[ ] is old law to be omitted.
LBD12127-03-2
S. 7400 2
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. This act shall be known and may be cited as the "protection
of people with special needs act".
S 2. This act enacts into law major components of legislation which
are necessary for the protection of persons who are vulnerable because
of their reliance on professional caregivers to help them overcome phys-
ical, cognitive and other challenges. Each component is wholly
contained within a Part identified as Parts A through H. The effective
date for each particular provision contained within each Part is set
forth in the last section of such Part. Any provision in any section
contained within a Part, including the effective date of the Part, which
makes reference to a section "of this act", when used in connection with
that particular component, shall be deemed to mean and refer to the
corresponding section of the Part in which it is found. Section four of
this act sets forth the general effective date of this act.
PART A
Section 1. Legislative findings and purpose. There is a recognized
need to strengthen and standardize the safety net for vulnerable
persons, adults and children alike, who are receiving care from New
York's human service agencies and programs. There are over 270,000 chil-
dren and adults with disabilities or other life circumstances that make
them vulnerable in residential facilities under the auspices of six
state agencies that operate, license or certify such programs. In addi-
tion, a significant number of persons rely on day programs operated,
licensed or certified by the state. Although all of these programs
share a common obligation to protect such persons, and keep them safe
from abuse and neglect, there are fundamental differences in how the
state agencies meet their obligations, as well as major gaps in over-
sight that may expose vulnerable persons to harm.
This legislation creates a set of uniform safeguards, to be imple-
mented by a justice center whose primary focus will be on the protection
of vulnerable persons. To bolster the ability of the state to respond
more effectively to abuse and neglect of vulnerable persons, without
creating additional burdens on local law enforcement, the justice center
will have concurrent authority with district attorneys to prosecute
abuse and neglect crimes committed against such persons.
The justice center also will develop a register that will contain the
names of individuals found responsible for egregious or repeated acts of
abuse or neglect. Before being placed on the register, such individuals
will have a right to challenge that finding, but once on the register
they will be barred from future employment in the care of vulnerable
persons. Employees found responsible for less serious acts shall be
subjected to progressive discipline, including retraining and other
actions necessary to facilitate their safe return to the workplace.
To ensure that individuals who work with vulnerable persons are aware
of their obligations to assist such persons to lead safe, vital and
productive lives, the legislation requires the justice center to develop
a code of conduct for workers who have regular contact with vulnerable
persons. This code of conduct will serve as a guide to such workers by
containing the basic ethical standards to which all direct support work-
ers should subscribe and be held accountable.
S. 7400 3
The justice center will also operate a statewide hotline to which
certain mandated reporters will be required to report allegations of
abuse and neglect against vulnerable persons being served in certain
residential and non-residential facilities and programs. It will ensure
that allegations of abuse and neglect are promptly reported, that they
are fully and effectively investigated, that those individuals who are
responsible are held accountable and that providers implement corrective
action plans to prevent future incidents.
Accordingly, the purpose of this legislation is to create a durable
set of consistent safeguards for all vulnerable persons that will
protect them against abuse, neglect and other conduct that may jeopard-
ize their health, safety and welfare, and to provide fair treatment to
the employees upon whom they depend.
S 2. Article 45 of the mental hygiene law is REPEALED.
S 3. The executive law is amended by adding a new article 20 to read
as follows:
ARTICLE 20
PROTECTION OF PEOPLE WITH SPECIAL NEEDS
SECTION 550. DEFINITIONS.
551. THE JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH
SPECIAL NEEDS.
552. ORGANIZATION OF THE JUSTICE CENTER.
553. POWERS AND DUTIES OF THE JUSTICE CENTER.
554. CODES OF CONDUCT.
555. JUSTICE CENTER MEDICAL REVIEW BOARD; ORGANIZATION.
556. FUNCTIONS, POWERS AND DUTIES OF THE BOARD.
557. REPORTS TO THE JUSTICE CENTER.
558. ACCESS TO RECORDS AND FACILITIES.
559. NEW YORK STATE INTERAGENCY COORDINATING COUNCIL FOR
SERVICES TO PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF
HEARING.
560. ANNUAL REPORT.
S 550. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS SHALL
HAVE THE FOLLOWING MEANINGS:
1. "EXECUTIVE DIRECTOR" SHALL MEAN THE EXECUTIVE DIRECTOR OF THE
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS.
2. "MENTAL HYGIENE FACILITY" SHALL MEAN A FACILITY AS DEFINED IN
SUBDIVISION SIX OF SECTION 1.03 OF THE MENTAL HYGIENE LAW AND FACILITIES
FOR THE OPERATION OF WHICH AN OPERATING CERTIFICATE IS REQUIRED PURSUANT
TO ARTICLE SIXTEEN OR THIRTY-ONE OF THE MENTAL HYGIENE LAW AND INCLUDING
FAMILY CARE HOMES. "MENTAL HYGIENE FACILITY" ALSO MEANS A SECURE TREAT-
MENT FACILITY AS DEFINED BY ARTICLE TEN OF THE MENTAL HYGIENE LAW.
3. "ABUSE OR NEGLECT" SHALL HAVE THE SAME MEANING AS DEFINED IN
SUBDIVISION ONE OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE SOCIAL
SERVICES LAW.
4. "STATE OVERSIGHT AGENCY" SHALL MEAN THE STATE AGENCY THAT OPERATES,
LICENSES OR CERTIFIES AN APPLICABLE FACILITY OR PROVIDER AGENCY;
PROVIDED HOWEVER THAT SUCH TERM SHALL ONLY INCLUDE THE FOLLOWING ENTI-
TIES: THE OFFICE OF MENTAL HEALTH, THE OFFICE FOR PEOPLE WITH DEVELOP-
MENTAL DISABILITIES, THE OFFICE OF ALCOHOLISM AND SUBSTANCE ABUSE
SERVICES, THE OFFICE OF CHILDREN AND FAMILY SERVICES, THE DEPARTMENT OF
HEALTH AND THE STATE EDUCATION DEPARTMENT. "STATE OVERSIGHT AGENCY" DOES
NOT INCLUDE AGENCIES THAT ARE CERTIFICATION AGENCIES PURSUANT TO FEDERAL
LAW OR REGULATION.
5. "VULNERABLE PERSON" SHALL MEAN A PERSON WHO, DUE TO PHYSICAL OR
COGNITIVE DISABILITIES, OR THE NEED FOR SPECIALIZED SERVICES OR PLACE-
S. 7400 4
MENT, IS RECEIVING SERVICES FROM A FACILITY OR PROVIDER AGENCY AS
DEFINED IN SUBDIVISION FOUR OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE
SOCIAL SERVICES LAW.
S 551. THE JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL
NEEDS. 1. THERE IS HEREBY CREATED WITHIN THE EXECUTIVE DEPARTMENT A
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS ("JUSTICE
CENTER" OR "CENTER"). SUCH JUSTICE CENTER SHALL BE HEADED BY AN EXECU-
TIVE DIRECTOR, WHO SHALL BE APPOINTED BY THE GOVERNOR, BY AND WITH THE
ADVICE AND CONSENT OF THE SENATE. THE EXECUTIVE DIRECTOR MAY APPOINT
STAFF AND PERFORM SUCH OTHER FUNCTIONS FOR THE EFFICIENT OPERATION OF
THE JUSTICE CENTER WITHIN THE AMOUNTS MADE AVAILABLE THEREFOR BY APPRO-
PRIATION.
2. THE EXECUTIVE DIRECTOR SHALL RECOMMEND POLICIES AND PROCEDURES TO
THE STATE OVERSIGHT AGENCY FOR THE PROTECTION OF VULNERABLE PERSONS,
INCLUDING BUT NOT LIMITED TO POLICIES AND PROCEDURES: (A) FOR THE
PROTECTION OF VULNERABLE PERSONS WHO RESIDE IN OR RECEIVE SERVICES FROM
FACILITIES OR PROVIDER AGENCIES AS SET FORTH IN SUBDIVISION FOUR OF
SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE SOCIAL SERVICES LAW; (B) RELAT-
ING TO ASSURING, ON BEHALF OF THE STATE, THAT VULNERABLE PERSONS ARE
AFFORDED CARE THAT IS OF A UNIFORMLY HIGH STANDARD; (C) RELATING TO
ASSURING, ON BEHALF OF THE STATE, THAT VULNERABLE PERSONS ARE AFFORDED
THE OPPORTUNITY TO EXERCISE ALL OF THE RIGHTS AND RESPONSIBILITIES
ACCORDED TO RESIDENTS OF THE STATE; AND (D) TO HARMONIZE AND IMPROVE THE
PROCEDURES FOR AND QUALITY OF INVESTIGATIONS OF ABUSE OR NEGLECT AND
SIGNIFICANT INCIDENTS RELATED TO VULNERABLE PERSONS WITHIN THE DIFFERENT
SYSTEMS OF CARE IN THE STATE.
3. THE EXECUTIVE DIRECTOR MAY PROMULGATE, ADOPT, AMEND OR RESCIND
RULES AND REGULATIONS NECESSARY TO CARRY OUT THE PROVISIONS OF THIS
ARTICLE; PROVIDED, HOWEVER, THAT SUCH RULES AND REGULATIONS SHALL BE
STRICTLY LIMITED IN THEIR APPLICATION TO THE MEANS AND METHODS OF
COMPLIANCE WITH THE PROVISIONS OF THIS ARTICLE.
S 552. ORGANIZATION OF THE JUSTICE CENTER. 1. THE JUSTICE CENTER
SHALL HOUSE THE VULNERABLE PERSONS' CENTRAL REGISTER CREATED IN SECTION
FOUR HUNDRED NINETY-TWO OF THE SOCIAL SERVICES LAW AND SHALL PERFORM ALL
OF THE NECESSARY FUNCTIONS RELATED TO THE RECEIPT AND ACCEPTANCE OF
REPORTS OF ALLEGATIONS OF ABUSE OR NEGLECT OF VULNERABLE PERSONS, THE
INVESTIGATION OF SUCH ACCEPTED REPORTS AND THE REVIEW OF SUBSTANTIATED
FINDINGS OF ABUSE OR NEGLECT, INCLUDING CONDUCTING ANY DISCIPLINARY
PROCEEDINGS RESULTING FROM SUCH SUBSTANTIATED FINDINGS (FOR STATE ENTI-
TIES BOUND BY COLLECTIVE BARGAINING, THE DISCIPLINARY PROCESS ESTAB-
LISHED THROUGH COLLECTIVE BARGAINING SHALL GOVERN).
2. (A) THE JUSTICE CENTER ALSO SHALL EMPLOY A SPECIAL PROSECUTOR AND
INSPECTOR GENERAL FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS
("SPECIAL PROSECUTOR"), WHO SHALL BE APPOINTED BY THE GOVERNOR. PURSUANT
TO THE PROVISIONS OF THIS SECTION, SUCH SPECIAL PROSECUTOR SHALL HAVE
THE DUTY AND POWER: (I) TO INVESTIGATE AND PROSECUTE OFFENSES INVOLVING
ABUSE OR NEGLECT COMMITTED AGAINST VULNERABLE PERSONS; AND (II) TO COOP-
ERATE WITH AND ASSIST DISTRICT ATTORNEYS AND OTHER LOCAL LAW ENFORCEMENT
OFFICIALS IN THEIR EFFORTS AGAINST THE ABUSE OR NEGLECT OF VULNERABLE
PERSONS. THE SPECIAL PROSECUTOR MAY REQUEST AND SHALL RECEIVE, FROM ANY
AGENCY, DEPARTMENT, DIVISION, BOARD, BUREAU OR COMMISSION OF THE STATE,
OR ANY POLITICAL SUBDIVISION THEREOF, COOPERATION AND ASSISTANCE IN THE
PERFORMANCE OF HIS OR HER DUTIES, AND MAY PROVIDE TECHNICAL AND OTHER
ASSISTANCE TO ANY DISTRICT ATTORNEY OR LAW ENFORCEMENT OFFICIAL REQUEST-
ING ASSISTANCE IN THE INVESTIGATION OR PROSECUTION OF ABUSE OR NEGLECT
OF VULNERABLE PERSONS.
S. 7400 5
(B) THE SPECIAL PROSECUTOR IS EMPOWERED TO APPLY FOR SEARCH WARRANTS
PURSUANT TO ARTICLE SIX HUNDRED NINETY OF THE CRIMINAL PROCEDURE LAW,
AND, EXCEPT IN EXIGENT CIRCUMSTANCES, SHALL GIVE PRIOR NOTICE OF THE
APPLICATION TO THE DISTRICT ATTORNEY OF THE COUNTY IN WHICH SUCH A
WARRANT IS TO BE EXECUTED, AND IN SUCH EXIGENT CIRCUMSTANCES SHALL GIVE
SUCH NOTICE AS SOON THEREAFTER AS IS PRACTICABLE; PROVIDED, HOWEVER THAT
THE FAILURE TO GIVE NOTICE OF A SEARCH WARRANT APPLICATION TO A DISTRICT
ATTORNEY SHALL NOT BE A GROUND TO SUPPRESS THE EVIDENCE SEIZED IN
EXECUTING THE WARRANT. HE OR SHE MAY DESIGNATE AN ASSISTANT TO EXERCISE
ANY OF SUCH POWERS.
(C) THE SPECIAL PROSECUTOR OR ONE OF HIS OR HER ASSISTANTS, MAY ATTEND
IN PERSON ANY TERM OF THE COUNTY COURT OR SUPREME COURT HAVING APPROPRI-
ATE JURISDICTION, INCLUDING AN EXTRAORDINARY SPECIAL OR TRIAL TERM OF
THE SUPREME COURT WHEN ONE IS APPOINTED PURSUANT TO SECTION ONE HUNDRED
FORTY-NINE OF THE JUDICIARY LAW, OR APPEAR BEFORE THE GRAND JURY THERE-
OF, FOR THE PURPOSE OF MANAGING AND CONDUCTING IN SUCH COURT OR BEFORE
SUCH JURY A CRIMINAL ACTION OR PROCEEDING CONCERNED WITH AN OFFENSE
WHERE ANY CONDUCT CONSTITUTING OR REQUISITE TO THE COMPLETION OF OR IN
ANY OTHER MANNER RELATED TO SUCH OFFENSE INVOLVED THE ABUSE OR NEGLECT
OF A VULNERABLE PERSON, AS THOSE TERMS ARE DEFINED IN THIS ARTICLE. IN
SUCH CASE, SUCH SPECIAL PROSECUTOR OR HIS OR HER ASSISTANT SO ATTENDING
MAY EXERCISE ALL THE POWERS AND PERFORM ALL THE DUTIES IN RESPECT OF
SUCH ACTIONS OR PROCEEDINGS WHICH THE DISTRICT ATTORNEY WOULD OTHERWISE
BE AUTHORIZED OR REQUIRED TO EXERCISE OR PERFORM.
S 553. POWERS AND DUTIES OF THE JUSTICE CENTER. THE JUSTICE CENTER
SHALL HAVE THE FOLLOWING POWERS AND DUTIES:
1. TO CREATE AND ESTABLISH THE STATEWIDE VULNERABLE PERSONS' CENTRAL
REGISTER, AS SET FORTH IN SECTION FOUR HUNDRED NINETY-TWO OF THE SOCIAL
SERVICES LAW, WHICH SHALL INCLUDE, BUT NOT BE LIMITED TO:
(A) ESTABLISHING PROCEDURES FOR THE TIMELY RESPONSE TO, AND EFFECTIVE
INVESTIGATION OF, ALLEGATIONS OF ABUSE OR NEGLECT THAT ARE ACCEPTED BY
THE STATEWIDE VULNERABLE PERSONS' CENTRAL REGISTER;
(B) ESTABLISHING PROCEDURES FOR THE NOTIFICATION OF APPROPRIATE
PERSONS AND ENTITIES WITH RESPECT TO REPORTS AND FINDINGS OF ABUSE OR
NEGLECT OF VULNERABLE PERSONS AND SIGNIFICANT INCIDENTS, AS APPLICABLE;
(C) REPRESENTING THE STATE IN ALL HEARINGS AND OTHER PROCEEDINGS
RELATING TO DISCIPLINE OF EMPLOYEES CHARGED WITH HAVING COMMITTED ABUSE
OR NEGLECT;
(D) CONSISTENT WITH APPROPRIATE COLLECTIVE BARGAINING AGREEMENTS,
CONDUCTING ALL HEARINGS AND OTHER PROCEEDINGS RELATING TO DISCIPLINE OF
EMPLOYEES FOUND TO HAVE COMMITTED ABUSE OR NEGLECT (FOR STATE ENTITIES
BOUND BY COLLECTIVE BARGAINING, THE DISCIPLINARY PROCESS ESTABLISHED
THROUGH COLLECTIVE BARGAINING SHALL GOVERN);
(E) IDENTIFYING A PROCESS FOR TIMELY RESPONSES TO ALLEGATIONS OF
REPORTABLE INCIDENTS IN DUALLY LICENSED OR CO-LOCATED FACILITIES AND
PROVIDER AGENCIES; AND
(F) WHERE APPLICABLE, ESTABLISHING UNIFORM PROCEDURES FOR CHARACTER
AND COMPETENCE REVIEWS OF PROVIDER AGENCIES INITIALLY, AND UPON RENEWAL
OF LICENSES AND OPERATING CERTIFICATES REQUIRING A REVIEW OF PERFORMANCE
RECORDS REGARDING INCIDENT MANAGEMENT, THE ROLE OF THE BOARD OF DIREC-
TORS IN MAINTAINING OVERSIGHT OVER AGENCY PERFORMANCE IN THIS AREA, AND
THE MANAGEMENT OF INCIDENTS AFFECTING RESIDENT SAFETY, INCLUDING CASES
OF SYSTEMIC PROBLEMS.
