISIONS:
Section 1 - Amends section 202 of the Elder Law and changes the
duties of the New York State Office for the Aging to include the
administration of programs on financial elder abuse.

Section 2 - Adds a new section 219-a to the Elder Law and creates the
Financial Exploitation, Outreach, Education and Training Program to
be administered by the New York State Office for the Aging. Section
219-a also creates an advisory committee for the program.

Section 3 - Adds a section 99-u to the State Finance Law. Creates a
fund to provide monies to the Financial Exploitation, Outreach,
Education and Training Program.

Section 4 - Repeals title 13 of article 5 of the social services law,
and adds a new title which makes it mandatory that certain persons
and officials report when they have reasonable cause to suspect that
a person aged sixty-two or older coming before them in their
professional or official capacity is a victim of financial
exploitation in violation of the penal law. The persons and officials
required to make such a report include the following: medical,
dental, podiatric and mental health professionals; hospital or nursing
home personnel engaged in the admission, examination, care or
treatment of patients; social workers, counselors and social service
workers; police officers and other law enforcement officials;
district attorneys, assistant district attorneys and investigators
employed by their offices; lawyers; accountants; tax preparers; and
certain banking institutions.

Reports shall be made to the local social services official of the
district in which the reporting person gains knowledge of the illegal
activity or in which the elderly person resides. The commissioner of
children and family services shall promulgate rules providing for the
conduct of investigations of reports made pursuant to this section
and for the implementation of measures to protect victims against
such financial exploitation when it is found.

It would allow for any person aged sixty-two or over or his or her
estate to have a cause of action for damages against any person other


than banking institutions defined in section nine-f of the banking
law and their affiliates who fails to make a report required by
subdivision one of this section.

That any institution, facility, or agency, other than the alleged
perpetrator, participating in good faith in making of a report of an
alleged incident of suspected adult abuse, neglect or exploitation
shall have immunity from any liability, civil or criminal penalties.

Section 5 - Establishes the effective date.

JUSTIFICATION:
Elderly Americans are often the victims of financial abuse. This abuse
can come in many different forms, but some common forms of elder
financial abuse are forging an elderly person's signature, coercing
an elderly person into signing a deed, will or power-of-attorney form,
or using an elderly person's property or possessions without their
permission. Perpetrators of elderly financial abuse are often
unethical businessmen, unscrupulous individuals posing as financial
advisors, or even members of an elderly person's family.

The elderly are often an attractive target because elderly Americans
control over 70% of the nation's wealth. Many seniors do not realize
the value of their assets and don't know what action they can take
when they are the victims of a financial abuse.

This legislation will ensure that elderly New Yorkers receive the
education and training they need to protect them from financial abuse.

Certain persons or officials in their professional or official
capacity, who have reason to suspect an elderly person has been a
victim of financial exploitation, will also be required to report
these acts.

LEGISLATIVE HISTORY:
Similar to S.3127 (2008)
Similar to S.6297 (2005-2006)

FISCAL IMPLICATIONS:
Undetermined.

EFFECTIVE DATE:
One hundred and twentieth day after it shall become law.

2011-S5389A (ACTIVE) - Bill Text download pdf

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

                                 5389--A

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                              May 16, 2011
                               ___________

Introduced  by  Sen.  DeFRANCISCO -- read twice and ordered printed, and
  when printed to be committed to the Committee on Aging --  recommitted
  to  the Committee on Aging in accordance with Senate Rule 6, sec. 8 --
  committee discharged, bill amended, ordered reprinted as  amended  and
  recommitted to said committee

AN  ACT to amend the elder law, in relation to financial exploitation of
  the elderly; to amend the state finance law, in relation  to  creating
  the  financial  exploitation outreach, education and training fund; to
  amend the social services law, in relation to protection of the elder-
  ly against financial exploitation; and to repeal title 13 of article 5
  of such law relating to state heating fuel crisis assistance

