Section 461-E. Records and reports

1.  Every adult care facility shall
  maintain, as public information available for  public  inspection  under
  such  conditions  as  the department shall prescribe, records containing
  copies of the most recent inspection report pertaining to  the  facility
  that has been issued by the department or social services district or to
  the facility.
    2.  Pursuant  to  the provisions of article six of the public officers
  law, the department shall make available for public inspection copies of
  all  inspection  reports  of  adult  care  facilities  issued   by   the
  department.
    3. Every adult care facility shall:
    (a)  Post  in  a  prominent  position  in  the  facility  so  as to be
  accessible to all residents and to the general public, a summary of  the
  most recent inspection of such facility performed by the department or a
  social services district.
    (b)  Provide  to  any  resident  and  each  applicant for admission an
  opportunity to review the most recent inspection  report  pertaining  to
  and  issued  by  the  department  or  social  services  district to such
  facility.
    4. (a) Each adult home and residence for adults except those  operated
  by  a  social services district shall file an annual financial statement
  with the department on or before the fifteenth day of the sixth calendar
  month after the close of the  facility's  fiscal  year  for  which  such
  report is due, upon forms prescribed by the department and in compliance
  with the regulations of the department. Such statement shall clearly set
  forth  all  financial  information  pertaining  to the operation of such
  facility in accordance with generally  accepted  accounting  principles,
  including but not limited to the following:
    (i) revenues and expenses by categories during such fiscal year.
    (ii)  a  balance  sheet  of  the facility as of the end of such fiscal
  year, setting forth assets and liabilities at such date,  including  all
  capital, surplus, reserve, depreciation and similar accounts.
    (iii)  a statement of operations of the facility for such fiscal year,
  setting forth all revenues, expenses,  taxes,  extraordinary  items  and
  other credits or charges.
    (iv) the name and address of each of the following persons:
    (1) the operator of the facility;
    (2)  any  person  who,  directly  or indirectly, beneficially owns any
  interest in the land on which the facility is located;
    (3) any person who, directly  or  indirectly,  beneficially  owns  any
  interest in the building in which the facility is located;
    (4)  any  person  who,  directly  or indirectly, beneficially owns any
  interest in any mortgage,  note,  deed  of  trust  or  other  obligation
  secured  in  whole  or in part by the land on which or building in which
  the facility is located; and
    (5) any person who, directly or indirectly, has any interest as lessor
  or lessee in any lease or sub-lease of the land on which or the building
  in which the facility is located.
    (v) if the facility or any person named in  response  to  subparagraph
  (iv)  of this paragraph is a partnership, then the name and home address
  of each partner.
    (vi) if the facility or any person named in response  to  subparagraph
  (iv)  of this paragraph is a corporation, other than a corporation whose
  shares are traded on a national securities  exchange  or  are  regularly
  quoted  in  an  over-the-counter  market  or which is a commercial bank,
  savings bank or savings and loan association, then the name and  address
  of   each   officer,   director,  and  each  principal  stockholder  and
  controlling person of such corporation.

    (vii) if any corporation named in response  to  subparagraph  (iv)  of
  this  paragraph  is  a corporation whose shares are traded on a national
  securities exchange or  are  regularly  quoted  in  an  over-the-counter
  market  or  which is a commercial bank, savings bank or savings and loan
  association,  then  the  name  and  address  of  the principal executive
  officers and each director and, if known, each principal stockholder  of
  such corporation.
    (viii)  if  the facility paid or received an aggregate of five hundred
  dollars or more during the fiscal year in connection  with  transactions
  with  any  person  named  in response to subparagraph (iv), (v), (vi) or
  (vii) of this paragraph or any affiliate of said person,  a  description
  of  the  transactions,  naming  the  parties  thereto and describing the
  relationships which require the transactions to  be  described  and  the
  goods,  services, payments or other consideration received by each party
  to  the  transactions.    Such  facility  must  make  available  to  the
  department,  when requested, adequate documentation to support the costs
  involved  including  access  to  books  and  records  related  to   such
  transactions.
    (ix)  if  known,  the  nature  and  amount  of  any  interest  in,  or
  relationship with, any other adult care facility,  held  by  any  person
  named  in  response  to  subparagraph  (iv) of this paragraph, or by any
  affiliate of such person.
    (x) the following definitions shall be applicable  to  this  paragraph
  and to any reports filed pursuant to this paragraph:
    (1) "affiliate" means:
    (A) with respect to a partnership, each partner thereof;
    (B)  with  respect to a corporation, each officer, director, principal
  stockholder and controlling person thereof;
    (C) with respect to a natural person (a) each member of said  person's
  immediate family, (b) each partnership and each partner thereof of which
  said  person  or any affiliate of said person is a partner, and (c) each
  corporation in which said person or any affiliate of said person  is  an
  officer, director, principal stockholder or controlling person;
    (2)  "controlling  person"  of  any  corporation, partnership or other
  entity means any person who has the power, directly  or  indirectly,  to
  significantly  influence  or  direct  the  actions  or  policies of such
  facility. Neither the department nor  any  employee  of  the  department
  shall,  by  reason  of  his  or  her  official  position,  be  deemed  a
  controlling person of any corporation, partnership or other entity;
    (3) "immediate family" of any  person  includes  each  parent,  child,
  spouse,  brother,  sister,  first  cousin, aunt and uncle of such person
  whether such  relationship  arises  by  reason  of  birth,  marriage  or
  adoption;
    (4)  "principal  stockholder"  of  a  corporation means any person who
  beneficially owns, holds or has the power to vote, ten percent  or  more
  of any class of securities issued by said corporation.
    (xi)  together  with  such other information as may be required by the
  department.
    Such statement shall  be  accompanied  by  an  opinion  signed  by  an
  independent licensed accountant that such financial statement represents
  the  financial  operations  and  position  of  the facility, except such
  opinion shall not be required for facilities with a capacity of nine  or
  less.
    (b) The department shall accept in full satisfaction of the provisions
  of  this  subdivision  from  operators of adult homes and residences for
  adults who are required to submit  an  annual  report  as  a  charitable
  organization  to  the secretary of state of the state of New York or are
  required to submit to the commissioner of the New York state  department