2. TO MAINTAIN A CENTRAL REPOSITORY FOR DATA RELATING TO THE INVESTI-
GATION OF ALL REPORTS OF ALLEGED ABUSE OR NEGLECT AND SIGNIFICANT INCI-
S. 7400 6
DENTS, AS DEFINED IN SUBDIVISIONS ONE AND TWELVE OF SECTION FOUR HUNDRED
EIGHTY-EIGHT OF THE SOCIAL SERVICES LAW;
3. TO ESTABLISH PROCEDURES FOR REVIEW OF INSTANCES OF ABUSE, NEGLECT
AND SIGNIFICANT INCIDENTS, AS DEFINED IN SUBDIVISIONS ONE AND TWELVE OF
SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE SOCIAL SERVICES LAW, TO IDENTI-
FY PREVENTIVE AND CORRECTIVE ACTIONS AND TO DEVELOP AND IMPLEMENT SUCH
ACTIONS AND PLANS OF IMPROVEMENT SUBJECT TO THE REQUIREMENTS OF ANY
FEDERAL OVERSIGHT ENTITY;
4. TO DEVELOP STANDARDS AND TRAINING CURRICULA FOR INVESTIGATORS WHO
WILL BE ASSIGNED TO INVESTIGATE REPORTED ALLEGATIONS OF ABUSE OR NEGLECT
AND SIGNIFICANT INCIDENTS INVOLVING VULNERABLE PERSONS, AND TO PROVIDE
TRAINING TO SUCH INVESTIGATORS;
5. TO REVIEW AND EVALUATE THE CRIMINAL HISTORY INFORMATION FOR ANY
PERSON APPLYING TO BE AN EMPLOYEE, VOLUNTEER OR CONSULTANT FOR WHOM A
CRIMINAL BACKGROUND CHECK IS REQUIRED AS A CONDITION OF EMPLOYMENT AT
ANY FACILITIES OR PROVIDER AGENCIES AS DEFINED IN SUBDIVISION FOUR OF
SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE SOCIAL SERVICES LAW, WHICH ARE
OPERATED, LICENSED OR CERTIFIED BY THE OFFICE OF MENTAL HEALTH, THE
OFFICE FOR PEOPLE WITH DEVELOPMENTAL DISABILITIES, THE OFFICE OF ALCO-
HOLISM AND SUBSTANCE ABUSE SERVICES AND THE OFFICE OF CHILDREN AND FAMI-
LY SERVICES. SUCH REVIEW AND EVALUATION SHALL INCLUDE BUT NOT BE LIMIT-
ED TO A REQUIREMENT THAT THE APPLICANT SIGN A SWORN STATEMENT WHETHER,
TO THE BEST OF HIS OR HER KNOWLEDGE, HE OR SHE HAS EVER BEEN CONVICTED
OF A CRIME IN THIS STATE OR ANY OTHER JURISDICTION;
6. TO CONDUCT PERIODIC ORIENTATION, TRAINING AND INFORMATIONAL
PROGRAMS UPON APPOINTMENT OR REAPPOINTMENT, AND AS OTHERWISE NEEDED, TO
ASSIST THE MEMBERS OF THE BOARDS OF VISITORS OF MENTAL HYGIENE FACILI-
TIES TO FULFILL THEIR RESPONSIBILITIES PURSUANT TO LAW;
7. (A) TO VISIT, INSPECT AND APPRAISE THE MANAGEMENT OF FACILITIES OR
PROVIDER AGENCIES AS DEFINED IN SUBDIVISION FOUR OF SECTION FOUR HUNDRED
EIGHTY-EIGHT OF THE SOCIAL SERVICES LAW PROVIDING SERVICES TO VULNERABLE
PERSONS WITH SPECIFIC ATTENTION TO THE SAFETY, SECURITY AND QUALITY OF
CARE PROVIDED TO PATIENTS AND RESIDENTS;
(B) TO PROVIDE STAFF AND OTHER NECESSARY ASSISTANCE UPON REQUEST TO
BOARDS OF VISITORS OF DEPARTMENT OF MENTAL HYGIENE FACILITIES IN
PERFORMING THEIR DUTIES PURSUANT TO LAW;
(C) TO RECEIVE AND REVIEW PERIODIC AND ANNUAL REPORTS OF THE BOARDS OF
VISITORS OF EACH DEPARTMENT OF MENTAL HYGIENE FACILITY;
(D) TO PLACE SUCH MEMBERS OF ITS STAFF AS IT DEEMS APPROPRIATE AS
MONITORS IN ANY MENTAL HYGIENE FACILITY WHICH, IN THE JUDGMENT OF THE
EXECUTIVE DIRECTOR, PRESENTS AN IMMINENT DANGER TO THE HEALTH OR SAFETY
OF THE PATIENTS, RESIDENTS OR EMPLOYEES OF SUCH FACILITY;
8. TO ACCEPT, AS AGENT OF THE STATE, ANY GRANT, INCLUDING FEDERAL
GRANTS, OR ANY GIFT FOR ANY OF THE PURPOSES OF THIS ARTICLE. ANY MONEYS
SO RECEIVED MAY BE EXPENDED BY THE JUSTICE CENTER TO EFFECTUATE ANY
PURPOSE OF THIS ARTICLE, SUBJECT TO THE SAME LIMITATIONS AS TO APPROVAL
OF EXPENDITURES AND AUDIT AS ARE PRESCRIBED FOR STATE MONEYS APPROPRI-
ATED FOR THE PURPOSES OF THIS ARTICLE;
9. TO ENTER INTO CONTRACTS WITH ANY PERSON, FIRM, CORPORATION, MUNICI-
PALITY OR GOVERNMENTAL AGENCY FOR THE PERFORMANCE OF FUNCTIONS AUTHOR-
IZED BY LAW;
10. TO ADMINISTER AN ADULT HOME AND RESIDENCE FOR ADULTS RESIDENT
ADVOCACY PROGRAM TO ASSIST RESIDENTS, WHO HAVE AT ANY TIME RECEIVED OR
ARE RECEIVING SERVICES FROM A MENTAL HYGIENE PROVIDER, OF ADULT HOMES
AND RESIDENCES FOR ADULTS, AS DEFINED IN SECTION TWO OF THE SOCIAL
SERVICES LAW, WHERE AT LEAST TWENTY-FIVE PERCENT OR TWENTY-FIVE RESI-
S. 7400 7
DENTS, WHICHEVER IS LESS, HAVE AT ANY TIME RECEIVED OR ARE RECEIVING
SERVICES FROM A MENTAL HYGIENE PROVIDER WHICH IS LICENSED, OPERATED OR
FUNDED BY THE OFFICE OF MENTAL HEALTH OR OFFICE FOR PEOPLE WITH DEVELOP-
MENTAL DISABILITIES, IN UNDERSTANDING THEIR LEGAL RIGHTS, AND TO PROMOTE
AND PROTECT THE RIGHTS OF SUCH RESIDENTS.
11. TO ADVISE AND ASSIST VULNERABLE PERSONS, FAMILY MEMBERS, ADVO-
CATES, SERVICE PROVIDERS AND COMMUNITY ORGANIZATIONS IN THE FORMATION OF
STRATEGIES TO IDENTIFY AND MEET THE NEEDS OF VULNERABLE PERSONS FOR
SERVICES, SUPPORTS AND ADVOCACY;
12. TO ADVISE AND ASSIST THE GOVERNOR AND PUBLIC AND PRIVATE ENTITIES
IN THE DEVELOPMENT AND IMPLEMENTATION OF STATE POLICIES WHICH MEET THE
NEEDS OF VULNERABLE PERSONS IN A MANNER THAT IS RESPECTFUL OF THE RIGHTS
AND CHOICES OF VULNERABLE PERSONS;
13. TO SERVE AS A CLEARINGHOUSE FOR INFORMATION RELATING TO SERVICES,
SUPPORTS AND ADVOCACY FOR VULNERABLE PERSONS AND PROVIDE A STATEWIDE
SYSTEM OF INFORMATION AND REFERRAL TO LINK PERSONS SEEKING INFORMATION
AND ASSISTANCE WITH PUBLIC AND PRIVATE SECTOR SERVICES, SUPPORTS AND
ADVOCACY WHICH MAY BE APPROPRIATE TO MEET THEIR NEEDS;
14. TO ADVISE AND ASSIST THE GOVERNOR, STATE AGENCIES, VULNERABLE
PERSONS AND PUBLIC AND PRIVATE SECTOR ENTITIES IN THE DESIGN AND IMPLE-
MENTATION OF INITIATIVES TO INCREASE ACCESS TO TECHNOLOGY RELATED
ASSISTANCE FOR VULNERABLE PERSONS;
15. TO ADMINISTER SUCH PROTECTION AND ADVOCACY AND CLIENT ASSISTANCE
PROGRAMS AS MAY BE ESTABLISHED BY FEDERAL LAW, PURSUANT TO SUCH AUTHORI-
ZATION OR DESIGNATION AS MAY BE REQUIRED;
16. TO ADMINISTER THE SURROGATE DECISION-MAKING COMMITTEE PROGRAM, AS
AUTHORIZED PURSUANT TO ARTICLE EIGHT OF THE MENTAL HYGIENE LAW;
17. TO STIMULATE COMMUNITY INTEREST IN THE PROBLEMS EXPERIENCED BY
VULNERABLE PERSONS AND PROMOTE PUBLIC AWARENESS OF RESOURCES AVAILABLE
TO SUCH PERSONS;
18. TO ADVISE AND ASSIST POLITICAL SUBDIVISIONS OF THE STATE IN THE
DEVELOPMENT OF LOCAL PROGRAMS FOR VULNERABLE PERSONS;
19. TO ADVISE AND ASSIST EDUCATIONAL INSTITUTIONS IN THE STATE IN THE
DEVELOPMENT OF COURSES OF STUDY FOR PERSONS ENGAGED IN PUBLIC AND
PRIVATE PROGRAMS FOR VULNERABLE PERSONS;
20. TO CONDUCT OR CAUSE TO BE CONDUCTED SUCH STUDIES OF THE NEEDS OF
VULNERABLE PERSONS AS MAY BE APPROPRIATE;
21. TO DO ALL OTHER THINGS NECESSARY OR CONVENIENT TO CARRY OUT ITS
FUNCTIONS, POWERS AND DUTIES SET FORTH IN THIS ARTICLE;
22. TO RECEIVE AND REVIEW REPORTS REQUIRED PURSUANT TO SECTION 16.19
OF THE MENTAL HYGIENE LAW AND TAKE ANY ACTION AS REQUIRED BY LAW. THE
JUSTICE CENTER ALSO SHALL ASSIST THE COMMISSIONER OF THE OFFICE FOR
PEOPLE WITH DEVELOPMENTAL DISABILITIES IN DEVELOPING AND PREPARING
RECOMMENDATIONS REQUIRED BY PARAGRAPH THREE OF SUBDIVISION (D) OF
SECTION 16.19 OF THE MENTAL HYGIENE LAW FOR SUBMISSION TO THE GOVERNOR,
TEMPORARY PRESIDENT OF THE SENATE AND SPEAKER OF THE ASSEMBLY;
23. TO PREPARE AND DISSEMINATE AN EDUCATIONAL PAMPHLET, AND SERVE AS
AN INFORMATION CLEARINGHOUSE, ON THE RIGHTS OF PARENTS AND LEGAL REPRE-
SENTATIVES AND ADVOCATES TO ACCESS RECORDS AND REPORTS RELATING TO
PATIENT CARE AND TREATMENT AND ALL OTHER RELEVANT DOCUMENTS FROM
PROGRAMS AND FACILITIES THAT ARE LICENSED, CERTIFIED OR OPERATED BY THE
OFFICES OF MENTAL HEALTH, PEOPLE WITH DEVELOPMENTAL DISABILITIES OR
ALCOHOLISM AND SUBSTANCE ABUSE SERVICES. SUCH PAMPHLET SHALL INCLUDE A
DISCUSSION OF HOW TO APPEAL A DECISION DENYING A REQUESTED RECORD OR
REPORT;
S. 7400 8
24. TO CONSULT WITH THE COMMISSIONER OF EDUCATION REGARDING THE
PROMULGATION OF RULES AND REGULATIONS REQUIRING THAT EVERY SCHOOL BUS
DRIVER AND SCHOOL BUS ATTENDANT SERVING STUDENTS WITH DISABILITIES
RECEIVE TRAINING AND INSTRUCTION RELATING TO THE UNDERSTANDING OF AND
ATTENTION TO THE SPECIAL NEEDS OF SUCH STUDENTS PURSUANT TO SUBDIVISION
ONE OF SECTION THIRTY-SIX HUNDRED FIFTY OF THE EDUCATION LAW AND SUBDI-
VISION FOUR OF SECTION TWELVE HUNDRED TWENTY-NINE-D OF THE VEHICLE AND
TRAFFIC LAW; AND
25. TO MONITOR AND MAKE RECOMMENDATIONS REGARDING THE QUALITY OF CARE
PROVIDED TO INMATES WITH SERIOUS MENTAL ILLNESS, INCLUDING THOSE WHO ARE
IN A RESIDENTIAL MENTAL HEALTH TREATMENT UNIT OR SEGREGATED CONFINEMENT
IN FACILITIES OPERATED BY THE DEPARTMENT OF CORRECTIONS AND COMMUNITY
SUPERVISION, AND OVERSEE COMPLIANCE WITH PARAGRAPHS (D) AND (E) OF
SUBDIVISION SIX OF SECTION ONE HUNDRED THIRTY-SEVEN, AND SECTION FOUR
HUNDRED ONE OF THE CORRECTION LAW. SUCH RESPONSIBILITIES SHALL BE
CARRIED OUT IN ACCORDANCE WITH SECTION FOUR HUNDRED ONE-A OF THE
CORRECTION LAW.
S 554. CODES OF CONDUCT. 1. THE JUSTICE CENTER SHALL ADOPT AND AMEND,
AS APPROPRIATE, CODES OF CONDUCT FOR ALL EMPLOYEES WHO HAVE OR WILL HAVE
REGULAR AND DIRECT CONTACT WITH VULNERABLE PERSONS WHO RESIDE IN OR
RECEIVE SERVICES FROM FACILITIES OR PROVIDER AGENCIES AS SET FORTH IN
SUBDIVISION FOUR OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE SOCIAL
SERVICES LAW. SUCH CODES SHALL GOVERN THE CONDUCT OF SUCH EMPLOYEES WITH
RESPECT TO THE SAFETY, DIGNITY AND WELFARE OF VULNERABLE PERSONS TO WHOM
THEY PROVIDE CARE. THE JUSTICE CENTER SHALL ESTABLISH A PROCESS BY WHICH
ALL SUCH EMPLOYEES ARE PROVIDED WITH A COPY OF SUCH CODES OF CONDUCT AND
ARE REQUIRED, AT THE TIME OF THEIR INITIAL EMPLOYMENT, AND AT LEAST
ANNUALLY THEREAFTER, TO ACKNOWLEDGE THAT THEY HAVE READ AND UNDERSTAND
SUCH CODES OF CONDUCT. SUCH PROCESS SHALL ALSO PROVIDE FOR THE ENFORCE-
MENT OF SUCH CODES CONSISTENT WITH APPROPRIATE COLLECTIVE BARGAINING
AGREEMENTS.
2. MINIMUM REQUIREMENTS FOR CODES OF CONDUCT. SUCH CODES OF CONDUCT
SHALL INCLUDE, AT A MINIMUM: A. PROVISIONS REGARDING THE RESPONSIBIL-
ITY OF SUCH EMPLOYEES TO SUPPORT THE EMOTIONAL, PHYSICAL AND PERSONAL
WELL-BEING OF THE VULNERABLE PERSONS THEY SERVE, INCLUDING THEIR
PROTECTION FROM ABUSE AND NEGLECT.
B. PROVISIONS REGARDING THE RESPONSIBILITY OF SUCH EMPLOYEES TO
ASSIST THE VULNERABLE PERSONS THEY SUPPORT TO DIRECT THE COURSE OF THEIR
OWN LIVES, HONORING, WHERE APPROPRIATE, THEIR RIGHT TO ASSUME RISK IN A
SAFE MANNER AND RECOGNIZING THEIR POTENTIAL FOR LIFELONG LEARNING AND
GROWTH.
C. PROVISIONS REGARDING THE RESPONSIBILITY OF SUCH EMPLOYEES TO
PARTICIPATE IN AVAILABLE, APPROPRIATE TRAINING TO MAINTAIN THEIR COMPE-
TENCY AND SKILL-LEVEL, AND TO MODEL AND SHAPE THE BEHAVIOR OF THEIR
CO-WORKERS, AND TO SEEK GUIDANCE AND ADVICE TO RESOLVE ISSUES AS NEEDED
WHEN MAKING DECISIONS RELATING TO THE PERSONS THEY SERVE.
D. PROVISIONS REGARDING THE RESPONSIBILITY OF SUCH EMPLOYEES TO
PROMOTE AND PRACTICE JUSTICE, FAIRNESS AND EQUITY FOR THE VULNERABLE
PERSONS THEY SUPPORT, UPHOLD AND RESPECT THEIR HUMAN AND CIVIL RIGHTS
AND RESPECT THEIR HUMAN DIGNITY AND UNIQUENESS.
E. PROVISIONS REGARDING THE RESPONSIBILITY OF SUCH EMPLOYEES TO
ASSIST, WHERE APPROPRIATE, THE VULNERABLE PERSONS THEY SUPPORT IN DEVEL-
OPING AND MAINTAINING RELATIONSHIPS WITH FAMILIES, FRIENDS AND THE
COMMUNITY-AT-LARGE.
F. PROVISIONS REGARDING THE RESPONSIBILITY OF SUCH EMPLOYEES TO ADVO-
CATE WITH AND/OR ON BEHALF OF THE VULNERABLE PERSONS THEY SUPPORT FOR
S. 7400 9
THEIR NEEDS, INTEREST, JUSTICE, INCLUSION AND FULL COMMUNITY PARTIC-
IPATION.
S 555. JUSTICE CENTER MEDICAL REVIEW BOARD; ORGANIZATION. (A) THERE
SHALL BE WITHIN THE JUSTICE CENTER A JUSTICE CENTER MEDICAL REVIEW
BOARD. THE BOARD SHALL BE COMPOSED OF UP TO FIFTEEN MEMBERS, INCLUDING
SPECIALISTS IN FORENSIC PATHOLOGY, PSYCHIATRY, INTERNAL MEDICINE AND
ADDICTION MEDICINE TO BE APPOINTED BY THE GOVERNOR. THE GOVERNOR SHALL
DESIGNATE ONE OF THE MEMBERS TO SERVE AS CHAIR OF THE BOARD. MEMBERS
SHALL BE APPOINTED FOR TERMS OF THREE YEARS, PROVIDED, HOWEVER, THAT
ONE-THIRD OF THE MEMBERS FIRST APPOINTED SHALL BE APPOINTED FOR A ONE
YEAR TERM AND ONE-THIRD FOR TWO YEAR TERMS. VACANCIES SHALL BE FILLED IN
THE SAME MANNER AS ORIGINAL APPOINTMENTS FOR THE REMAINDER OF ANY UNEX-
PIRED TERM. MEMBERS SHALL CONTINUE IN OFFICE AFTER THE EXPIRATION OF
THEIR TERMS UNTIL THEIR SUCCESSORS HAVE BEEN APPOINTED AND QUALIFIED.