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

  Section  1.  Section  202  of the elder law is amended by adding a new
subdivision 16 to read as follows:
  16. TO CONDUCT AN OUTREACH, EDUCATION AND TRAINING PROGRAM FOR  FINAN-
CIAL INSTITUTIONS AS DEFINED IN SUBDIVISION SIX OF SECTION 470.00 OF THE
PENAL LAW.
  S 2. The elder law is amended by adding a new section 219-a to read as
follows:
  S  219-A.  FINANCIAL  EXPLOITATION,  OUTREACH,  EDUCATION AND TRAINING
PROGRAM. 1. DEFINITIONS. FOR THE PURPOSES  OF  THIS  SECTION,  THE  TERM
"DESIGNATED  AGENCY" SHALL HAVE THE MEANING ASCRIBED TO IT UNDER SECTION
TWO HUNDRED FOURTEEN OF THIS TITLE  AND  "FINANCIAL  INSTITUTION"  SHALL
HAVE  THE MEANING ASCRIBED TO IT IN SUBDIVISION SIX OF SECTION 470.00 OF
THE PENAL LAW.
  2. THE DIRECTOR, WITHIN THE AMOUNTS APPROPRIATED THEREFOR,  SHALL,  IN
CONJUNCTION  WITH  THE  OFFICE  OF  CHILDREN AND FAMILY SERVICES AND THE
DEPARTMENT OF FINANCIAL SERVICES,  ESTABLISH  A  FINANCIAL  EXPLOITATION
OUTREACH,  EDUCATION  AND  TRAINING  PROGRAM, HEREINAFTER REFERRED TO AS
"THE PROGRAM" FOR THE PURPOSE OF PROVIDING AN  EDUCATION,  OUTREACH  AND

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD11539-02-2

S. 5389--A                          2

TRAINING PROGRAM TO FINANCIAL INSTITUTIONS, TO CERTIFIED PUBLIC ACCOUNT-
ANTS  LICENSED IN THIS STATE, TO ANY PREPARER OF TAXES OPERATING IN THIS
STATE AND TO ATTORNEYS LICENSED IN THIS STATE. THE PROGRAM  SHALL  BE  A
VOLUNTARY PROGRAM. THE DIRECTOR, IN CONJUNCTION WITH THE OFFICE OF CHIL-
DREN AND FAMILY SERVICES AND THE DEPARTMENT OF FINANCIAL SERVICES, SHALL
COORDINATE  ACTIVITIES  TO  IDENTIFY  AND PROVIDE TRAINING TO THE INSTI-
TUTIONS AND INDIVIDUALS DESCRIBED IN THIS SECTION.
  3. (A) AS PART OF THE PROGRAM, THE DIRECTOR MAY AWARD GRANTS TO QUALI-
FIED  DESIGNATED  AGENCIES  TO  ESTABLISH  LOCAL  ELDERLY   EXPLOITATION
OUTREACH, EDUCATION AND TRAINING PROGRAMS. QUALIFIED DESIGNATED AGENCIES
SHALL  WORK  COLLABORATIVELY WITH SUCH INSTITUTIONS AND INDIVIDUALS, AND
THEIR REPRESENTATIVE ASSOCIATIONS.
  (B) IN MAKING SUCH GRANTS, THE DIRECTOR SHALL CONSIDER:
  (1) THE MANNER IN WHICH THE DESIGNATED AGENCY PROPOSES TO PROVIDE SUCH
EDUCATION, OUTREACH AND TRAINING;
  (2) THE CAPACITY OF THE DESIGNATED AGENCY TO COORDINATE  ITS  SERVICES
WITH  BANKING,  HUMAN  SERVICE  AND  LAW ENFORCEMENT AND PUBLIC AGENCIES
WHICH PROVIDE SERVICES OR ASSISTANCE TO THE ELDERLY, INCLUDING THE LOCAL
