This bill has been amended

Bill S5628-2013

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

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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  • Jun 11, 2013: 2ND REPORT CAL.
  • Jun 10, 2013: 1ST REPORT CAL.1173
  • May 30, 2013: REFERRED TO HEALTH

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VOTE: COMMITTEE VOTE: - Health - Jun 10, 2013
Ayes (15): Hannon, Ball, Farley, Felder, Fuschillo, Golden, Larkin, Savino, Seward, Young, Rivera, Montgomery, Hassell-Thompson, Adams, O'Brien
Ayes W/R (2): Peralta, Hoylman

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.


Text

STATE OF NEW YORK ________________________________________________________________________ 5628 2013-2014 Regular Sessions IN SENATE 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
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
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
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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