THE GOVERNOR MAY REMOVE ANY MEMBER OF THE BOARD WHENEVER IN HIS OR HER
JUDGMENT THE PUBLIC INTEREST MAY REQUIRE SUCH REMOVAL. IN CASE OF SUCH
REMOVAL, THE GOVERNOR SHALL FILE WITH THE DEPARTMENT OF STATE A STATE-
MENT INDICATING THE CAUSE FOR SUCH REMOVAL. NOTWITHSTANDING ANY
PROVISION OF LAW TO THE CONTRARY, THE CHAIR OF THE BOARD MAY APPOINT
COMMITTEES OF FIVE OR MORE MEMBERS OF THE BOARD AND DELEGATE IN WRITING
TO ANY SUCH COMMITTEE THE AUTHORITY TO PERFORM THE FUNCTIONS, POWERS AND
DUTIES OF THE BOARD PURSUANT TO SECTION FIVE HUNDRED FIFTY-SIX OF THIS
ARTICLE.
(B) THE MEMBERS OF THE BOARD SHALL RECEIVE NO COMPENSATION FOR THEIR
SERVICES BUT SHALL BE REIMBURSED FOR THEIR ACTUAL AND NECESSARY EXPENSES
INCURRED IN THE PERFORMANCE OF THEIR DUTIES.
(C) THE BOARD SHALL HAVE AN EXECUTIVE SECRETARY AND SUCH OFFICERS AND
EMPLOYEES AS THE EXECUTIVE DIRECTOR SHALL ASSIGN UPON REQUEST OF THE
CHAIR OF THE BOARD, TO ASSIST IT IN THE PERFORMANCE OF ITS DUTIES.
(D) ALL RECORDS OF THE PROCEEDINGS, THE DELIBERATIONS OF THE JUSTICE
CENTER MEDICAL REVIEW BOARD AND ANY TESTIMONY GIVEN BEFORE THE BOARD
SHALL NOT BE SUBJECT TO DISCLOSURE UNDER ARTICLE THIRTY-ONE OF THE CIVIL
PRACTICE LAW AND RULES.
(E) THE BOARD OR ANY COMMITTEE APPOINTED BY THE CHAIR OF THE BOARD
SHALL MEET AT THE REQUEST OF ITS CHAIR OR THE EXECUTIVE DIRECTOR OF THE
JUSTICE CENTER. ANY MEMBER OF THE BOARD WHO FAILS TO ATTEND THREE
CONSECUTIVE MEETINGS OF THE BOARD OR THE COMMITTEE TO WHICH SUCH MEMBER
IS ASSIGNED BY THE CHAIR OF THE BOARD, UNLESS EXCUSED BY THE CHAIR OF
THE BOARD, SHALL BE CONSIDERED TO HAVE VACATED HIS OR HER OFFICE UNLESS
OTHERWISE ORDERED BY THE GOVERNOR. THE TERM OF ANY SUCH PERSON APPOINTED
BY THE GOVERNOR TO FILL SUCH VACANCY SHALL BE GOVERNED BY THE PROVISIONS
OF THIS SECTION.
S 556. FUNCTIONS, POWERS AND DUTIES OF THE BOARD. THE JUSTICE CENTER
MEDICAL REVIEW BOARD SHALL HAVE THE FOLLOWING FUNCTIONS, POWERS AND
DUTIES:
(A) MAKE A PRELIMINARY DETERMINATION WHETHER THE DEATH OF A PATIENT OR
RESIDENT IN A RESIDENTIAL FACILITY WITHIN THE MEANING OF SUBDIVISION
FOUR OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE SOCIAL SERVICES LAW,
WHICH HAS BEEN BROUGHT TO ITS ATTENTION IS UNUSUAL OR WHETHER SUCH DEATH
REASONABLY APPEARS TO HAVE RESULTED FROM OTHER THAN NATURAL CAUSES AND
WARRANTS INVESTIGATION;
(B) INVESTIGATE THE CAUSES OF AND CIRCUMSTANCES SURROUNDING SUCH
UNUSUAL DEATH OR DEATHS FROM OTHER THAN NATURAL CAUSES OF PATIENTS OR
RESIDENTS IN SUCH FACILITIES;
(C) VISIT AND INSPECT ANY FACILITY IN WHICH SUCH A DEATH HAS OCCURRED;
S. 7400 10
(D) CAUSE THE BODY OF THE DECEASED TO UNDERGO SUCH EXAMINATIONS
INCLUDING AN AUTOPSY AS IN THE OPINION OF THE BOARD ARE NECESSARY TO
DETERMINE THE CAUSE OF DEATH, IRRESPECTIVE OF WHETHER SUCH EXAMINATION
OR AUTOPSY SHALL HAVE BEEN PREVIOUSLY PERFORMED;
(E) UPON REVIEW OF THE CAUSE OF AND CIRCUMSTANCES SURROUNDING THE
DEATH OF ANY PATIENT OR RESIDENT, SUBMIT ITS REPORT THEREON TO THE EXEC-
UTIVE DIRECTOR AND, WHERE APPROPRIATE, MAKE RECOMMENDATIONS TO PREVENT
THE RECURRENCE OF SAME TO THE APPROPRIATE COMMISSIONER OF THE DEPARTMENT
OF MENTAL HYGIENE OR THE COMMISSIONER OF CHILDREN AND FAMILY SERVICES
AND TO THE DIRECTOR OF THE FACILITY; AND
(F) ADVISE THE EXECUTIVE DIRECTOR ON MEDICAL ISSUES RELEVANT TO THE
FUNCTIONS, POWERS, AND DUTIES OF THE JUSTICE CENTER INCLUDING ALLEGA-
TIONS OF ABUSE OR NEGLECT OF A PATIENT OR RESIDENT REFERRED TO IT.
S 557. REPORTS TO THE JUSTICE CENTER. EVERY DIRECTOR OR OTHER PERSON
IN CHARGE OF A RESIDENTIAL FACILITY WITHIN THE MEANING OF SUBDIVISION
FOUR OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE SOCIAL SERVICES LAW,
SHALL REPORT IMMEDIATELY TO THE EXECUTIVE DIRECTOR AND THE JUSTICE
CENTER MEDICAL REVIEW BOARD THE DEATH OF A PATIENT OR RESIDENT OF ANY
SUCH FACILITY IN SUCH MANNER AND SUCH FORM AS THE JUSTICE CENTER SHALL
PRESCRIBE, TOGETHER WITH AN AUTOPSY REPORT, IF ANY.
S 558. ACCESS TO RECORDS AND FACILITIES. (A) THE JUSTICE CENTER MUST
BE GRANTED ACCESS AT ANY AND ALL TIMES TO ANY FACILITY OR PROVIDER AGEN-
CY AS DEFINED IN SUBDIVISION FOUR OF SECTION FOUR HUNDRED EIGHTY-EIGHT
OF THE SOCIAL SERVICES LAW, AND, CONSISTENT WITH FEDERAL LAW, TO ALL
BOOKS, RECORDS, AND DATA PERTAINING TO ANY SUCH FACILITY OR PROVIDER
AGENCY DEEMED NECESSARY FOR CARRYING OUT THE JUSTICE CENTER'S FUNCTIONS,
POWERS AND DUTIES. THE JUSTICE CENTER OR ANY EMPLOYEE OF THE JUSTICE
CENTER MAY REQUIRE FROM THE OFFICERS OR EMPLOYEES OF SUCH FACILITY OR
PROVIDER AGENCY OR FROM THE COMMISSIONERS OF THE STATE OVERSIGHT AGEN-
CIES AS DEFINED IN SUBDIVISION FOUR-A OF SUCH SECTION FOUR HUNDRED
EIGHTY-EIGHT, ANY INFORMATION DEEMED NECESSARY FOR THE PURPOSE OF CARRY-
ING OUT THE JUSTICE CENTER'S FUNCTIONS, POWERS AND DUTIES, INCLUDING
OTHERWISE CONFIDENTIAL INFORMATION. THE EXECUTIVE DIRECTOR OR ANY
EMPLOYEE OF THE JUSTICE CENTER MAY REQUIRE FROM ANY HOSPITAL, AS DEFINED
UNDER ARTICLE TWENTY-EIGHT OF THE PUBLIC HEALTH LAW, ANY INFORMATION,
REPORT OR RECORD NECESSARY FOR THE PURPOSE OF CARRYING OUT THE FUNC-
TIONS, POWERS AND DUTIES OF THE JUSTICE CENTER RELATED TO THE INVESTI-
GATION OF DEATHS AND COMPLAINTS OF ABUSE OR NEGLECT CONCERNING VULNER-
ABLE PERSONS WHO HAVE BEEN TREATED AT SUCH HOSPITALS, AND FROM ANY ADULT
CARE FACILITY AS DEFINED IN PARAGRAPH TWENTY-ONE OF SECTION TWO OF THE
SOCIAL SERVICES LAW, SUCH INFORMATION, REPORT OR RECORD, INCLUDING
ACCESS TO SUCH FACILITY NECESSARY FOR THE PURPOSE OF CARRYING OUT THE
FUNCTIONS, POWERS AND DUTIES OF THE JUSTICE CENTER RELATED TO THE INVES-
TIGATION OF DEATHS CONCERNING PATIENTS OF MENTAL HYGIENE FACILITIES WHO
RESIDED AT SUCH RESIDENTIAL CARE FACILITIES AT THE TIME OF THEIR DEATH
OR WERE FORMER RESIDENTS OF SUCH RESIDENTIAL CARE FACILITIES AND THE
JUSTICE CENTER DETERMINES THAT SUCH INFORMATION, REPORT OR RECORD IS
NECESSARY FOR THE COMPLETION OF ITS INVESTIGATION. THE RESULTS OF INVES-
TIGATIONS INVOLVING SUCH RESIDENTS OF ADULT CARE FACILITIES SHALL BE
PROVIDED PROMPTLY TO THE COMMISSIONER OF THE DEPARTMENT OF HEALTH AND
SHALL BE TREATED AS A RECORD OR PERSONAL INFORMATION WITHIN THE MEANING
OF SECTION NINETY-SIX OF THE PUBLIC OFFICERS LAW AND SHALL NOT BE
DISCLOSED EXCEPT IN ACCORDANCE WITH SUCH SECTION NINETY-SIX. INFORMA-
TION, BOOKS, RECORDS OR DATA WHICH ARE CONFIDENTIAL AS PROVIDED BY LAW
SHALL BE KEPT CONFIDENTIAL BY THE JUSTICE CENTER AND BY NON-PROFIT
ORGANIZATIONS RECEIVING CONTRACTS PURSUANT TO SECTION FIVE HUNDRED
S. 7400 11
FIFTY-THREE OF THIS ARTICLE AND ANY LIMITATIONS ON THE RELEASE THEREOF
IMPOSED BY LAW UPON THE PARTY FURNISHING THE INFORMATION, BOOKS, RECORDS
OR DATA SHALL APPLY TO THE JUSTICE CENTER AND SUCH NON-PROFIT ORGANIZA-
TIONS RECEIVING CONTRACTS PURSUANT TO SUCH SUBDIVISION EXCEPT AS MAY
OTHERWISE BE PROVIDED BY ARTICLE ELEVEN OF THE SOCIAL SERVICES LAW.
(B) PURSUANT TO THE AUTHORIZATION OF THE JUSTICE CENTER TO ADMINISTER
THE PROTECTION AND ADVOCACY SYSTEM AS PROVIDED FOR BY FEDERAL LAW, ANY
AGENCY OR PERSON WITHIN OR UNDER CONTRACT WHICH PROVIDES PROTECTION AND
ADVOCACY SERVICES MUST BE GRANTED ACCESS AT ANY AND ALL TIMES TO ANY
FACILITY, OR PART THEREOF, SERVING A VULNERABLE PERSON OPERATED, CERTI-
FIED OR LICENSED BY ANY OFFICE OR AGENCY OF THE STATE, AND TO ALL BOOKS,
RECORDS, AND DATA PERTAINING TO ANY SUCH FACILITY UPON RECEIPT OF A
COMPLAINT BY OR ON BEHALF OF A PERSON WITH A DISABILITY. INFORMATION,
BOOKS, RECORDS OR DATA WHICH ARE CONFIDENTIAL AS PROVIDED BY LAW SHALL
BE KEPT CONFIDENTIAL BY THE PERSON OR AGENCY WITHIN THE PROTECTION AND
ADVOCACY SYSTEM AND ANY LIMITATIONS ON THE RELEASE THEREOF IMPOSED BY
LAW UPON THE PARTY FURNISHING THE INFORMATION, BOOKS, RECORDS OR DATA
SHALL APPLY TO THE PERSON OR AGENCY WITHIN THE PROTECTION AND ADVOCACY
SYSTEM.
(C) IN THE EXERCISE OF ITS FUNCTIONS, POWERS AND DUTIES, THE EXECUTIVE
DIRECTOR AND ANY EMPLOYEE DESIGNATED BY HIM OR HER IS AUTHORIZED TO
ISSUE AND ENFORCE A SUBPOENA AND A SUBPOENA DUCES TECUM, CONDUCT HEAR-
INGS, ADMINISTER OATHS AND EXAMINE PERSONS UNDER OATH, IN ACCORDANCE
WITH AND PURSUANT TO CIVIL PRACTICE LAW AND RULES.
(D) IN ANY CASE WHERE A PERSON IN CHARGE OR CONTROL OF SUCH FACILITY
OR AN OFFICER OR EMPLOYEE THEREOF SHALL FAIL TO COMPLY WITH THE
PROVISIONS OF SUBDIVISION (A) OF THIS SECTION, THE JUSTICE CENTER MAY
APPLY TO THE SUPREME COURT FOR AN ORDER DIRECTED TO SUCH PERSON REQUIR-
ING COMPLIANCE THEREWITH. UPON SUCH APPLICATION THE COURT MAY ISSUE SUCH
ORDER AS MAY BE JUST AND A FAILURE TO COMPLY WITH THE ORDER OF THE COURT
SHALL BE A CONTEMPT OF COURT AND PUNISHABLE AS SUCH.
S 559. NEW YORK STATE INTERAGENCY COORDINATING COUNCIL FOR SERVICES TO
PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF HEARING. 1. SUBJECT TO AN
APPROPRIATION, THE JUSTICE CENTER SHALL HAVE THE CENTRAL RESPONSIBILITY
FOR ADMINISTERING THE PROVISIONS OF THIS SECTION AND OTHERWISE COORDI-
NATING THE ACTIVITIES OF THE STATE INTERAGENCY COORDINATING COUNCIL FOR
SERVICES TO PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF HEARING WITH
RESPECT TO SERVING RESIDENTS OF THE STATE WHO ARE DEAF, DEAF-BLIND, OR
HARD OF HEARING, IN CONSULTATION WITH THE OFFICE OF CHILDREN AND FAMILY
SERVICES, THE OFFICE FOR THE AGING, THE PUBLIC SERVICE COMMISSION, THE
DEPARTMENT OF HEALTH, THE DEPARTMENT OF LABOR, THE DEPARTMENT OF EDUCA-
TION, AND OTHER STATE AGENCIES AS APPROPRIATE. THE COUNCIL SHALL MEET A
MINIMUM OF THREE TIMES A YEAR.
2. THE FOLLOWING DEFINITIONS DESCRIBE THE FUNCTIONAL CHARACTERISTICS
OF PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF HEARING, AS USED IN THIS
SECTION.
(A) DEAF. DESCRIBES PERSONS WHO HAVE A PROFOUND HEARING LOSS AND WHO
PRIMARILY RELY ON VISUAL COMMUNICATION, SUCH AS SIGN LANGUAGE, WRITING,
LIP READING, AND GESTURES, WHICH MAY BE USED EXCLUSIVELY OR IN COMBINA-
TION. SUCH PERSONS GENERALLY USE A FORM OF AMERICAN SIGN LANGUAGE AS
THEIR PRIMARY MODE OF COMMUNICATION. IN ADDITION, THERE IS A GROUP OF
PROFOUNDLY DEAF INDIVIDUALS WHO COMMUNICATE ORALLY AND MAY USE SIGN
LANGUAGE TO SUPPORT THEIR UNDERSTANDING OF THE SPOKEN LANGUAGE. HEARING
AIDS AND OTHER ASSISTIVE TECHNOLOGY MAY ALSO BE USED TO AID IN COMMUNI-
CATION.
S. 7400 12
(B) DEAF-BLIND. AN INDIVIDUAL WITH A CONCOMITANT HEARING AND VISUAL
IMPAIRMENT, THE COMBINATION OF WHICH CAUSES SUCH SEVERE COMMUNICATION
AND OTHER DEVELOPMENTAL AND EDUCATIONAL PROBLEMS THAT THE INDIVIDUAL
CANNOT BE ACCOMMODATED IN PROGRAMS FOR INDIVIDUALS WHO ARE SOLELY DEAF
OR BLIND.
(C) HARD OF HEARING. A HARD OF HEARING PERSON IS SOMEONE WITH A MEAS-
URABLE HEARING LOSS AND WHO SELF-IDENTIFIES AS BEING HARD OF HEARING,
ALTHOUGH AUDIOLOGICALLY HE OR SHE MAY HAVE A PROFOUND HEARING LOSS.
ADDITIONALLY, THIS PERSON TYPICALLY USES HIS OR HER RESIDUAL HEARING,
SPEECH AND SPEECH READING SKILLS, AND HEARING AIDS TO COMMUNICATE; HE OR
SHE MAY RELY ON ASSISTIVE LISTENING DEVICES TO AUGMENT HIS OR HER ABILI-
TY TO HEAR AND SPEAK.
3. SUBJECT TO AN APPROPRIATION, THE JUSTICE CENTER SHALL HAVE THE
FOLLOWING POWERS AND DUTIES:
(A) TO COORDINATE THE ACTIVITIES OF THE STATE INTERAGENCY COORDINATING
COUNCIL AND TO PROMOTE, IN COOPERATION WITH THE APPROPRIATE STATE AGEN-
CIES, THE IMPLEMENTATION OF A COMPREHENSIVE STATEWIDE PROGRAM OF COORDI-
NATED SERVICES FOR PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF HEARING
THAT INCLUDES EDUCATIONAL, MEDICAL, HOUSING, TRANSPORTATION, TECHNOLOGY
SUPPORTS, PERSONAL CARE, FAMILY SUPPORTS, DAY PROGRAM SERVICES, AND
OTHER ESSENTIAL SERVICES THAT MAXIMIZE EXISTING RESOURCES AND ADMINIS-
TRATIVE MECHANISMS TO ADDRESS ISSUES AND LEGAL OBLIGATIONS.