  of  health  an  annual  report  of residential health care facilities, a
  certified copy of such report and upon request from  the  department  an
  uncertified  copy  of  the financial statement required to be filed with
  the department pursuant to the provisions of this subdivision.
    (c) The department may examine the books and records of any adult home
  or  residence  for  adults  to  determine  the  accuracy  of  the annual
  financial statement or for any other reason deemed  appropriate  by  the
  department to effectuate the purposes of this section.
    (d)  The  department shall perform on a selected sample of adult homes
  and residences for adults, a financial audit as part of  the  inspection
  procedure.
    (e) Each enriched housing program shall file financial statements with
  the  department  on  at  least  an  annual  basis,  in  accordance  with
  regulations.
    5. The department may promulgate regulations which require each  adult
  care  facility  to  maintain the following written records and any other
  such records, under such  conditions  and  for  such  time,  as  may  be
  prescribed  pursuant  to such regulations: (i) a chronological admission
  and discharge register consisting of a listing of  residents  registered
  in  and discharged from such facility by name, age, sex of resident, and
  place from or to which the resident is registered or discharged, (ii)  a
  daily  census  record,  (iii)  a  personal  non-medical  record for each
  resident, including but not limited to, identification  of  his  or  her
  next-of-kin,  family  and sponsor, the name and address of the person or
  persons to be contacted in the event of an emergency, and all details of
  the referral and registration and non-medical correspondence and  papers
  concerning  the  resident,  (iv)  a  financial record for each resident,
  including but not limited to, copies of all agreements, resident account
  records and a current inventory of personal property being held  by  the
  operator.
    6.  No  facts  and information retained as part of individual resident
  records by an operator of an adult care  facility  may  be  released  to
  anyone other than the resident, the resident's next-of-kin or authorized
  representative  of  the resident, the operator, his employees or agents,
  or an employee  or  designee  of  the  department  without  the  written
  permission of the resident.
    7.  Nothing  contained in this section shall be construed or deemed to
  require the public disclosure of confidential medical, social,  personal
  or  financial  records  of any resident. The department shall adopt such
  regulations as may be necessary to give effect to the provisions of this
  section and to preserve the confidentiality of medical, social, personal
  or financial records of residents.
    8. Nothing contained in this section shall be construed or  deemed  to
  require  the  disclosure of the names and addresses or other information
  that would identify or tend to identify persons who file complaints with
  the department concerning the operation of adult care  facilities.  This
  shall  apply  to all complaints, regardless of whether the department is
  able to substantiate the complaint. Such information shall be deemed  to
  be  confidential and shall only be made available to a district attorney
  or police officer conducting a  criminal  investigation  or  prosecution
  relating  to an adult care facility and only upon the written request of
  the investigating officer or district attorney; or to a court or to  the
  presiding  officer  of  an  administrative proceeding and the parties to
  such proceeding if, with the  consent  of  the  persons  providing  such
  information,  it  is to be utilized by the department or any other state
  or local agency or subdivision in such proceeding.   If a party  is  not
  provided  with  the  identity  of  a  person  providing  information  in
  accordance with the provisions of  this  section,  the  fact  that  such

  confidential report was made shall in no way be relied upon by any court
  or  presiding  officer  of an administrative proceeding in the course of
  reaching a determination  in  such  proceeding.  The  department  shall,
  consistent  with  the provisions of this section, adopt such regulations
  as may be necessary to preserve the confidentiality  of  persons  making
  such complaints.