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

                                 7835--A

                       2013-2014 Regular Sessions

                          I N  A S S E M B L Y

                              June 5, 2013
                               ___________

Introduced  by  M.  of  A.  GOTTFRIED  --  read once and referred to the
  Committee on Health -- reported and referred to the Committee on Codes
  -- committee discharged, bill amended, ordered  reprinted  as  amended
  and recommitted to said committee

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

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD11285-02-3
              

A. 7835--A                          2

AVAILABLE  FOR  USE ON OR BEFORE JANUARY FIRST, TWO THOUSAND FOURTEEN 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:
  (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

A. 7835--A                          3

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
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 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 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;

A. 7835--A                          4

  (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
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.