(B) TO MAINTAIN DATA ON THE INCIDENCE OF DEAFNESS, DEAF-BLINDNESS, AND
OTHER HEARING LOSS.
(C) TO SERVE AS A CLEARINGHOUSE FOR INFORMATION ON SERVICES AVAILABLE
TO PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF HEARING, INCLUDING, BUT
NOT LIMITED TO, RESOURCES THAT SUPPORT THE DEVELOPMENT AND IMPLEMENTA-
TION OF COMMUNITY-BASED SERVICES AND REHABILITATION.
(D) TO DISSEMINATE GENERAL INFORMATION ON DEAFNESS AND THE UNIQUE
COMMUNICATION NEEDS OF PERSONS WHO ARE DEAF, DEAF-BLIND, AND HARD OF
HEARING, AND TO INFORM THE DEAF, DEAF-BLIND, AND HARD OF HEARING COMMU-
NITIES ABOUT AVAILABLE SERVICES AND HOW SUCH SERVICES CAN BE ACCESSED.
(E) TO RECEIVE COMPLAINTS IN MATTERS AFFECTING THE DEAF, DEAF-BLIND,
OR HARD OF HEARING COMMUNITIES AND TO REFER SUCH COMPLAINTS TO THE
APPROPRIATE REGULATORY AGENCIES WHERE IT DEEMS NECESSARY OR APPROPRIATE.
(F) TO CONDUCT AN ONGOING EVALUATION OF THE NEEDS OF THE DEAF,
DEAF-BLIND, AND HARD OF HEARING COMMUNITIES, INCLUDING TECHNOLOGY NEEDS.
(G) TO REPORT TO THE GOVERNOR AND THE LEGISLATURE, ON OR BEFORE NOVEM-
BER FIRST OF EACH YEAR, ON MATTERS WHICH SHALL INCLUDE, BUT NOT BE
LIMITED TO:
(I) THE STATUS OF CURRENT EFFORTS TO ACHIEVE THE PURPOSES OF THIS
SECTION, WHICH WILL BE UPDATED IN SUBSEQUENT REPORTS; AND
(II) RECOMMENDATIONS FOR STANDARDS, POLICIES, PROCEDURES, AND STRATE-
GIES NECESSARY TO ASSURE COMMUNICATION ACCESSIBILITY AND COMMUNITY-BASED
SERVICES, INCLUDING NEEDED STATUTORY REVISIONS.
4. (A) SUBJECT TO AN APPROPRIATION, THE STATE INTERAGENCY COORDINATING
COUNCIL FOR SERVICES TO PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF
HEARING IS HEREBY ESTABLISHED AND SHALL CONSIST OF THE FOLLOWING PERSONS
TO BE APPOINTED BY THE GOVERNOR:
(I) SEVEN AGENCY HEADS OR THEIR DESIGNEES, ACTING IN AN EX-OFFICIO
CAPACITY: THE EXECUTIVE DIRECTOR OF THE JUSTICE CENTER, WHO SHALL SERVE
AS THE CHAIR OF THE STATE INTERAGENCY COORDINATING COUNCIL, THE COMMIS-
SIONER OF THE OFFICE OF CHILDREN AND FAMILY SERVICES, THE DIRECTOR OF
THE OFFICE FOR AGING, THE CHAIR OF THE PUBLIC SERVICE COMMISSION, THE
COMMISSIONER OF HEALTH, THE COMMISSIONER OF LABOR, AND THE COMMISSIONER
OF EDUCATION;
S. 7400 13
(II) SIX PERSONS WHO ARE RESIDENTS OF NEW YORK STATE AND WHO SHALL BE
PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF HEARING, ONE OF WHOM SHALL
BE APPOINTED ON THE NOMINATION OF THE TEMPORARY PRESIDENT OF THE SENATE,
ONE OF WHOM SHALL BE APPOINTED ON THE NOMINATION OF THE SPEAKER OF THE
ASSEMBLY, ONE OF WHOM SHALL BE APPOINTED ON THE NOMINATION OF THE MINOR-
ITY LEADER OF THE SENATE, AND ONE OF WHOM SHALL BE APPOINTED ON THE
NOMINATION OF THE MINORITY LEADER OF THE ASSEMBLY; AND
(III) TWO PERSONS WHO ARE RESIDENTS OF NEW YORK STATE AND WHO ARE
REPRESENTATIVES OF THE PUBLIC AND HAVE A DEMONSTRATED EXPERTISE AND
INTEREST IN THE NEEDS OF PERSONS WHO ARE DEAF, DEAF-BLIND, OR HARD OF
HEARING.
(B) OF THE EIGHT PERSONS APPOINTED PURSUANT TO SUBPARAGRAPHS (II) AND
(III) OF PARAGRAPH (A) OF THIS SUBDIVISION, TWO SHALL SERVE FOR A TERM
OF ONE YEAR, TWO SHALL SERVE FOR A TERM OF TWO YEARS, AND TWO SHALL
SERVE FOR A TERM OF THREE YEARS, AS DETERMINED BY THE GOVERNOR. SUBSE-
QUENT APPOINTMENTS UPON THE EXPIRATION OF TERM SHALL BE FOR A TERM OF
THREE YEARS AND SHALL BE FILLED IN THE SAME MANNER AS THE ORIGINAL
APPOINTMENT.
(C) THE EIGHT MEMBERS OF THE STATE INTERAGENCY COORDINATING COUNCIL
DESCRIBED IN SUBPARAGRAPHS (II) AND (III) OF PARAGRAPH (A) OF THIS
SUBDIVISION SHALL RECEIVE NO COMPENSATION FOR THEIR SERVICES, BUT SHALL
BE ALLOWED THEIR ACTUAL AND NECESSARY EXPENSES INCURRED IN THE PERFORM-
ANCE OF THEIR DUTIES PURSUANT TO THIS SECTION, SUBJECT TO THE APPROVAL
OF THE JUSTICE CENTER.
5. SUBJECT TO AN APPROPRIATION, THE STATE INTERAGENCY COORDINATING
COUNCIL IS CHARGED WITH RECOMMENDING LONG RANGE STRATEGIC OBJECTIVES,
GOALS, AND PRIORITIES FOR PROMOTING THE AVAILABILITY OF A COMPREHENSIVE
STATEWIDE PROGRAM OF COORDINATED SERVICES FOR PERSONS WHO ARE DEAF,
DEAF-BLIND, OR HARD OF HEARING THAT IS CONSISTENT WITH SUBDIVISION ONE
OF THIS SECTION. IT SHALL ALSO PROVIDE ADVICE ON THE PLANNING, COORDI-
NATION, AND DEVELOPMENT OF NEEDED SERVICES AND TECHNOLOGY, INCLUDING THE
MANNER IN WHICH SUCH SERVICES SHALL BE FUNDED OR OTHERWISE SUPPORTED.
S 560. ANNUAL REPORT. THE JUSTICE CENTER SHALL MAKE AN ANNUAL REPORT
TO THE GOVERNOR AND LEGISLATURE CONCERNING ITS WORK DURING THE PRECEDING
YEAR. SUCH REPORT SHALL INCLUDE, BUT NOT BE LIMITED TO, DATA REGARDING
THE NUMBER OF REPORTS RECEIVED BY THE VULNERABLE PERSONS' CENTRAL REGIS-
TER, RESULTS OF INVESTIGATIONS BY TYPES OF FACILITIES AND PROGRAMS,
TYPES OF CORRECTIVE ACTIONS TAKEN, RESULTS OF ITS REVIEW OF PATTERNS AND
TRENDS IN THE REPORTING OF AND RESPONSE TO INCIDENTS OF ABUSE AND
NEGLECT, AND OTHER SERIOUS INCIDENTS AND ITS RECOMMENDATIONS FOR APPRO-
PRIATE PREVENTIVE AND CORRECTIVE ACTIONS, AND EFFORTS UNDERTAKEN BY SUCH
JUSTICE CENTER TO PROVIDE TRAINING PURSUANT TO SUBDIVISION FOUR OF
SECTION FIVE HUNDRED FIFTY-THREE OF THIS ARTICLE.
S 4. Subdivision 32 of section 1.20 of the criminal procedure law, as
amended by chapter 250 of the laws of 1974, is amended to read as
follows:
32. "District attorney" means a district attorney, an assistant
district attorney or a special district attorney, and, where appropri-
ate, the attorney general, an assistant attorney general, a deputy
attorney general [or], a special deputy attorney general, OR THE SPECIAL
PROSECUTOR AND INSPECTOR GENERAL FOR THE PROTECTION OF PEOPLE WITH
SPECIAL NEEDS OR HIS OR HER ASSISTANTS WHEN ACTING PURSUANT TO THEIR
DUTIES IN MATTERS ARISING UNDER ARTICLE TWENTY OF THE EXECUTIVE LAW.
S 5. Subdivision 6 of section 401 of the correction law, as added by
chapter 1 of the laws of 2008, is amended to read as follows:
S. 7400 14
6. The department shall ensure that the curriculum for new correction
officers, and other new department staff who will regularly work in
programs providing mental health treatment for inmates, shall include at
least eight hours of training about the types and symptoms of mental
illnesses, the goals of mental health treatment, the prevention of
suicide and training in how to effectively and safely manage inmates
with mental illness. Such training may be provided by the office of
mental health or the [New York state commission on quality of care and
advocacy for persons with disabilities] JUSTICE CENTER FOR THE
PROTECTION OF PEOPLE WITH SPECIAL NEEDS. All department staff who are
transferring into a residential mental health treatment unit shall
receive a minimum of eight additional hours of such training, and eight
hours of annual training as long as they work in such a unit. The
department shall provide additional training on these topics on an ongo-
ing basis as it deems appropriate.
S 6. Section 401-a of the correction law, as added by chapter 1 of the
laws of 2008, is amended to read as follows:
S 401-a. Oversight responsibilities of the [New York state commission
on quality of care and advocacy for persons with disabilities] JUSTICE
CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS. 1. The [New York
state commission on quality of care and advocacy for persons with disa-
bilities ("commission")] JUSTICE CENTER FOR THE PROTECTION OF PEOPLE
WITH SPECIAL NEEDS shall be responsible for monitoring the quality of
mental health care provided to inmates pursuant to article forty-five of
the mental hygiene law. The [commission] JUSTICE CENTER shall have
direct and immediate access to all areas where state prisoners are
housed, and to clinical and department records relating to inmates'
clinical conditions. The [commission] JUSTICE CENTER shall maintain the
confidentiality of all patient-specific information.
2. The [commission] JUSTICE CENTER shall monitor the quality of care
in residential mental health treatment programs and shall ensure compli-
ance with paragraphs (d) and (e) of subdivision six of section one
hundred thirty-seven of this chapter and section four hundred one of
this article. The [commission] JUSTICE CENTER may recommend to the
department and the office of mental health that inmates in segregated
confinement pursuant to subdivision six of section one hundred thirty-
seven of this chapter be evaluated for placement in a residential mental
health treatment unit. It may also recommend ways to further the goal
of diverting and removing inmates with serious mental illness from
segregated confinement to residential mental health treatment units. The
[commission] JUSTICE CENTER shall include in its annual report to the
governor and the legislature pursuant to [subdivision (g) of] section
[45.07] FIVE HUNDRED SIXTY of the [mental hygiene] EXECUTIVE law, a
description of the state's progress in complying with this article,
which shall be publicly available.
3. The [commission] JUSTICE CENTER shall appoint an advisory committee
on psychiatric correctional care ("committee"), which shall be composed
of independent mental health experts and mental health advocates, and
may include family members of former inmates with serious mental
illness. Such committee shall advise the [commission] JUSTICE CENTER on
its oversight responsibilities pursuant to this section [and article
forty-five of the mental hygiene law]. The committee may also make
recommendations to the [commission] JUSTICE CENTER regarding improve-
ments to prison-based mental health care. Nothing in this subdivision
shall be deemed to authorize members of the committee to have access to
a correctional or mental hygiene facility or any part of such a facili-
S. 7400 15
ty. Provided, however, newly appointed members of the advisory committee
shall be provided with a tour of a segregated confinement unit and a
residential mental health treatment unit, as selected by the commission-
er. Any such tour shall be arranged on a date and at a time selected by
the commissioner and upon such terms and conditions as are within the
sole discretion of the commissioner.
S 7. Paragraph (c) of subdivision 6 of section 2994-m of the public
health law, as added by chapter 8 of the laws of 2010, is amended to
read as follows:
(c) Nothing in this subdivision shall prohibit the [state commission
on quality of care and advocacy for persons with disabilities] JUSTICE
CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS or any agency or
person within or under contract with the [commission] JUSTICE CENTER
which provides protection and advocacy services from requiring any
information, report or record from a hospital in accordance with the
provisions of section [45.09] FIVE HUNDRED FIFTY-EIGHT of the [mental
hygiene] EXECUTIVE law.
S 8. Transfer of employees. Notwithstanding any other provision of
law, rule, or regulation to the contrary, upon the transfer of any func-
tions from the state commission on quality of care and advocacy for
persons with disabilities, the office of mental health, the office for
people with developmental disabilities, the office of alcoholism and
substance abuse services, the office of children and family services and
the department of health and to the justice center for the protection of
people with special needs pursuant to this act, employees performing
those functions shall be transferred to such justice center. Employees
transferred pursuant to this section shall be transferred without
further examination or qualification and shall retain their respective
civil service classifications, status and collective bargaining unit
designations and collective bargaining agreements.
S 9. Transfer of records. All books, papers, and property of the state
commission on quality of care and advocacy for persons with disabilities
shall be deemed to be in the possession of the executive director of the
justice center for the protection of people with special needs, and
shall continue to be maintained by such justice center.
S 10. Continuity of authority. For the purpose of succession of all
functions, powers, duties and obligations transferred and assigned to,
devolved upon and assumed by it pursuant to this act, the justice center
for the protection of people with special needs shall be deemed and held
to constitute the continuation of the state commission on quality of
care and advocacy for persons with disabilities.
S 11. Completion of unfinished business. Any business or other matter
undertaken or commenced by the state commission on quality of care and
advocacy for persons with disabilities, the office of mental health, the
office for people with developmental disabilities, the office of alco-
holism and substance abuse services, the office of children and family
services, the department of health and the state education department
pertaining to or connected with the functions, powers, obligations and
duties hereby transferred and assigned to the justice center for the
protection of people with special needs and pending on the effective
date of this act, may be conducted and completed by such justice center
in the same manner and under the same terms and conditions and with the
same effect as if conducted and completed by the state commission on
quality of care and advocacy for persons with disabilities.
S 12. Continuation of rules and regulations. All rules, regulations,
acts, orders, determinations, and decisions of the state commission on
S. 7400 16
quality of care and advocacy for persons with disabilities pertaining to
the functions and powers transferred and assigned pursuant to this act,
in force at the time of such transfer and assumption, shall continue in
full force and effect as rules, regulations, acts, orders, determi-
nations and decisions of the justice center for the protection of people
with special needs until duly modified or abrogated by the executive
director of such justice center.
S 13. Terms occurring in laws, contracts and other documents. Whenever
the state commission on quality of care and advocacy for persons with
disabilities, or the chairman thereof, is referred to or designated in
any law, contract or document pertaining to the functions, powers, obli-
gations and duties hereby transferred to and assigned to the justice
center for the protection of people with special needs, such reference
or designation shall be deemed to refer to such justice center, or the
executive director thereof, as applicable.
S 14. Existing rights and remedies preserved. No existing right or
remedy of any character shall be lost, impaired or affected by any
provisions of this act.
S 15. Pending actions and proceedings. No action or proceeding pending
at the time when this act shall take effect, brought by or against the
state commission on quality of care and advocacy for persons with disa-
bilities, or the chairman thereof, shall be affected by any provision of
this act, but the same may be prosecuted or defended in the name of the
executive director of the justice center for the protection of people
with special needs. In all such actions and proceedings, the executive
director of such justice center, upon application to the court, shall be
substituted as a party.
S 16. Transfer of appropriations heretofore made. All appropriations
or reappropriations heretofore made to the state commission on quality
of care and advocacy for persons with disabilities to the extent of
remaining unexpended or unencumbered balance thereof, whether allocated
or unallocated and whether obligated or unobligated, are hereby trans-
ferred to and made available for use and expenditure by the justice
center for the protection of people with special needs subject to the
approval of the director of the budget for the same purposes for which
originally appropriated or reappropriated and shall be payable on vouch-
ers certified or approved by the executive director of such justice
center on audit and warrant of the comptroller. In addition to such
authority otherwise granted pursuant to law to interchange, transfer and
suballocate amounts appropriated for the office for people with develop-
mental disabilities, the office of alcoholism and substance abuse
services, the department of health and the office of children and family
services, such amounts appropriated for state operations for such agen-
cies may also be interchanged, transferred and suballocated for the
purpose of planning, developing and/or implementing the alignment of the
operations within and between such agencies sufficient to fulfill the
purposes of this act for the state fiscal year beginning April 1, 2012.
S 17. Transfer of assets and liabilities. All assets and liabilities
of the state commission on quality of care and advocacy for persons with
disabilities are hereby transferred to and assumed by the justice center
for the protection of people with special needs.
S 18. This act shall take effect upon the confirmation by the senate
of the appointment by the governor of the executive director of the
justice center for the protection of people with special needs, proof of
such confirmation to be promptly transmitted by the governor to the
legislative bill drafting commission, provided that should confirmation
S. 7400 17
not take place on or before April 1, 2013, then this part shall take
effect on April 1, 2013.
PART B
Section 1. Article 11 of the social services law is renumbered article
12 and sections 484, 485 and 486 are renumbered sections 550, 551 and
552 and a new article 11 is added to read as follows:
ARTICLE 11
PROTECTION OF PEOPLE WITH SPECIAL NEEDS
SECTION 488. DEFINITIONS.
489. APPLICABILITY.
490. INCIDENT MANAGEMENT PROGRAMS.
491. DUTY TO REPORT INCIDENTS.
492. VULNERABLE PERSONS' CENTRAL REGISTER.
493. ABUSE AND NEGLECT FINDINGS; CONSEQUENCES.
494. AMENDMENTS TO AND APPEALS OF SUBSTANTIATED REPORTS OF
ABUSE OR NEGLECT.
495. REGISTER OF SUBSTANTIATED CATEGORY ONE CASES OF ABUSE OR
NEGLECT.