DEPARTMENT OF SOCIAL SERVICES ADULT PROTECTIVE SERVICES UNIT; AND
  (3) ANY OTHER CRITERIA DETERMINED BY THE DIRECTOR TO BE APPROPRIATE.
  4. THE PROGRAM SHALL, AT A MINIMUM, CONSIST OF THE FOLLOWING  ELEMENTS
WHICH SHALL BE PROVIDED BY THE OFFICE:
  (A)  EDUCATIONAL  AND INFORMATIONAL MATERIALS IN PRINT, AUDIO, VISUAL,
ELECTRONIC OR OTHER MEDIA;
  (B) PUBLIC SERVICE  ANNOUNCEMENTS,  ADVERTISEMENTS,  MEDIA  CAMPAIGNS,
WORKSHOPS, MASS MAILINGS, CONFERENCES OR PRESENTATIONS; AND
  (C)  INSTRUCTIONS  ON  HOW  TO  REPORT KNOWN OR SUSPECTED INCIDENTS OF
FINANCIAL EXPLOITATION OF THE ELDERLY, INCLUDING THE  APPROPRIATE  TELE-
PHONE NUMBERS TO CALL AND THE TYPES OF INFORMATION THAT WOULD ASSIST THE
OFFICE WITH ITS INVESTIGATION OF SUCH REPORTS.
  5.  THE  DIRECTOR  SHALL  CONVENE  AN ADVISORY COMMITTEE MADE UP OF AT
LEAST TEN, BUT NO MORE THAN TWENTY MEMBERS TO ADVISE  THE  DIRECTOR  AND
MAKE  RECOMMENDATIONS  ON THE ASPECTS OF DEVELOPING AND IMPLEMENTING THE
PROGRAM. MEMBERS OF THE ADVISORY COMMITTEE SHALL  INCLUDE,  BUT  NOT  BE
LIMITED TO: AT LEAST THREE REPRESENTATIVES FROM STATEWIDE SENIOR ADVOCA-
CY  ORGANIZATIONS,  AT LEAST ONE ATTORNEY WHOSE PRACTICE CONCENTRATES IN
ELDER LAW OR AN INDIVIDUAL ACTING ON BEHALF OF THE ELDER LAW SECTION  OF
THE  NEW  YORK STATE BAR ASSOCIATION, AT LEAST ONE BANKER OR A REPRESEN-
TATIVE OF AN ASSOCIATION REPRESENTING BANKERS, AT  LEAST  ONE  CERTIFIED
PUBLIC  ACCOUNTANT  OR  A  REPRESENTATIVE OF AN ASSOCIATION REPRESENTING
CERTIFIED PUBLIC ACCOUNTANTS, AT LEAST TWO MEMBERS REPRESENTING  PROTEC-
TIVE  SERVICE  AGENCIES  FOR  ADULTS,  AND  AT LEAST TWO LAW ENFORCEMENT
REPRESENTATIVES.
  S 3. The state finance law is amended by adding a new section 99-u  to
read as follows:
  S 99-U. FINANCIAL EXPLOITATION, OUTREACH, EDUCATION AND TRAINING FUND.
1.  THERE  IS HEREBY ESTABLISHED IN THE JOINT CUSTODY OF THE COMPTROLLER
AND THE SUPERINTENDENT OF FINANCIAL SERVICES A SPECIAL REVENUE  FUND  TO
BE KNOWN AS THE FINANCIAL EXPLOITATION, OUTREACH, EDUCATION AND TRAINING
FUND.
  2.  THE  FINANCIAL EXPLOITATION, OUTREACH, EDUCATION AND TRAINING FUND
SHALL CONSIST OF ALL MONEYS, APPROPRIATED THERETO, AND ALL  OTHER  FEES,
FINES,  GRANTS, BEQUESTS OR OTHER MONIES CREDITED OR TRANSFERRED THERETO
FROM ANY OTHER FUND OR SOURCE.
  3. THE MONEYS OF THE FINANCIAL EXPLOITATION, OUTREACH,  EDUCATION  AND
TRAINING  FUND SHALL BE DISBURSED BY THE COMPTROLLER TO THE STATE OFFICE

