§ 16.11 Oversight of facilities and services. (a) The commissioner shall
provide for the oversight of facilities and providers of services
holding operating certificates pursuant to section 16.03 of this article
and shall provide for the annual review of such facilities and providers
in implementing the requirements of the office and in providing quality
care and person centered and community based services.

(1) The review of facilities issued an operating certificate pursuant
to this article shall include periodic visitation and review of each
facility. Reviews shall be made as frequently as the commissioner may
deem necessary but in any event such inspections shall be made on at
least two occasions during each calendar year which shall be without
prior notice, provided, however, that where, in the discretion of the
commissioner, an operating certificate has been issued to a program with
a history of compliance and a record of providing a high quality of
care, the periodic inspection and visitation required by this
subdivision shall be made at least once during each calendar year
provided such visit shall be without prior notice. Areas of review shall
include, but not be limited to, a review of a facility's: physical
plant, fire safety procedures, health care, protective oversight, abuse
and neglect prevention, and reporting procedures.

(2) The review of providers of services, as defined in paragraph four
of subdivision (a) of section 16.03 of this article, shall ensure that
the provider of services complies with all the requirements of the
applicable federal home and community based services waiver program, or
other successor Medicaid waiver program, and applicable federal
regulation, subdivisions seven and seven-a of section three hundred
sixty-six of the social services law and rules and regulations adopted
by the commissioner.

(3) The review of providers of services, as defined in paragraph five
of subdivision (a) of section 16.03 of this article, shall ensure that
the provider of services complies with all the requirements of the
applicable federal regulations and rules and the regulations adopted by
the commissioner.

(b) The commissioner shall have the power to conduct investigations
into the operations of any provider of service, person or entity which
holds an operating certificate issued by the office, into the operation
of any facility, service or program issued an operating certificate by
the office and into the operations, related to the provision of services
regulated by this chapter, of any person or entity providing a residence
for one or more unrelated persons with developmental disabilities.

(c) In conducting a review or investigation, the commissioner or his
or her authorized representative shall have the power to inspect
facilities, conduct interviews of clients, interview personnel, examine
and copy all records, including financial and medical records of the
facility or provider of services, and obtain such other information as
may be required in order to carry out his or her responsibilities under
this chapter.

(d) In conducting any review or investigation under this chapter, the
commissioner or his or her authorized representative is empowered to
subpoena witnesses, compel their attendance, administer oaths to
witnesses, examine witnesses under oath, and require the production of
any books or papers deemed relevant to the investigation, inspection, or
hearing. A subpoena issued under this section shall be regulated by the
civil practice law and rules.

(e) The supreme court may enjoin persons or entities subject to review
or investigation pursuant to this article to cooperate with the
commissioner and to allow the commissioner access to providers of
services, facilities, records, clients and personnel as necessary to
enable the commissioner to conduct the review or investigation.

(f) All inspections and investigations shall be made by persons
competent to conduct such activities. Information obtained by the
commissioner in the course of such inspections and investigations shall
be kept confidential in accordance with the provisions of this chapter
and other applicable provisions of law.