496. CONFIDENTIALITY.
497. IMMUNITY FROM LIABILITY.
S 488. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS SHALL
HAVE THE FOLLOWING MEANINGS:
1. "ABUSE OR NEGLECT" SHALL INCLUDE THE CONDUCT DESCRIBED IN PARAGRAPH
(A) OF SUBDIVISION FOUR OF SECTION FOUR HUNDRED NINETY-THREE OF THIS
ARTICLE, AS WELL AS:
(A) "PHYSICAL ABUSE," WHICH SHALL MEAN PHYSICAL CONTACT THAT IS NOT
ACCIDENTAL, IS COMMITTED BY AN AGENT OF A FACILITY OR PROVIDER AGENCY
AND THAT RESULTS IN OR HAS THE REASONABLY FORESEEABLE POTENTIAL TO
RESULT IN PHYSICAL INJURY OR SERIOUS OR PROTRACTED IMPAIRMENT OF THE
PHYSICAL, MENTAL OR EMOTIONAL CONDITION OF A SERVICE RECIPIENT. PHYSICAL
ABUSE SHALL INCLUDE, BUT SHALL NOT BE LIMITED TO, SLAPPING, HITTING,
KICKING, BITING, CHOKING, SMOTHERING, SHOVING, DRAGGING, THROWING,
PUNCHING, SHAKING, BURNING, CUTTING OR THE USE OF CORPORAL PUNISHMENT.
PHYSICAL ABUSE SHALL NOT INCLUDE REASONABLE EMERGENCY INTERVENTIONS
NECESSARY TO PROTECT THE SAFETY OF ANY PERSON.
(B) "SEXUAL ABUSE," WHICH SHALL MEAN ANY CONDUCT BY AN AGENT OF A
FACILITY OR PROVIDER AGENCY THAT SUBJECTS A PERSON RECEIVING SERVICES TO
ANY OFFENSE DEFINED IN ARTICLE ONE HUNDRED THIRTY OR SECTION 255.25,
255.26 OR 255.27 OF THE PENAL LAW; OR ANY CONDUCT OR COMMUNICATION BY
SUCH AN AGENT THAT ALLOWS, PERMITS, USES OR ENCOURAGES A SERVICE RECIPI-
ENT TO ENGAGE IN ANY ACT DESCRIBED IN ARTICLES TWO HUNDRED THIRTY OR TWO
HUNDRED SIXTY-THREE OF THE PENAL LAW. FOR PURPOSES OF THIS PARAGRAPH
ONLY, A PERSON WITH A DEVELOPMENTAL DISABILITY WHO IS OR WAS RECEIVING
SERVICES AND IS ALSO AN EMPLOYEE OR VOLUNTEER OF A SERVICE PROVIDER
SHALL NOT BE CONSIDERED AN AGENT OF A FACILITY OR PROVIDER AGENCY IF HE
OR SHE HAS SEXUAL CONTACT WITH ANOTHER SERVICE RECIPIENT WHO IS A
CONSENTING ADULT WHO HAS CONSENTED TO SUCH CONTACT.
(C) "PSYCHOLOGICAL ABUSE," WHICH SHALL MEAN VERBAL OR NON-VERBAL
CONDUCT BY AN AGENT OF A FACILITY OR PROVIDER AGENCY THAT RESULTS IN OR
HAS THE REASONABLY FORESEEABLE POTENTIAL TO RESULT IN A SUBSTANTIAL
DIMINUTION OF A SERVICE RECIPIENT'S EMOTIONAL, SOCIAL OR BEHAVIORAL
DEVELOPMENT OR CONDITION, WHICH IS DETERMINED BY A PHYSICIAN, PSYCHOL-
OGIST, PSYCHIATRIC NURSE PRACTITIONER, LICENSED CLINICAL OR MASTER
SOCIAL WORKER OR LICENSED MENTAL HEALTH COUNSELOR. SUCH CONDUCT MAY
S. 7400 18
INCLUDE BUT SHALL NOT BE LIMITED TO INTIMIDATION, THREATS, THE DISPLAY
OF A WEAPON OR OTHER OBJECT THAT COULD REASONABLY BE PERCEIVED BY A
SERVICE RECIPIENT AS A MEANS FOR INFLICTION OF PAIN OR INJURY, IN A
MANNER THAT CONSTITUTES A THREAT OF PHYSICAL PAIN OR INJURY, TAUNTS,
DEROGATORY COMMENTS OR RIDICULE.
(D) "INAPPROPRIATE USE OF RESTRAINTS," WHICH SHALL MEAN THE USE OF A
RESTRAINT WHEN THE TECHNIQUE THAT IS USED, THE AMOUNT OF FORCE THAT IS
USED OR THE SITUATION IN WHICH THE RESTRAINT IS USED IS INCONSISTENT
WITH A SERVICE RECIPIENT'S INDIVIDUAL TREATMENT PLAN, GENERALLY ACCEPTED
TREATMENT PRACTICES AND/OR APPLICABLE FEDERAL OR STATE LAWS, REGULATIONS
OR POLICIES, EXCEPT WHEN THE RESTRAINT IS USED AS A REASONABLE EMERGENCY
INTERVENTION TO PREVENT IMMINENT RISK OF HARM TO A PERSON RECEIVING
SERVICES OR TO ANY OTHER PERSON. FOR PURPOSES OF THIS SUBDIVISION, A
"RESTRAINT" SHALL INCLUDE THE USE OF ANY MANUAL, PHARMACOLOGICAL OR
MECHANICAL MEASURE OR DEVICE TO IMMOBILIZE OR LIMIT THE ABILITY OF A
PERSON RECEIVING SERVICES TO FREELY MOVE HIS OR HER ARMS, LEGS OR BODY.
(E) "USE OF AVERSIVE CONDITIONING," WHICH SHALL MEAN THE APPLICATION
OF A PHYSICAL STIMULUS THAT IS INTENDED TO INDUCE PAIN OR DISCOMFORT IN
ORDER TO MODIFY OR CHANGE THE BEHAVIOR OF A PERSON RECEIVING SERVICES IN
THE ABSENCE OF A PERSON-SPECIFIC AUTHORIZATION BY THE OPERATING, LICENS-
ING OR CERTIFYING STATE AGENCY PURSUANT TO GOVERNING STATE AGENCY REGU-
LATIONS. AVERSIVE CONDITIONING MAY INCLUDE BUT IS NOT LIMITED TO, THE
USE OF PHYSICAL STIMULI SUCH AS NOXIOUS ODORS, NOXIOUS TASTES, BLIND-
FOLDS, THE WITHHOLDING OF MEALS AND THE PROVISION OF SUBSTITUTE FOODS IN
AN UNPALATABLE FORM.
(F) "OBSTRUCTION OF REPORTS OF ABUSE OR NEGLECT," WHICH SHALL MEAN
CONDUCT BY AN AGENT OF A FACILITY OR PROVIDER AGENCY THAT IMPEDES THE
DISCOVERY, REPORTING OR INVESTIGATION OF THE TREATMENT OF A SERVICE
RECIPIENT BY FALSIFYING RECORDS RELATED TO THE SAFETY, TREATMENT OR
SUPERVISION OF A SERVICE RECIPIENT WHO MAY HAVE BEEN ABUSED OR
NEGLECTED, ACTIVELY PERSUADING A MANDATED REPORTER FROM MAKING A REPORT
OF ABUSE OR NEGLECT TO THE STATEWIDE VULNERABLE PERSONS' CENTRAL REGIS-
TER WITH THE INTENT TO SUPPRESS THE REPORTING OF THE INVESTIGATION OF AN
INCIDENT OF ABUSE OR NEGLECT, INTENTIONALLY MAKING A FALSE STATEMENT OR
INTENTIONALLY WITHHOLDING MATERIAL INFORMATION DURING AN INVESTIGATION
INTO A REPORT OF ABUSE OR NEGLECT; INTENTIONAL FAILURE OF A SUPERVISOR
OR MANAGER TO ACT UPON A REPORT OF ABUSE OR NEGLECT IN ACCORDANCE WITH
GOVERNING STATE AGENCY REGULATIONS, POLICIES OR PROCEDURES; OR, FOR A
MANDATED REPORTER WHO IS AN AGENT OF A FACILITY OR PROVIDER AGENCY,
FAILING TO REPORT ABUSE OR NEGLECT UPON DISCOVERY.
(G) "UNLAWFUL USE OR ADMINISTRATION OF A CONTROLLED SUBSTANCE," WHICH
SHALL MEAN ANY ADMINISTRATION TO A SERVICE RECIPIENT OF: A CONTROLLED
SUBSTANCE AS DEFINED BY ARTICLE THIRTY-THREE OF THE PUBLIC HEALTH LAW,
WITHOUT A PRESCRIPTION; OR OTHER MEDICATION NOT APPROVED FOR ANY USE BY
THE FEDERAL FOOD AND DRUG ADMINISTRATION. IT ALSO SHALL INCLUDE AN AGENT
USING OR DISTRIBUTING AN UNLAWFUL CONTROLLED SUBSTANCE AS DEFINED BY
ARTICLE THIRTY-THREE OF THE PUBLIC HEALTH LAW, AT THE WORKPLACE OR WHILE
ON DUTY.
(H) "NEGLECT," WHICH SHALL MEAN ANY INACTION OR LACK OF ATTENTION BY
AN AGENT OF A FACILITY OR PROVIDER AGENCY THAT RESULTS IN OR HAS THE
REASONABLY FORESEEABLE POTENTIAL TO RESULT IN PHYSICAL INJURY OR SERIOUS
OR PROTRACTED IMPAIRMENT OF THE PHYSICAL, MENTAL OR EMOTIONAL CONDITION
OF A SERVICE RECIPIENT. NEGLECT SHALL INCLUDE, BUT IS NOT LIMITED TO:
(I) FAILURE TO PROVIDE PROPER SUPERVISION, INCLUDING A LACK OF PROPER
SUPERVISION THAT RESULTS IN CONDUCT BETWEEN PERSONS RECEIVING SERVICES
THAT WOULD CONSTITUTE ABUSE IF COMMITTED BY AN AGENT OR AGENTS OF A
S. 7400 19
FACILITY OR PROVIDER AGENCY; (II) FAILURE TO PROVIDE ADEQUATE FOOD,
CLOTHING, SHELTER, MEDICAL, DENTAL, OPTOMETRIC OR SURGICAL CARE,
CONSISTENT WITH THE RULES OR REGULATIONS PROMULGATED BY THE STATE AGENCY
OPERATING, CERTIFYING OR SUPERVISING THE FACILITY OR PROVIDER AGENCY,
PROVIDED THAT THE FACILITY OR PROVIDER AGENCY HAS REASONABLE ACCESS TO
THE PROVISION OF SUCH SERVICES AND THAT NECESSARY CONSENTS TO ANY SUCH
MEDICAL, DENTAL, OPTOMETRIC OR SURGICAL TREATMENT HAVE BEEN SOUGHT AND
OBTAINED FROM THE APPROPRIATE INDIVIDUALS; OR (III) FAILURE TO PROVIDE
ACCESS TO EDUCATIONAL INSTRUCTION, BY AN AGENT WITH A DUTY TO ENSURE
THAT AN INDIVIDUAL RECEIVES ACCESS TO SUCH INSTRUCTION IN ACCORDANCE
WITH THE PROVISIONS OF PART ONE OF ARTICLE SIXTY-FIVE OF THE EDUCATION
LAW.
2. "AGENT OF A FACILITY OR PROVIDER AGENCY" SHALL MEAN A PERSON
AUTHORIZED TO ACT FOR A PROVIDER OF SERVICES IN A FACILITY OR PROVIDER
AGENCY, INCLUDING BUT NOT LIMITED TO AN EMPLOYEE, MANAGER, ADMINISTRA-
TOR, CONSULTANT, INTERN OR VOLUNTEER, OR A CONTRACTOR WHO HAS REGULAR
AND SUBSTANTIAL CONTACT WITH SERVICE RECIPIENTS.
3. "EXECUTIVE DIRECTOR" SHALL MEAN THE EXECUTIVE DIRECTOR OF THE
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS.
4. "FACILITY" OR "PROVIDER AGENCY" SHALL MEAN:
(A) A FACILITY OR PROGRAM IN WHICH SERVICES ARE PROVIDED AND WHICH IS
OPERATED, LICENSED OR CERTIFIED BY THE OFFICE OF MENTAL HEALTH, THE
OFFICE FOR PEOPLE WITH DEVELOPMENTAL DISABILITIES OR THE OFFICE OF ALCO-
HOLISM AND SUBSTANCE ABUSE SERVICES, INCLUDING BUT NOT LIMITED TO
PSYCHIATRIC CENTERS, INPATIENT PSYCHIATRIC UNITS OF A GENERAL HOSPITAL,
DEVELOPMENTAL CENTERS, INTERMEDIATE CARE FACILITIES, COMMUNITY RESI-
DENCES, GROUP HOMES AND FAMILY CARE HOMES, PROVIDED, HOWEVER, THAT SUCH
TERM SHALL NOT INCLUDE A SECURE TREATMENT FACILITY AS DEFINED IN SECTION
10.03 OF THE MENTAL HYGIENE LAW, OR SERVICES PROVIDED IN PROGRAMS OR
FACILITIES THAT ARE OPERATED BY THE OFFICE OF MENTAL HEALTH AND LOCATED
IN STATE CORRECTIONAL FACILITIES UNDER THE JURISDICTION OF THE DEPART-
MENT OF CORRECTIONS AND COMMUNITY SUPERVISION.
(B) ANY PROGRAM OR FACILITY THAT IS OPERATED BY THE OFFICE OF CHILDREN
AND FAMILY SERVICES FOR JUVENILE DELINQUENTS OR JUVENILE OFFENDERS
PLACED IN THE CUSTODY OF THE COMMISSIONER OF SUCH OFFICE AND ANY RESI-
DENTIAL PROGRAMS OR FACILITIES LICENSED OR CERTIFIED BY THE OFFICE OF
CHILDREN AND FAMILY SERVICES, EXCLUDING FOSTER FAMILY HOMES AND RESIDEN-
TIAL PROGRAMS FOR VICTIMS OF DOMESTIC VIOLENCE;
(C) ADULT CARE FACILITIES, WHICH SHALL MEAN: (I) AN ADULT HOME OR
ENRICHED HOUSING PROGRAM LICENSED PURSUANT TO ARTICLE SEVEN OF THIS
CHAPTER; (II) AN ADULT HOME OR ENRICHED HOUSING PROGRAM AUTHORIZED TO
OPERATE AN ASSISTED LIVING PROGRAM PURSUANT TO SECTION FOUR HUNDRED
SIXTY-ONE-L OF THIS CHAPTER; (III) SUCH AN ADULT HOME OR ENRICHED HOUS-
ING PROGRAM WITH ASSISTED LIVING RESIDENCE LICENSURE PURSUANT TO ARTICLE
FORTY-SIX-B OF THE PUBLIC HEALTH LAW; OR (IV) OVERNIGHT SUMMER DAY AND
TRAVELING SUMMER DAY CAMPS FOR CHILDREN WITH DEVELOPMENTAL DISABILITIES
AS DEFINED IN REGULATIONS PROMULGATED BY THE COMMISSIONER OF HEALTH; OR
(D) THE NEW YORK STATE SCHOOL FOR THE BLIND AND THE NEW YORK STATE
SCHOOL FOR THE DEAF, WHICH OPERATE PURSUANT TO ARTICLES EIGHTY-SEVEN AND
EIGHTY-EIGHT OF THE EDUCATION LAW; AN INSTITUTION FOR THE INSTRUCTION OF
THE DEAF AND THE BLIND WHICH HAS A RESIDENTIAL COMPONENT AND IS SUBJECT
TO THE VISITATION OF THE COMMISSIONER OF EDUCATION PURSUANT TO ARTICLE
EIGHTY-FIVE OF THE EDUCATION LAW WITH RESPECT TO ITS DAY AND RESIDENTIAL
COMPONENTS; SPECIAL ACT SCHOOL DISTRICTS SERVING STUDENTS WITH DISABILI-
TIES; OR IN-STATE PRIVATE SCHOOLS WHICH HAVE BEEN APPROVED BY THE
COMMISSIONER OF EDUCATION FOR SPECIAL EDUCATION SERVICES OR PROGRAMS,
S. 7400 20
AND WHICH HAVE A RESIDENTIAL PROGRAM, INCLUDING A SCHOOL APPROVED ON A
CHILD-SPECIFIC BASIS FOR EMERGENCY INTERIM PLACEMENTS PURSUANT TO
GOVERNING STATE REGULATIONS, WITH RESPECT TO ITS DAY AND RESIDENTIAL
COMPONENTS.
4-A. "STATE OVERSIGHT AGENCY" SHALL MEAN THE STATE AGENCY THAT OPER-
ATES, LICENSES OR CERTIFIES AN APPLICABLE FACILITY OR PROVIDER AGENCY;
PROVIDED HOWEVER THAT SUCH TERM SHALL ONLY INCLUDE THE FOLLOWING ENTI-
TIES: THE OFFICE OF MENTAL HEALTH, THE OFFICE FOR PEOPLE WITH DEVELOP-
MENTAL DISABILITIES, THE OFFICE OF ALCOHOLISM AND SUBSTANCE ABUSE
SERVICES, THE OFFICE OF CHILDREN AND FAMILY SERVICES, THE DEPARTMENT OF
HEALTH AND THE STATE EDUCATION DEPARTMENT. "STATE OVERSIGHT AGENCY" DOES
NOT INCLUDE AGENCIES THAT ARE CERTIFICATION AGENCIES PURSUANT TO FEDERAL
LAW OR REGULATION.