S. 5389--A                          3

FOR THE AGING FOR THE PURPOSE OF CARRYING OUT THE PROVISIONS OF SECTIONS
TWO HUNDRED NINETEEN AND TWO HUNDRED NINETEEN-A OF THE ELDER LAW.
  S  4. Title 13 of article 5 of the social services law is REPEALED and
a new title 13 is added to read as follows:
                                TITLE 13
            MANDATORY REPORTING OF FINANCIAL EXPLOITATION OF
                               THE ELDERLY
SECTION 370-AA. MANDATORY REPORTING OF  FINANCIAL  EXPLOITATION  OF  THE
                  ELDERLY.
  S 370-AA.  MANDATORY REPORTING OF FINANCIAL EXPLOITATION OF THE ELDER-
LY.  1.  THE  FOLLOWING  PERSONS AND OFFICIALS ARE REQUIRED TO REPORT OR
CAUSE A REPORT TO BE MADE IN ACCORDANCE WITH THIS SECTION WHEN THEY HAVE
REASONABLE CAUSE TO SUSPECT THAT A PERSON AGED SIXTY-TWO YEARS OR  OLDER
COMING  BEFORE  THEM  IN  THEIR  PROFESSIONAL  OR OFFICIAL CAPACITY IS A
VICTIM OF FINANCIAL EXPLOITATION IN VIOLATION  OF  THE  PENAL  LAW:  ANY
PHYSICIAN;  REGISTERED  PHYSICIAN  ASSISTANT; SURGEON; MEDICAL EXAMINER;
CORONER; DENTIST; DENTAL HYGIENIST; OSTEOPATH;  OPTOMETRIST;  CHIROPRAC-
TOR;  PODIATRIST;  RESIDENT;  INTERN;  PSYCHOLOGIST;  REGISTERED  NURSE;
HOSPITAL OR NURSING HOME PERSONNEL ENGAGED IN  THE  ADMISSION,  EXAMINA-
TION,  CARE,  OR  TREATMENT  OF  PERSONS; SOCIAL SERVICES WORKER; SOCIAL
WORKER; MENTAL HEALTH PROFESSIONAL; SUBSTANCE ABUSE COUNSELOR;  ALCOHOL-
ISM  COUNSELOR;  PEACE  OFFICER;  POLICE  OFFICER;  DISTRICT ATTORNEY OR
ASSISTANT DISTRICT ATTORNEY; INVESTIGATOR EMPLOYED IN THE  OFFICE  OF  A
DISTRICT  ATTORNEY;  OR  OTHER  LAW ENFORCEMENT OFFICIAL; LAWYER; PUBLIC
ACCOUNTANT OR CERTIFIED PUBLIC ACCOUNTANT; INCOME TAX PREPARER  (WHETHER
PAID  OR  UNPAID);  OR  OFFICER  OF A BANKING INSTITUTION, AS DEFINED IN
SECTION NINE-F OF THE BANKING LAW. WHENEVER SUCH PERSON IS  REQUIRED  TO
REPORT  UNDER  THIS  SECTION  IN  HIS OR HER CAPACITY AS A MEMBER OF THE
STAFF OF A MEDICAL OR OTHER PUBLIC OR PRIVATE INSTITUTION, FACILITY,  OR
AGENCY,  HE OR SHE SHALL IMMEDIATELY NOTIFY THE PERSON IN CHARGE OF SUCH
INSTITUTION, FACILITY, OR AGENCY, OR HIS OR HER  DESIGNATED  AGENT,  WHO
THEN  ALSO  SHALL  BECOME  RESPONSIBLE  TO REPORT OR CAUSE REPORTS TO BE
MADE. HOWEVER, NOTHING IN THIS SECTION IS INTENDED TO REQUIRE MORE  THAN
ONE REPORT FROM ANY SUCH INSTITUTION, FACILITY, OR AGENCY.
  2.  (A)  THE  REPORTS  REQUIRED  TO BE MADE BY SUBDIVISION ONE OF THIS
SECTION SHALL BE MADE TO THE  LOCAL  SOCIAL  SERVICES  OFFICIAL  OF  THE
SOCIAL  SERVICES  DISTRICT IN WHICH THE REPORTING PERSON GAINS KNOWLEDGE
OF THE ILLEGAL ACTIVITY OR IN WHICH THE ELDERLY PERSON RESIDES.
  (B) UPON THE RECEIPT OF SUCH A REPORT, SUCH SOCIAL  SERVICES  OFFICIAL
SHALL  INVESTIGATE  SUCH REPORT AND TAKE SUCH ACTION AS MAY BE WARRANTED
PURSUANT TO THE  RULES  OF  THE  COMMISSIONER  OF  CHILDREN  AND  FAMILY
SERVICES PROMULGATED THEREFOR.
  (C)  THE COMMISSIONER OF CHILDREN AND FAMILY SERVICES SHALL PROMULGATE
RULES PROVIDING FOR THE CONDUCT OF INVESTIGATIONS OF REPORTS MADE PURSU-
ANT TO THIS SECTION AND FOR THE IMPLEMENTATION OF  MEASURES  TO  PROTECT
PERSONS  AGED  SIXTY-TWO YEARS OR OLDER AGAINST SUCH FINANCIAL EXPLOITA-
TION WHEN IT IS FOUND. SUCH RULES SHALL INCLUDE, BUT NOT BE LIMITED  TO,
NOTIFYING  THE  APPROPRIATE  DISTRICT ATTORNEY, THE ATTORNEY GENERAL, OR
OTHER APPROPRIATE LAW ENFORCEMENT OFFICIAL OF ILLEGAL CONDUCT AND  NOTI-
FYING  THE  NON-IMPLICATED NEXT OF KIN, ATTORNEY-IN-FACT, OR GUARDIAN OF
THE PERSON AND/OR PROPERTY OF THE ELDERLY PERSON.
  3. ANY PERSON AGED SIXTY-TWO OR OVER OR HIS OR HER ESTATE SHALL HAVE A
CAUSE OF ACTION FOR DAMAGES AGAINST ANY PERSON OTHER THAN BANKING INSTI-
TUTIONS AS DEFINED IN SECTION NINE-F  OF  THE  BANKING  LAW,  AND  THEIR
AFFILIATES  WHO  FAILS  TO  MAKE A REPORT REQUIRED BY SUBDIVISION ONE OF
THIS SECTION.