5. "MANDATED REPORTER" SHALL MEAN AN AGENT OF A FACILITY OR PROVIDER
AGENCY AND ANY: PHYSICIAN; REGISTERED PHYSICIAN ASSISTANT; SURGEON;
MEDICAL EXAMINER; CORONER; DENTIST; DENTAL HYGIENIST; OSTEOPATH; OPTOME-
TRIST; CHIROPRACTOR; PODIATRIST; RESIDENT; INTERN; PSYCHOLOGIST; REGIS-
TERED NURSE; LICENSED PRACTICAL NURSE; NURSE PRACTITIONER; SOCIAL WORK-
ER; EMERGENCY MEDICAL TECHNICIAN; LICENSED CREATIVE ARTS THERAPIST;
LICENSED MARRIAGE AND FAMILY THERAPIST; LICENSED MENTAL HEALTH COUNSE-
LOR; LICENSED PSYCHOANALYST; HOSPITAL PERSONNEL ENGAGED IN THE ADMIS-
SION, EXAMINATION, CARE OR TREATMENT OF PERSONS; CHRISTIAN SCIENCE PRAC-
TITIONER; SCHOOL OFFICIAL, WHICH INCLUDES BUT IS NOT LIMITED TO SCHOOL
TEACHER, SCHOOL GUIDANCE COUNSELOR, SCHOOL PSYCHOLOGIST, SCHOOL SOCIAL
WORKER, SCHOOL NURSE, SCHOOL ADMINISTRATOR OR OTHER SCHOOL PERSONNEL
REQUIRED TO HOLD A TEACHING OR ADMINISTRATIVE LICENSE OR CERTIFICATE;
SOCIAL SERVICES WORKER; ANY OTHER CHILD CARE OR FOSTER CARE WORKER;
MENTAL HEALTH PROFESSIONAL; PERSON CREDENTIALED BY THE OFFICE OF ALCO-
HOLISM AND SUBSTANCE ABUSE SERVICES; PEACE OFFICER; POLICE OFFICER;
DISTRICT ATTORNEY OR ASSISTANT DISTRICT ATTORNEY; INVESTIGATOR EMPLOYED
IN THE OFFICE OF A DISTRICT ATTORNEY; OR OTHER LAW ENFORCEMENT OFFICIAL.
6. "PHYSICAL INJURY" AND "IMPAIRMENT OF PHYSICAL CONDITION" SHALL MEAN
ANY CONFIRMED HARM, HURT OR DAMAGE RESULTING IN A SIGNIFICANT WORSENING
OR DIMINUTION OF AN INDIVIDUAL'S PHYSICAL CONDITION.
7. "DELEGATE INVESTIGATORY ENTITY" SHALL MEAN A FACILITY OR PROVIDER
AGENCY, OR ANY OTHER ENTITY AUTHORIZED BY THE REGULATIONS OF A STATE
OVERSIGHT AGENCY OR THE JUSTICE CENTER FOR PERSONS WITH DISABILITIES OR
SPECIAL NEEDS TO CONDUCT AN INVESTIGATION OF AN ALLEGATION OF ABUSE OR
NEGLECT OR A SIGNIFICANT INCIDENT.
8. "JUSTICE CENTER" SHALL MEAN THE JUSTICE CENTER FOR THE PROTECTION
OF PEOPLE WITH SPECIAL NEEDS.
9. "PERSON RECEIVING SERVICES," OR "SERVICE RECIPIENT" SHALL MEAN AN
INDIVIDUAL WHO RESIDES OR IS AN INPATIENT IN A RESIDENTIAL FACILITY OR
WHO RECEIVES SERVICES FROM A FACILITY OR PROVIDER AGENCY AS DEFINED IN
SUBDIVISION FOUR OF THIS SECTION.
10. "PERSONAL REPRESENTATIVE" SHALL MEAN A PERSON AUTHORIZED UNDER
STATE, TRIBAL, MILITARY OR OTHER APPLICABLE LAW TO ACT ON BEHALF OF A
VULNERABLE PERSON IN MAKING HEALTH CARE DECISIONS OR, FOR PROGRAMS THAT
SERVE CHILDREN UNDER THE JURISDICTION OF THE STATE EDUCATION DEPARTMENT
OR THE OFFICE OF CHILDREN AND FAMILY SERVICES, THE SERVICE RECIPIENT'S
PARENT, GUARDIAN OR OTHER PERSON LEGALLY RESPONSIBLE FOR SUCH PERSON.
11. "REPORTABLE INCIDENT" SHALL MEAN AN ALLEGATION OF ABUSE, NEGLECT,
OR A SIGNIFICANT INCIDENT, AS THESE TERMS ARE DEFINED IN THIS SECTION OR
ANY OTHER CONDUCT OR OCCURRENCE THAT THE STATE OVERSIGHT AGENCY IDENTI-
FIES AS WARRANTING MONITORING.
S. 7400 21
12. "SIGNIFICANT INCIDENT" SHALL MEAN AN INCIDENT, OTHER THAN AN INCI-
DENT OF ABUSE OR NEGLECT, THAT BECAUSE OF ITS SEVERITY OR THE SENSITIV-
ITY OF THE SITUATION MAY RESULT IN OR HAS THE REASONABLY FORESEEABLE
POTENTIAL TO RESULT IN HARM TO THE HEALTH, SAFETY OR WELFARE OF A PERSON
RECEIVING SERVICES AND SHALL INCLUDE BUT SHALL NOT BE LIMITED TO:
(A) CONDUCT BETWEEN PERSONS RECEIVING SERVICES THAT WOULD CONSTITUTE
ABUSE IF COMMITTED BY AN AGENT OR AGENTS OF A FACILITY OR PROVIDER AGEN-
CY; OR
(B) CONDUCT ON THE PART OF AN AGENT OF A FACILITY OR PROVIDER AGENCY,
WHICH IS INCONSISTENT WITH A SERVICE RECIPIENT'S INDIVIDUAL TREATMENT
PLAN, GENERALLY ACCEPTED TREATMENT PRACTICES AND/OR APPLICABLE FEDERAL
OR STATE LAWS, REGULATIONS OR POLICIES AND WHICH IMPAIRS OR CREATES A
REASONABLY FORESEEABLE POTENTIAL TO IMPAIR THE HEALTH, SAFETY OR WELFARE
OF A PERSON RECEIVING SERVICES, INCLUDING BUT NOT LIMITED TO:
(I) UNAUTHORIZED SECLUSION, WHICH SHALL MEAN THE PLACEMENT OF A PERSON
RECEIVING SERVICES IN A ROOM OR AREA FROM WHICH HE OR SHE CANNOT, OR
PERCEIVES THAT HE OR SHE CANNOT, LEAVE AT WILL;
(II) UNAUTHORIZED USE OF TIME-OUT, WHICH SHALL MEAN THE USE OF A
PROCEDURE IN WHICH A PERSON RECEIVING SERVICES IS REMOVED FROM REGULAR
PROGRAMMING AND ISOLATED IN A ROOM OR AREA FOR THE CONVENIENCE OF AGENTS
OF A FACILITY, OR AS A SUBSTITUTE FOR PROGRAMMING;
(III) EXCEPT AS PROVIDED FOR IN PARAGRAPH (G) OF SUBDIVISION ONE OF
THIS SECTION, THE ADMINISTRATION OF A PRESCRIBED OR OVER-THE-COUNTER
MEDICATION, WHICH IS INCONSISTENT WITH A PRESCRIPTION OR ORDER ISSUED
FOR A SERVICE RECIPIENT BY A LICENSED, QUALIFIED HEALTH CARE PRACTITION-
ER, AND WHICH HAS AN ADVERSE EFFECT ON A SERVICE RECIPIENT. FOR
PURPOSES OF THIS PARAGRAPH, "ADVERSE EFFECT" SHALL MEAN THE UNANTIC-
IPATED AND UNDESIRABLE SIDE EFFECT FROM THE ADMINISTRATION OF A PARTIC-
ULAR MEDICATION WHICH UNFAVORABLY AFFECTS THE WELL-BEING OF A SERVICE
RECIPIENT; OR
(C) ANY OTHER CONDUCT IDENTIFIED IN REGULATIONS OF THE STATE OVERSIGHT
AGENCY, PURSUANT TO GUIDELINES OR STANDARDS ESTABLISHED BY THE EXECUTIVE
DIRECTOR.
13. "SUBJECT OF THE REPORT" SHALL MEAN AN AGENT OF A FACILITY OR
PROVIDER AGENCY, AS DEFINED IN SUBDIVISION FOUR OF THIS SECTION, WHO IS
REPORTED TO THE VULNERABLE PERSONS' CENTRAL REGISTER FOR THE ALLEGED
ABUSE OR NEGLECT OF A VULNERABLE PERSON.
14. "OTHER PERSONS NAMED IN THE REPORT" SHALL MEAN AND BE LIMITED TO
THE FOLLOWING PERSONS WHO ARE NAMED IN A REPORT OF ABUSE OR NEGLECT
OTHER THAN THE SUBJECT OF THE REPORT: THE SERVICE RECIPIENT WHOSE CARE
AND TREATMENT IS THE CONCERN OF A REPORT TO THE VULNERABLE PERSONS'
CENTRAL REGISTER, AND THE PERSONAL REPRESENTATIVE, IF ANY, AS DEFINED IN
SUBDIVISION TEN OF THIS SECTION.
15. "VULNERABLE PERSONS' CENTRAL REGISTER" SHALL MEAN THE STATEWIDE
CENTRAL REGISTER OF ABUSE AND NEGLECT OF VULNERABLE PERSONS, WHICH SHALL
OPERATE IN ACCORDANCE WITH SECTION FOUR HUNDRED NINETY-TWO OF THIS ARTI-
CLE.
16. "VULNERABLE PERSON" SHALL MEAN A PERSON WHO, DUE TO PHYSICAL OR
COGNITIVE DISABILITIES, OR THE NEED FOR SPECIALIZED SERVICES OR PLACE-
MENT, IS RECEIVING SERVICES FROM A FACILITY OR PROVIDER AGENCY.
S 489. APPLICABILITY. THE PROVISIONS OF THIS ARTICLE SHALL APPLY TO
FACILITIES AND PROVIDER AGENCIES PROVIDED, HOWEVER, NOTHING IN THIS
ARTICLE SHALL BE DEEMED TO RELIEVE ANY FACILITY OR PROVIDER AGENCY OR
AGENT THEREOF COVERED BY THIS ARTICLE OF ITS OR THEIR OBLIGATIONS TO
COMPLY WITH THE REQUIREMENTS OF FEDERAL LAWS OR REGULATIONS TO WHICH
THAT FACILITY, PROVIDER AGENCY OR AGENT THEREOF IS SUBJECT, INCLUDING
S. 7400 22
ANY REQUIREMENTS THAT ARE A CONDITION OF FEDERAL FINANCIAL PARTICIPATION
IN MEDICAL ASSISTANCE PAYMENTS. TO THE EXTENT THAT FEDERAL REQUIREMENTS
CONFLICT WITH ANY OF THE PROVISIONS IN THIS ARTICLE, THE FEDERAL
REQUIREMENTS SHALL SUPERSEDE THE CONFLICTING PROVISIONS IN THIS ARTICLE
WITH RESPECT TO ANY SUCH FACILITY OR PROVIDER AGENCY.
S 490. INCIDENT MANAGEMENT PROGRAMS. 1. EACH STATE OVERSIGHT AGENCY,
AS DEFINED IN THIS ARTICLE, SHALL PROMULGATE REGULATIONS APPROVED BY THE
JUSTICE CENTER, THAT CONTAIN PROCEDURES AND REQUIREMENTS CONSISTENT WITH
GUIDELINES AND STANDARDS DEVELOPED BY THE JUSTICE CENTER, ADDRESSING THE
FOLLOWING ISSUES RELATING TO AN INCIDENT MANAGEMENT PROGRAM:
(A) ALL REPORTABLE INCIDENTS ARE IDENTIFIED AND REPORTED IN A TIMELY
MANNER IN ACCORDANCE WITH THIS ARTICLE;
(B) ALL REPORTABLE INCIDENTS ARE INVESTIGATED IN A TIMELY MANNER;
(C) INDIVIDUAL INCIDENTS OF ABUSE OR NEGLECT AND SIGNIFICANT INCI-
DENTS, AND INCIDENT PATTERNS AND TRENDS, ARE REVIEWED TO IDENTIFY AND
IMPLEMENT PREVENTIVE AND CORRECTIVE ACTIONS, WHICH MAY INCLUDE, BUT
SHALL NOT BE LIMITED TO, STAFF RETRAINING OR ANY APPROPRIATE DISCIPLI-
NARY ACTION ALLOWED BY LAW OR CONTRACT, AS WELL AS OPPORTUNITIES FOR
IMPROVEMENT;
(D) PATTERNS AND TRENDS IN THE REPORTING AND RESPONSE TO ALLEGATIONS
OF ABUSE AND NEGLECT AND OTHER REPORTABLE INCIDENTS ARE REVIEWED AND
PLANS OF IMPROVEMENT ARE TIMELY DEVELOPED BASED ON SUCH REVIEWS;
(E) INFORMATION REGARDING INDIVIDUAL REPORTABLE INCIDENTS, INCIDENT
PATTERNS AND TRENDS, AND PATTERNS AND TRENDS IN THE REPORTING AND
RESPONSE TO ALLEGATIONS OF ABUSE AND NEGLECT AND OTHER REPORTABLE INCI-
DENTS IS SHARED, CONSISTENT WITH APPLICABLE LAW, WITH THE JUSTICE
CENTER, IN THE FORM AND MANNER REQUIRED BY THE JUSTICE CENTER AND, FOR
FACILITIES OR PROVIDER AGENCIES THAT ARE NOT STATE OPERATED, WITH THE
APPLICABLE STATE OVERSIGHT AGENCY WHICH SHALL PROVIDE SUCH INFORMATION
TO THE JUSTICE CENTER; AND
(F) INCIDENT REVIEW COMMITTEES ARE ESTABLISHED; PROVIDED, HOWEVER,
THAT THE REGULATIONS MAY AUTHORIZE AN EXEMPTION FROM THIS REQUIREMENT,
WHEN APPROPRIATE, BASED ON THE SIZE OF THE FACILITY OR PROVIDER AGENCY
OR OTHER RELEVANT FACTORS. SUCH COMMITTEES SHALL BE COMPOSED OF MEMBERS
OF THE GOVERNING BODY OF THE FACILITY OR PROVIDER AGENCY AND OTHER
PERSONS IDENTIFIED BY THE DIRECTOR OF THE FACILITY OR PROVIDER AGENCY,
INCLUDING SOME MEMBERS OF THE FOLLOWING: DIRECT SUPPORT STAFF, LICENSED
HEALTH CARE PRACTITIONERS, SERVICE RECIPIENTS AND REPRESENTATIVES OF
FAMILY, CONSUMER AND OTHER ADVOCACY ORGANIZATIONS, BUT NOT THE DIRECTOR
OF THE FACILITY OR PROVIDER AGENCY. SUCH COMMITTEE SHALL MEET REGULARLY
TO: (I) REVIEW THE TIMELINESS, THOROUGHNESS AND APPROPRIATENESS OF THE
FACILITY OR PROVIDER AGENCY'S RESPONSES TO REPORTABLE INCIDENTS; (II)
RECOMMEND ADDITIONAL OPPORTUNITIES FOR IMPROVEMENT TO THE DIRECTOR OF
THE FACILITY OR PROVIDER AGENCY, IF APPROPRIATE; (III) REVIEW INCIDENT
TRENDS AND PATTERNS CONCERNING REPORTABLE INCIDENTS; AND (IV) MAKE
RECOMMENDATIONS TO THE DIRECTOR OF THE FACILITY OR PROVIDER AGENCY TO
ASSIST IN REDUCING REPORTABLE INCIDENTS. MEMBERS OF THE COMMITTEE SHALL
BE TRAINED IN CONFIDENTIALITY LAWS AND REGULATIONS, AND SHALL COMPLY
WITH SECTION SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW.
2. NOTWITHSTANDING ANY OTHER PROVISION OF LAW, EXCEPT AS MAY BE
PROVIDED BY SECTION 33.25 OF THE MENTAL HYGIENE LAW, RECORDS, REPORTS OR
OTHER INFORMATION MAINTAINED BY THE JUSTICE CENTER, STATE OVERSIGHT
AGENCIES, DELEGATE INVESTIGATORY ENTITIES AND FACILITIES AND PROVIDER
AGENCIES REGARDING THE DELIBERATIONS OF AN INCIDENT REVIEW COMMITTEE
SHALL BE CONFIDENTIAL AND SHALL NOT BE DISCLOSED TO ANY PARTY UNLESS
OTHERWISE REQUIRED BY LAW AND, PROVIDED, FURTHER, THAT NOTHING IN THIS
S. 7400 23
ARTICLE SHALL BE DEEMED TO DIMINISH OR OTHERWISE DEROGATE THE LEGAL
PRIVILEGE AFFORDED TO PROCEEDINGS, RECORDS, REPORTS OR OTHER INFORMATION
RELATING TO A QUALITY ASSURANCE FUNCTION, INCLUDING THE INVESTIGATION OF
AN INCIDENT REPORTED PURSUANT TO SECTION 29.29 OF THE MENTAL HYGIENE
LAW, AS PROVIDED IN SECTION SIXTY-FIVE HUNDRED TWENTY-SEVEN OF THE
EDUCATION LAW. FOR PURPOSES OF THIS SECTION, A QUALITY ASSURANCE FUNC-
TION IS A PROCESS FOR SYSTEMATICALLY MONITORING AND EVALUATING VARIOUS
ASPECTS OF A PROGRAM, SERVICE OR FACILITY TO ENSURE THAT STANDARDS OF
CARE ARE BEING MET.
3. NO MEMBER OF AN INCIDENT REVIEW COMMITTEE PERFORMING A QUALITY
ASSURANCE FUNCTION SHALL BE PERMITTED OR REQUIRED TO TESTIFY IN A JUDI-
CIAL OR ADMINISTRATIVE PROCEEDING WITH RESPECT TO QUALITY ASSURANCE
RECORDS OR ANY FINDING, RECOMMENDATION, EVALUATION, OPINION OR ACTION
TAKEN, EXCEPT THAT THIS PROVISION IS NOT INTENDED TO RELIEVE ANY STATE
OVERSIGHT AGENCY, DELEGATE INVESTIGATORY ENTITY, FACILITY OR PROVIDER
AGENCY, OR AN AGENT THEREOF, FROM LIABILITY ARISING FROM TREATMENT OF A
SERVICE RECIPIENT.
4. THERE SHALL BE NO MONETARY LIABILITY ON THE PART OF, AND NO CAUSE
OF ACTION FOR DAMAGES SHALL ARISE AGAINST, ANY PERSON ON ACCOUNT OF
PARTICIPATING IN GOOD FAITH AND WITH REASONABLE CARE IN THE COMMUNI-
CATION OF INFORMATION IN THE POSSESSION OF SUCH PERSON TO AN INCIDENT
MANAGEMENT COMMITTEE, OR ON ACCOUNT OF ANY RECOMMENDATION OR EVALUATION
REGARDING THE CONDUCT OR PRACTICES OF ANY AGENT OF A FACILITY OR PROVID-
ER AGENCY.
5. WITH RESPECT TO THE IMPLEMENTATION OF INCIDENT MANAGEMENT PLANS IN
RESIDENTIAL SCHOOLS OR FACILITIES LOCATED OUTSIDE OF NEW YORK STATE, THE
LOCAL SOCIAL SERVICES DISTRICT OR LOCAL EDUCATION AGENCY CONTRACTING OR
PLACING AN INDIVIDUAL WITH SUCH FACILITY OR SCHOOL OR THE STATE AGENCY
FUNDING SUCH INDIVIDUAL'S PLACEMENT SHALL REQUIRE THAT: (A) THE PLACING
ENTITY OR FUNDING AGENCY BE NOTIFIED IMMEDIATELY OF ANY ALLEGATION OF
ABUSE OR NEGLECT, OR OTHER SIGNIFICANT INCIDENT INVOLVING AN INDIVIDUAL
FROM NEW YORK STATE; (B) AN INVESTIGATION BE CONDUCTED BY THE
OUT-OF-STATE FACILITY OR SCHOOL OR OTHER ENTITY AUTHORIZED TO CONDUCT
SUCH INVESTIGATION, OR BY THE PLACING ENTITY OR FUNDING AGENCY, WHERE
PRACTICABLE; AND (C) THE FINDINGS OF SUCH INVESTIGATION BY THE
OUT-OF-STATE FACILITY OR ENTITY BE FORWARDED TO THE PLACING ENTITY OR
FUNDING AGENCY IN NEW YORK STATE WITHIN NINETY DAYS. SUCH ENTITIES OR
AGENCIES SHALL FORWARD SUCH REPORTS TO THE JUSTICE CENTER, AND ITS EXEC-
UTIVE DIRECTOR, IN HIS OR HER DISCRETION MAY TERMINATE FUNDING FOR SUCH
FOR ANY FAILURE TO COMPLY WITH THIS SECTION.
6. ALL FACILITIES OR PROVIDER AGENCIES NOT OTHERWISE SUBJECT TO ARTI-
CLE SIX OF THE PUBLIC OFFICERS LAW SHALL MAKE AVAILABLE FOR PUBLIC
INSPECTION AND COPYING RECORDS RELATING TO ABUSE AND NEGLECT OF VULNER-
ABLE PERSONS AS WOULD BE AVAILABLE FROM A STATE AGENCY, AS DEFINED IN
ARTICLE SIX OF THE PUBLIC OFFICERS LAW UPON WRITTEN REQUEST FOR SUCH
RECORDS, PROVIDED THAT SUCH ENTITIES MAY DENY ACCESS TO RECORDS OR
PORTIONS THEREOF THAT SUCH ENTITY DETERMINES WOULD BE EXEMPT FROM
DISCLOSURE BY A STATE AGENCY PURSUANT TO SUCH ARTICLE. THE REQUESTING
PARTY MAY APPEAL A DENIAL OF ACCESS TO SUCH RECORDS TO THE EXECUTIVE
DIRECTOR OF THE JUSTICE CENTER. A REQUESTING PARTY DENIED ACCESS TO A
RECORD IN SUCH APPEAL DETERMINATION, MAY BRING A PROCEEDING FOR REVIEW
OF SUCH DENIAL PURSUANT TO ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE
LAW AND RULES. THE EXECUTIVE DIRECTOR OF THE JUSTICE CENTER SHALL
PROMULGATE REGULATIONS, CONSISTENT WITH THE PROVISIONS OF ARTICLE SIX OF
THE PUBLIC OFFICERS LAW PROVIDING FOR THE PROMPT RESPONSE TO SUCH
REQUESTS.
S. 7400 24
S 491. DUTY TO REPORT INCIDENTS. 1. (A) MANDATED REPORTERS SHALL
REPORT ALLEGATIONS OF ABUSE OR NEGLECT TO THE VULNERABLE PERSONS'
CENTRAL REGISTER AS ESTABLISHED BY SECTION FOUR HUNDRED NINETY-TWO OF
THIS ARTICLE AND IN ACCORDANCE WITH THE REQUIREMENTS SET FORTH THEREIN.
(B) ALLEGATIONS OF ABUSE OR NEGLECT SHALL BE REPORTED IMMEDIATELY TO
THE VULNERABLE PERSONS' CENTRAL REGISTER UPON DISCOVERY. FOR PURPOSES
OF THIS ARTICLE, "DISCOVERY" OCCURS WHEN THE MANDATED REPORTER WITNESSES
AN INCIDENT OF SUSPECTED ABUSE OR NEGLECT OR WHEN ANOTHER PERSON,
INCLUDING THE VULNERABLE PERSON, COMES BEFORE THE MANDATED REPORTER IN
THE MANDATED REPORTER'S PROFESSIONAL OR OFFICIAL CAPACITY AND PROVIDES
THE MANDATED REPORTER WITH REASONABLE CAUSE TO SUSPECT THAT THE VULNER-
ABLE PERSON HAS BEEN ABUSED OR NEGLECTED; PROVIDED, HOWEVER, SUCH
MANDATED REPORTERS SHALL NOT BE REQUIRED TO REPORT TO THE VULNERABLE
PERSONS' CENTRAL REGISTER ANY INCIDENT THAT THE MANDATED REPORTER ACTU-
ALLY KNOWS HAS ALREADY BEEN REPORTED TO SUCH REGISTER. WHENEVER A
MANDATED REPORTER WHO IS AN AGENT OF A FACILITY OR PROVIDER AGENCY IS
REQUIRED TO REPORT TO THE VULNERABLE PERSONS' CENTRAL REGISTER, SUCH
MANDATED REPORTER SHALL MAKE THE REPORT AS REQUIRED AND SHALL THEN ALSO
REPORT SUCH INCIDENT TO THE ADMINISTRATOR OR A DESIGNATED PERSON IN HIS
OR HER FACILITY OR PROVIDER AGENCY IN ACCORDANCE WITH AGENCY REGU-
LATIONS, POLICIES AND PROCEDURES. THE ADMINISTRATOR OR DESIGNATED PERSON
SHALL BE RESPONSIBLE FOR ALL SUBSEQUENT ADMINISTRATION NECESSITATED BY
THE REPORT. A REPORT TO THE REGISTER SHALL INCLUDE THE NAME, TITLE AND
CONTACT INFORMATION OF EVERY PERSON KNOWN TO THE MANDATED REPORTER TO
HAVE THE SAME INFORMATION AS THE MANDATED REPORTER CONCERNING THE
ALLEGED ABUSE OR NEGLECT. NOTHING IN THIS ARTICLE SHALL BE CONSTRUED TO
REQUIRE MORE THAN ONE REPORT TO THE VULNERABLE PERSONS' CENTRAL REGISTER
CONCERNING A PARTICULAR INCIDENT OR ALLEGATION OF ABUSE OR NEGLECT.
(C) NOTWITHSTANDING THE PRIVILEGES SET FORTH IN ARTICLE FORTY-FIVE OF
THE CIVIL PRACTICE LAW AND RULES, AND ANY OTHER PROVISION OF LAW TO THE
CONTRARY, MANDATED REPORTERS WHO MAKE A REPORT WHICH INITIATES AN INVES-
TIGATION OF AN ALLEGATION OF ABUSE OR NEGLECT OF A VULNERABLE PERSON ARE
REQUIRED TO COMPLY WITH ALL REQUESTS FOR RECORDS MADE BY THE JUSTICE
CENTER FOR PERSONS WITH DISABILITIES OR SPECIAL NEEDS OR A DELEGATE
INVESTIGATORY ENTITY RELATING TO SUCH REPORT, INCLUDING RECORDS RELATING
TO DIAGNOSIS, PROGNOSIS OR TREATMENT, AND CLINICAL RECORDS, OF ANY
PATIENT OR CLIENT THAT ARE ESSENTIAL FOR A FULL INVESTIGATION OF ALLEGA-
TIONS OF ABUSE OR NEGLECT PURSUANT TO THIS ARTICLE; PROVIDED, HOWEVER,
THAT DISCLOSURE OF SUBSTANCE ABUSE TREATMENT AND EDUCATIONAL RECORDS
SHALL BE MADE PURSUANT TO THE STANDARDS AND PROCEDURES FOR DISCLOSURE OF
SUCH RECORDS DELINEATED IN FEDERAL LAW. WRITTEN REPORTS FROM PERSONS OR
OFFICIALS REQUIRED BY THIS TITLE TO REPORT SHALL BE ADMISSIBLE IN
EVIDENCE IN ANY PROCEEDINGS RELATING TO ABUSE OR NEGLECT.
2. (A) AGENTS OF A FACILITY OR PROVIDER AGENCY SHALL PROMPTLY REPORT
ANY SIGNIFICANT INCIDENT TO THE DIRECTOR OF THE FACILITY OR PROVIDER
AGENCY AND THE APPLICABLE STATE OVERSIGHT AGENCY IN ACCORDANCE WITH THE
REGULATIONS OF SUCH STATE OVERSIGHT AGENCY; PROVIDED, HOWEVER, ANY
PERSON WHO HAS REASONABLE CAUSE TO SUSPECT THAT A PERSON RECEIVING
SERVICES HAS BEEN SUBJECT TO A SIGNIFICANT INCIDENT ALSO MAY MAKE SUCH A
REPORT. THE APPLICABLE STATE OVERSIGHT AGENCY SHALL NOTIFY THE JUSTICE
CENTER OF ANY SUCH INCIDENT, IN THE FORM AND MANNER PROVIDED BY THE
RULES, REGULATIONS, GUIDELINES OR STANDARDS ESTABLISHED BY THE JUSTICE
CENTER.
(B) IN ACCORDANCE WITH REGULATIONS OF THE APPLICABLE STATE OVERSIGHT
AGENCY, REPORTS OF SIGNIFICANT INCIDENTS SHALL BE INVESTIGATED, EITHER
BY THE STATE OVERSIGHT AGENCY, THE JUSTICE CENTER OR BY A DELEGATE
S. 7400 25
INVESTIGATORY ENTITY, AND THE RESULTS OF THE INVESTIGATION SHALL BE
REVIEWED AND THE INCIDENT RESOLVED PURSUANT TO THE PROCEDURES ESTAB-
LISHED AS PART OF THE INCIDENT MANAGEMENT PROGRAM DESCRIBED IN SECTION
FOUR HUNDRED NINETY OF THIS ARTICLE.
3. ANY PERSON OR OFFICIAL REQUIRED TO REPORT CASES OF SUSPECTED ABUSE
OR NEGLECT OR A SIGNIFICANT INCIDENT PURSUANT TO THIS SECTION MAY TAKE
OR CAUSE TO BE TAKEN COLOR PHOTOGRAPHS OF VISIBLE TRAUMA AND THE FACE OF
THE VULNERABLE PERSON NAMED IN THE REPORT AND UPON THE CONSENT OF A
PERSON AUTHORIZED TO CONSENT TO MEDICAL CARE FOR THE VULNERABLE PERSON,
SHALL, IF MEDICALLY INDICATED, CAUSE TO BE PERFORMED A RADIOLOGICAL
EXAMINATION OF THE VULNERABLE PERSON. ANY PHOTOGRAPHS OR RADIOLOGICAL
EXAMINATIONS TAKEN SHALL BE PROVIDED TO THE JUSTICE CENTER FOR USE ONLY
FOR THE PURPOSES OF AN INVESTIGATION OF ABUSE, NEGLECT OR A SIGNIFICANT
INCIDENT.
4. (A) ANY PERSON OR OFFICIAL REQUIRED BY THIS ARTICLE TO REPORT A
CASE OF SUSPECTED ABUSE OR NEGLECT TO THE VULNERABLE PERSONS' CENTRAL
REGISTER WHO WILLFULLY FAILS TO DO SO SHALL BE GUILTY OF A CLASS A
MISDEMEANOR.
(B) ANY PERSON OR OFFICIAL REQUIRED BY THIS ARTICLE TO REPORT A CASE
OF SUSPECTED ABUSE OR NEGLECT TO THE VULNERABLE PERSONS' CENTRAL REGIS-
TER WHO KNOWINGLY AND WILLFULLY FAILS TO DO SO SHALL BE CIVILLY LIABLE
FOR THE DAMAGES PROXIMATELY CAUSED BY SUCH FAILURE.
5. A MEDICAL OR OTHER PUBLIC OR PRIVATE INSTITUTION, STATE AGENCY,
SCHOOL, FACILITY OR PROVIDER AGENCY SHALL NOT TAKE ANY RETALIATORY
PERSONNEL ACTION, AS SUCH TERM IS DEFINED IN PARAGRAPH (E) OF SUBDIVI-
SION ONE OF SECTION SEVEN HUNDRED FORTY OF THE LABOR LAW, AGAINST AN
EMPLOYEE OR AGENT BECAUSE SUCH EMPLOYEE OR AGENT BELIEVES THAT HE OR SHE
HAS REASONABLE CAUSE TO SUSPECT THAT A VULNERABLE PERSON HAS BEEN
NEGLECTED OR HAS BEEN SUBJECTED TO A SIGNIFICANT INCIDENT AND THAT
EMPLOYEE OR AGENT THEREFORE MAKES A REPORT IN ACCORDANCE WITH THIS
SECTION. A COURT OF COMPETENT JURISDICTION MAY GRANT INJUNCTIVE RELIEF
TO ANY PERSON DETERMINED TO HAVE BEEN SUBJECTED TO SUCH RETALIATION.
S 492. VULNERABLE PERSONS' CENTRAL REGISTER. 1. THERE SHALL BE ESTAB-
LISHED IN THE JUSTICE CENTER A STATEWIDE VULNERABLE PERSONS' CENTRAL
REGISTER. THE REGISTER SHALL: (A) RECEIVE REPORTS OF ALLEGATIONS OF
ABUSE OR NEGLECT OF PERSONS RECEIVING SERVICES IN FACILITIES OR PROVIDER
AGENCIES SUBJECT TO THE REQUIREMENTS OF THIS ARTICLE; (B) AS WARRANTED,
REFER REPORTS ALLEGING CRIMES TO APPROPRIATE LAW ENFORCEMENT AUTHORI-
TIES; (C) NOTIFY APPROPRIATE PERSONS AND OFFICIALS OF RECEIVED AND
ACCEPTED REPORTS; AND (D) MAINTAIN AN ELECTRONIC DATABASE OF EACH REPORT
AND THE FINDING ASSOCIATED WITH EACH REPORT. IN ACCORDANCE WITH THIS
SECTION, THE EXECUTIVE DIRECTOR SHALL ESTABLISH STANDARDS AND PROCEDURES
FOR THE OPERATION OF THE VULNERABLE PERSONS' CENTRAL REGISTER.
2. (A) THE VULNERABLE PERSONS' CENTRAL REGISTER SHALL BE STAFFED BY
PERSONS WITH AT LEAST A BACCALAUREATE OR EQUIVALENT COLLEGE DEGREE IN A
RELEVANT FIELD OF STUDY OR AT LEAST TWO YEARS OF EXPERIENCE IN THE
DIRECT PROVISION OF SERVICES, ADULT OR CHILD PROTECTIVE SERVICES, OR ANY
OTHER QUALIFICATIONS IDENTIFIED BY THE EXECUTIVE DIRECTOR. DIRECT
SERVICE PROVISION SHALL INCLUDE THE CARE, INVESTIGATION, ASSESSMENT,
TREATMENT, OR CASE PLANNING FOR PERSONS IN FACILITIES OR PROGRAMS
COVERED BY THIS ARTICLE OR EQUIVALENT FACILITIES OR PROGRAMS. VULNER-
ABLE PERSONS' CENTRAL REGISTER STAFF ALSO SHALL HAVE ACCESS TO APPROPRI-
ATE LAW ENFORCEMENT OFFICERS OR OTHERS WITH LAW ENFORCEMENT EXPERIENCE
WHO SHALL ASSIST IN SCREENING REPORTS THAT APPEAR TO ALLEGE CRIMINAL
OFFENSES AND HELP REFER REPORTS, AS WARRANTED, TO APPROPRIATE LAW
ENFORCEMENT AUTHORITIES.
S. 7400 26
(B) THE VULNERABLE PERSONS' CENTRAL REGISTER SHALL RECEIVE REPORTS OF
ALLEGATIONS OF ABUSE OR NEGLECT TWENTY-FOUR HOURS PER DAY, SEVEN DAYS A
WEEK. MANDATED REPORTERS SHALL MAKE SUCH REPORTS IN ACCORDANCE WITH
SECTION FOUR HUNDRED NINETY-ONE OF THIS ARTICLE; PROVIDED, HOWEVER, ANY
PERSON WHO HAS REASONABLE CAUSE TO SUSPECT THAT A PERSON RECEIVING
SERVICES IS ABUSED OR NEGLECTED MAY MAKE SUCH A REPORT. IN NO EVENT
SHALL A REPORT BY A MANDATED REPORTER TO THE VULNERABLE PERSONS' CENTRAL
REGISTER ELIMINATE THE OBLIGATION OF A MANDATED REPORTER TO REPORT INCI-
DENTS IN ACCORDANCE WITH THE APPLICABLE LAWS, REGULATIONS AND POLICY OF
THE APPLICABLE STATE OVERSIGHT AGENCY.
(C) REPORTS OF ALLEGATIONS OF ABUSE OR NEGLECT SHALL BE SUBMITTED, BY
A STATEWIDE, TOLL-FREE TELEPHONE NUMBER (A "HOTLINE") OR BY ELECTRONIC
TRANSMISSION, IN A MANNER AND ON FORMS PRESCRIBED BY THE EXECUTIVE
DIRECTOR. THE INFORMATION REQUIRED ON THE REPORTING FORM SHALL INCLUDE
BUT IS NOT LIMITED TO: THE NAME AND CONTACT INFORMATION OF THE PERSON OR
PERSONS MAKING THE REPORT, IF AVAILABLE, AND, IF THE REPORT IS MADE BY
AN AGENT OF A FACILITY OR PROVIDER AGENCY, ANY OTHER STAFF WHO HAVE THE
SAME INFORMATION; THE NAME AND ADDRESS OF THE FACILITY OR PROVIDER AGEN-
CY; THE DATE, TIME, SPECIFIC LOCATION AND DESCRIPTION OF THE INCIDENT;
THE NAME AND CONTACT INFORMATION OF THE SUBJECT OF THE REPORT OF ABUSE
OR NEGLECT, IF KNOWN; THE NAME OF THE VULNERABLE PERSON ALLEGED TO HAVE
BEEN ABUSED OR NEGLECTED; THE NAMES OF PERSONAL REPRESENTATIVES FOR THE
VULNERABLE PERSON WHO IS ALLEGED TO HAVE BEEN ABUSED OR NEGLECTED, IF
KNOWN; AND ANY OTHER INFORMATION OR DOCUMENTATION THAT THE EXECUTIVE
DIRECTOR BELIEVES MAY BE HELPFUL. THE INABILITY OF A PERSON MAKING A
REPORT TO IDENTIFY A SUBJECT SHALL, IN NO CIRCUMSTANCE, CONSTITUTE CAUSE
TO REJECT SUCH ALLEGATION FOR INVESTIGATION OR TO FAIL TO REFER SUCH
ALLEGATION FOR CORRECTIVE ACTION.