S. 5389--A                          4

  4. ANY INSTITUTION, FACILITY, OR AGENCY, OTHER THAN AN ALLEGED  PERPE-
TRATOR,  PARTICIPATING  IN  GOOD  FAITH  IN THE MAKING OF A REPORT OF AN
ALLEGED INCIDENT OF ADULT  ABUSE,  NEGLECT  OR  EXPLOITATION,  PROVIDING
INFORMATION  RELATIVE TO SUCH INCIDENT OR FOLLOWING A REPORTING PROTOCOL
DEVELOPED JOINTLY WITH THE DEPARTMENT, OR WHO IN GOOD FAITH INVESTIGATES
THE  REPORT, ADMINISTERS THE REGISTRY, OR WHO PARTICIPATES IN A JUDICIAL
OR ADMINISTRATIVE PROCEEDING RESULTING  FROM  THAT  REPORT,  SHALL  HAVE
IMMUNITY  FROM ANY LIABILITY, CIVIL OR CRIMINAL, THAT MIGHT OTHERWISE BE
INCURRED OR IMPOSED.
  5. ANY PERSON OR AGENCY PROVIDING INFORMATION IN GOOD FAITH, INCLUDING
MATERIALS REQUESTED BY THE COMMISSIONER PURSUANT TO  THIS  TITLE,  SHALL
HAVE  THE  SAME  IMMUNITY  WITH RESPECT TO PARTICIPATION IN ANY INVESTI-
GATION BY THE COMMISSIONER OR HIS OR HER AUTHORIZED REPRESENTATIVE OR IN
ANY JUDICIAL PROCEEDING RESULTING FROM SUCH REPORT.
  S 5. This act shall take effect on the one hundred twentieth day after
it shall have become a law.

Comments

Open Legislation is a forum for New York State legislation. All comments are subject to review and community moderation is encouraged.

Comments deemed off-topic, commercial, campaign-related, self-promotional; or that contain profanity, hate or toxic speech; or that link to sites outside of the nysenate.gov domain are not permitted, and will not be published. Attempts to intimidate and silence contributors or deliberately deceive the public, including excessive or extraneous posting/posts, or coordinated activity, are prohibited and may result in the temporary or permanent banning of the user. Comment moderation is generally performed Monday through Friday. By contributing or voting you agree to the Terms of Participation and verify you are over 13.

Create an account. An account allows you to sign petitions with a single click, officially support or oppose key legislation, and follow issues, committees, and bills that matter to you. When you create an account, you agree to this platform's terms of participation.

Find your Senator and share your views on important issues.

Do you support this bill?

Senate Bill S5389

Sponsored By

Archive: Last Bill Status - In Senate Committee Aging Committee

Actions

Bill Amendments

2011-S5389 - Details

2011-S5389 - Summary

2011-S5389 - Sponsor Memo

2011-S5389 - Bill Text download pdf

2011-S5389A (ACTIVE) - Details

2011-S5389A (ACTIVE) - Summary

2011-S5389A (ACTIVE) - Sponsor Memo

2011-S5389A (ACTIVE) - Bill Text download pdf

Comments

Do you support this bill?

Get Status Alerts for 2011-S5389

Senate Bill S5389

Share this bill

Sponsored By

John A. DeFrancisco

Archive: Last Bill Status - In Senate Committee Aging Committee

Actions

Bill Amendments

2011-S5389 - Details

2011-S5389 - Summary

2011-S5389 - Sponsor Memo

2011-S5389 - Bill Text download pdf

2011-S5389A (ACTIVE) - Details

2011-S5389A (ACTIVE) - Summary

2011-S5389A (ACTIVE) - Sponsor Memo

2011-S5389A (ACTIVE) - Bill Text download pdf

Comments