3. (A) WHEN ANY ALLEGATION THAT COULD REASONABLY CONSTITUTE ABUSE OR
NEGLECT IS RECEIVED BY THE REGISTER, THE REGISTER SHALL ACCEPT AND IMME-
DIATELY TRANSMIT NOTICE OF THE REPORT ORALLY OR ELECTRONICALLY TO THE
APPROPRIATE STATE OVERSIGHT AGENCY AND, AS APPROPRIATE, TO THE DIRECTOR
OR OPERATOR OF THAT FACILITY OR PROVIDER AGENCY.
(B) WHENEVER A TELEPHONE CALL OR ELECTRONIC TRANSMISSION TO THE
VULNERABLE PERSONS' CENTRAL REGISTER ALLEGES AN ACT OR CIRCUMSTANCES
THAT MAY CONSTITUTE A CRIMINAL OFFENSE OR AN IMMEDIATE THREAT TO A
VULNERABLE PERSON'S HEALTH, SAFETY OR WELFARE, THE REGISTER SHALL
CONVEY, BY THE MOST EXPEDIENT MEANS AVAILABLE, THE INFORMATION CONTAINED
IN SUCH CALL OR TRANSMISSION TO THE APPROPRIATE LAW ENFORCEMENT AGENCY,
DISTRICT ATTORNEY OR OTHER PUBLIC OFFICIAL EMPOWERED TO PROVIDE NECES-
SARY AID OR ASSISTANCE, AND STATE OVERSIGHT AGENCY.
(C) THE JUSTICE CENTER IS RESPONSIBLE FOR COMMENCING AN INVESTIGATION
OF ALL ALLEGATIONS OF ABUSE OR NEGLECT THAT ARE ACCEPTED BY THE VULNER-
ABLE PERSONS' CENTRAL REGISTER. WITH RESPECT TO SUCH AN INVESTIGATION,
THE JUSTICE CENTER SHALL:
(I) UPON ACCEPTANCE OF A REPORT OF ABUSE OR NEGLECT BY THE VULNERABLE
PERSONS' CENTRAL REGISTER, PROMPTLY COMMENCE AN APPROPRIATE INVESTI-
GATION;
(II) TAKE ALL APPROPRIATE MEASURES TO PROTECT THE LIFE AND HEALTH OF
THE PERSON WHO IS THE ALLEGED VICTIM OF ABUSE OR NEGLECT, WHICH MAY
INCLUDE WORKING WITH THE STATE OVERSIGHT AGENCY TO TAKE IMMEDIATE STEPS
TO REMOVE THE VULNERABLE PERSON FROM HIS OR HER CURRENT FACILITY OR
PROGRAM, IF THE JUSTICE CENTER HAS REASONABLE CAUSE TO BELIEVE THAT THE
CIRCUMSTANCES OR CONDITION OF THE VULNERABLE PERSON ARE SUCH THAT
CONTINUING IN HIS OR HER PLACE OF RESIDENCE PRESENTS AN IMMINENT DANGER
TO HIS OR HER LIFE OR HEALTH;
S. 7400 27
(III) DETERMINE WHETHER THE SUBJECT OF THE REPORT IS CURRENTLY THE
SUBJECT OF AN OPEN OR SUBSTANTIATED REPORT IN THE VULNERABLE PERSONS'
CENTRAL REGISTER;
(IV) CONTACT THE STATEWIDE CENTRAL REGISTER OF CHILD ABUSE AND
MALTREATMENT TO DETERMINE WHETHER THE SUBJECT OF THE REPORT HAS BEEN OR
IS CURRENTLY THE SUBJECT OF AN INDICATED CHILD ABUSE AND MALTREATMENT
REPORT ON FILE WITH THE STATEWIDE CENTRAL REGISTER OF CHILD ABUSE AND
MALTREATMENT;
(V) IF IT IS DISCOVERED THAT THE SUBJECT OF A REPORT HAS ONE OR MORE
SUBSTANTIATED REPORTS OF ABUSE OR NEGLECT OR INDICATED REPORTS OF CHILD
ABUSE OR MALTREATMENT IN THE STATEWIDE CENTRAL REGISTER OF CHILD ABUSE
AND MALTREATMENT AND AN INVESTIGATION WAS OR INVESTIGATIONS WERE
CONDUCTED BY A DIFFERENT STATE AGENCY, OR A LOCAL CHILD PROTECTIVE
SERVICE, CONTACT ALL KNOWN AGENCIES OR SERVICES WHO INVESTIGATED SUCH
PREVIOUS REPORT OR REPORTS TO OBTAIN INFORMATION ON SUCH REPORTS IN
ACCORDANCE WITH SECTION FOUR HUNDRED NINETY-SIX OF THIS ARTICLE;
(VI) NOTIFY THE PERSONAL REPRESENTATIVE OF THE PERSON ALLEGED TO HAVE
BEEN ABUSED OR NEGLECTED, AND, IF WARRANTED, NOTIFY THE SUBJECT OR
SUBJECTS OF THE REPORT AND ANY OTHER PERSONS NAMED IN THE REPORT IN
WRITING OF THE EXISTENCE OF THE REPORT; PROVIDED, HOWEVER, THAT SUCH
NOTIFICATION MAY BE LIMITED IN ACCORDANCE WITH SUBDIVISION (C) OF
SECTION 33.16 OF THE MENTAL HYGIENE LAW;
(VII) IF A REPORT OF ABUSE OR NEGLECT TO THE VULNERABLE PERSONS'
CENTRAL REGISTER INVOLVES THE DEATH OF A PERSON, THE JUSTICE CENTER
SHALL GIVE TELEPHONE NOTICE AND IMMEDIATELY SEND A COPY OF THE REPORT TO
THE APPROPRIATE DISTRICT ATTORNEY AND TO THE MEDICAL EXAMINER OR CORON-
ER. THE MEDICAL EXAMINER OR CORONER SHALL CONDUCT A PROMPT INVESTIGATION
AND SHALL FORWARD A PRELIMINARY WRITTEN REPORT OF HIS OR HER FINDINGS
WITHIN SIXTY DAYS OF THE DATE OF DEATH, ABSENT EXTRAORDINARY CIRCUM-
STANCES, AND HIS OR HER FINAL WRITTEN REPORT PROMPTLY, ABSENT EXTRAOR-
DINARY CIRCUMSTANCES, TO THE APPROPRIATE DISTRICT ATTORNEY, THE APPRO-
PRIATE LAW ENFORCEMENT OFFICIAL, THE STATE AGENCY RESPONSIBLE FOR
OVERSEEING THE INVESTIGATION, THE JUSTICE CENTER MEDICAL REVIEW BOARD
AND, IF THE DEATH OCCURRED IN A HOSPITAL, THE HOSPITAL;
(VIII) SUBMIT ABUSE AND NEGLECT FINDINGS TO THE VULNERABLE PERSONS'
CENTRAL REGISTER IN ACCORDANCE WITH SECTION FOUR HUNDRED NINETY-THREE OF
THIS ARTICLE;
(IX) NOTIFY THE APPLICABLE STATE OVERSIGHT AGENCY AND THE DIRECTOR OR
OPERATOR, WHERE APPROPRIATE, TO DEVELOP A PLAN OF PREVENTION OR REMEDI-
ATION THAT THE FACILITY OR PROGRAM MUST IMPLEMENT IN RESPONSE TO THE
REPORT'S FINDINGS WHICH MUST BE APPROVED AND MONITORED OF ITS IMPLEMEN-
TATION BY THE JUSTICE CENTER OR THE STATE OVERSIGHT AGENCY, AS APPROPRI-
ATE; AND
(X) REFER SUSPECTED CASES OF FALSELY REPORTING ABUSE OR NEGLECT IN
VIOLATION OF SUBDIVISION FOUR OF SECTION 240.50 OF THE PENAL LAW TO THE
APPROPRIATE LAW ENFORCEMENT AGENCY OR DISTRICT ATTORNEY FOR INVESTI-
GATION AND PROSECUTION.
(D) WHENEVER A TELEPHONE CALL OR ELECTRONIC TRANSMISSION TO THE
VULNERABLE PERSONS' CENTRAL REGISTER CANNOT BE ACCEPTED AS A REPORT, BUT
THE INFORMATION PROVIDED ALLEGES A SIGNIFICANT INCIDENT OR OTHER POTEN-
TIAL WRONGDOING AT A FACILITY OR PROVIDER AGENCY, THE REGISTER SHALL
FORWARD THE REPORT TO THE APPLICABLE STATE OVERSIGHT AGENCY FOR INVESTI-
GATION AND PROTECTIVE ACTIONS, AS NEEDED, PURSUANT TO SECTION FOUR
HUNDRED NINETY-ONE OF THIS ARTICLE.
4. THE JUSTICE CENTER SHALL MAINTAIN AND KEEP UP-TO-DATE ABUSE AND
NEGLECT RECORDS OF ALL CASES REPORTED, TOGETHER WITH ANY ADDITIONAL
S. 7400 28
INFORMATION OBTAINED DURING AN INVESTIGATION OF SUCH A REPORT AND A
RECORD OF THE FINAL DISPOSITION OF THE REPORT.
5. THE VULNERABLE PERSONS' CENTRAL REGISTER SHALL MAINTAIN AN ELEC-
TRONIC DATABASE OF ALL ACCEPTED REPORTS OF ABUSE AND NEGLECT AND SIGNIF-
ICANT INCIDENTS. STATE OVERSIGHT AGENCIES SHALL HAVE ACCESS TO INFORMA-
TION IN THE DATABASE, LIMITED TO CASES INVOLVING FACILITIES OR PROVIDER
AGENCIES UNDER THEIR JURISDICTION.
(A) A UNIQUE IDENTIFIER SHALL BE ASSIGNED TO EACH REPORT BY THE
VULNERABLE PERSONS' CENTRAL REGISTER.
(B) THE REGISTER SHALL INCLUDE THE FOLLOWING INFORMATION FOR EACH
REPORT: A RECORD OF THE FINAL DISPOSITION OF THE REPORT; THE NAMES AND
IDENTIFYING DATA; DATES AND CIRCUMSTANCES OF ANY PERSON REQUESTING OR
RECEIVING INFORMATION FROM THE REGISTER; WHETHER THE PERSON MAKING THE
REPORT AUTHORIZED THE DISCLOSURE OF HIS OR HER NAME AND PERSONALLY IDEN-
TIFIABLE INFORMATION; AND ANY OTHER INFORMATION THAT THE EXECUTIVE
DIRECTOR, IN CONSULTATION WITH THE COMMISSIONERS OF THE STATE OVERSIGHT
AGENCIES COVERED BY THIS ARTICLE, IDENTIFIES AS FURTHERING THE PURPOSES
OF THIS ARTICLE AND COMPLYING WITH STATE AND FEDERAL REGULATIONS REGARD-
ING THE SECURITY AND CONFIDENTIALITY OF INDIVIDUALLY IDENTIFYING HEALTH
INFORMATION.
6. THE JUSTICE CENTER SHALL REVIEW SUCH ELECTRONIC DATABASE TO IDENTI-
FY INCIDENT PATTERNS AND TRENDS, AND IMPLEMENT PREVENTIVE AND CORRECTIVE
ACTIONS, AND TO IDENTIFY PATTERNS AND TRENDS IN THE REPORTING AND
RESPONSE TO ALLEGATIONS OF ABUSE AND NEGLECT AND OTHER REPORTABLE INCI-
DENTS AND DEVELOP PLANS OF IMPROVEMENT BASED ON SUCH REVIEWS.
7. (A) GENERAL INFORMATION ABOUT THE EXISTENCE AND PURPOSES OF THE
VULNERABLE PERSONS' CENTRAL REGISTER AND HOW TO MAKE A REPORT TO THE
REGISTER SHALL BE MADE AVAILABLE ON THE WEBSITE OF THE JUSTICE CENTER,
WITH LINKS TO SUCH INFORMATION PROVIDED ON THE WEBSITES OF EACH OF THE
STATE OVERSIGHT AGENCIES COVERED BY THIS ARTICLE.
(B) THE JUSTICE CENTER, IN COLLABORATION WITH THE STATE OVERSIGHT
AGENCIES COVERED BY THIS ARTICLE, SHALL DEVELOP AND WIDELY DISTRIBUTE
WRITTEN INFORMATION EXPLAINING THE REPORTING REQUIREMENTS AND PROCESSES
CONSISTENT WITH THIS ARTICLE. IN ADDITION, UPON A VULNERABLE PERSON'S
COMMENCEMENT OF THE RECEIPT OF SERVICES BY A FACILITY OR A PROVIDER
AGENCY, PERSONAL REPRESENTATIVES SHALL BE PROVIDED WITH SUCH INFORMA-
TION, AND SUCH INFORMATION SHALL BE MADE AVAILABLE UPON REQUEST TO ANY
PERSON.
(C) THE JUSTICE CENTER, IN COLLABORATION WITH THE STATE AGENCIES OPER-
ATING, LICENSING OR CERTIFYING FACILITIES OR THE PROVIDER AGENCIES
COVERED BY THIS ARTICLE, SHALL PROVIDE MANDATED REPORTERS WITH WRITTEN
INFORMATION EXPLAINING THE REPORTING REQUIREMENTS IN ACCORDANCE WITH
THIS ARTICLE.
(D) THE JUSTICE CENTER SHALL DEVELOP AND IMPLEMENT PROGRAMS TO PUBLIC-
LY RECOGNIZE AND VALUE THE CONTRIBUTIONS OF REPORTERS OF ABUSE OR
NEGLECT, OR SIGNIFICANT INCIDENTS, WHOSE ACTIONS PROMPT CORRECTIONS AND
IMPROVEMENTS IN THE SERVICE SYSTEM; PROVIDED, HOWEVER, THAT THE NAME AND
OTHER PERSONALLY IDENTIFIABLE INFORMATION OF SUCH REPORTER SHALL NOT BE
SHARED UNLESS SUCH PERSON AUTHORIZES DISCLOSURE.
8. IN A CASE WHERE A SUBJECT OF A REPORT OF ALLEGED ABUSE OR NEGLECT
RESIGNS FROM HIS OR HER POSITION OR IS TERMINATED WHILE UNDER INVESTI-
GATION, THE STATE OPERATING AGENCY OR THE APPLICABLE FACILITY OR PROVID-
ER AGENCY SHALL PROMPTLY REPORT SUCH RESIGNATION OR TERMINATION TO THE
JUSTICE CENTER. THE INVESTIGATION OF THE REPORT SHALL CONTINUE DESPITE
THE RESIGNATION OR TERMINATION OF SUCH SUBJECT.
S. 7400 29
S 493. ABUSE AND NEGLECT FINDINGS; CONSEQUENCES. 1. WITHIN SIXTY DAYS
OF THE VULNERABLE PERSONS' CENTRAL REGISTER ACCEPTING A REPORT OF AN
ALLEGATION OF ABUSE OR NEGLECT, THE JUSTICE CENTER SHALL CAUSE THE FIND-
INGS OF THE INVESTIGATION TO BE ENTERED INTO THE VULNERABLE PERSONS'
CENTRAL REGISTER. THE JUSTICE CENTER MAY TAKE ADDITIONAL TIME TO ENTER
SUCH FINDINGS INTO THE VULNERABLE PERSONS' CENTRAL REGISTER; PROVIDED,
HOWEVER, THAT THE REASONS FOR ANY DELAY MUST BE DOCUMENTED AND SUCH
FINDINGS SUBMITTED AS SOON THEREAFTER AS PRACTICABLY POSSIBLE.
2. FOR SUBSTANTIATED REPORTS OF ABUSE OR NEGLECT IN FACILITIES OR
PROVIDER AGENCIES IN RECEIPT OF MEDICAL ASSISTANCE, SUCH INFORMATION
SHALL ALSO BE FORWARDED BY THE JUSTICE CENTER TO THE OFFICE OF THE MEDI-
CAID INSPECTOR GENERAL.
3. (A) A FINDING SHALL BE BASED ON A PREPONDERANCE OF THE EVIDENCE AND
SHALL INDICATE WHETHER: (I) THE ALLEGED ABUSE OR NEGLECT IS SUBSTANTI-
ATED BECAUSE IT IS DETERMINED THAT THE INCIDENT OCCURRED AND THE SUBJECT
OF THE REPORT WAS RESPONSIBLE OR, IF NO SUBJECT CAN BE IDENTIFIED AND AN
INCIDENT OCCURRED, THAT, THE FACILITY OR PROVIDER AGENCY WAS RESPONSI-
BLE; (II) THE ALLEGED ABUSE OR NEGLECT IS DISCONFIRMED BECAUSE IT IS
DETERMINED NOT TO HAVE OCCURRED OR THE SUBJECT OF THE REPORT WAS NOT
RESPONSIBLE; OR (III) THE REPORT IS INCONCLUSIVE BECAUSE IT CANNOT BE
DETERMINED THAT THE INCIDENT OCCURRED OR THAT THE SUBJECT OF THE REPORT
WAS RESPONSIBLE. A REPORT SHALL NOT BE DETERMINED TO BE INCONCLUSIVE
SOLELY BECAUSE THE SUBJECT OF A REPORT RESIGNS DURING AN INVESTIGATION.
THE JUSTICE CENTER SHALL CONSIDER A RESIGNATION OF A SUBJECT OF A REPORT
DURING AN INVESTIGATION AS A NEGATIVE INFERENCE REGARDING THE ACTIONS OR
LACK OF ACTION BY SUCH SUBJECT.
(B) IN CONJUNCTION WITH THE POSSIBLE FINDINGS IDENTIFIED IN PARAGRAPH
(A) OF THIS SUBDIVISION, A CONCURRENT FINDING MAY BE MADE THAT A SYSTEM-
IC PROBLEM CAUSED OR CONTRIBUTED TO THE OCCURRENCE OF THE INCIDENT.
(C) THE JUSTICE CENTER SHALL NOTIFY THE SUBJECT OF THE REPORT, THE
FACILITY OR PROVIDER AGENCY WHERE THE ABUSE OR NEGLECT WAS ALLEGED TO
HAVE OCCURRED, THE APPLICABLE STATE OVERSIGHT AGENCY AND OTHER PERSONS
NAMED IN THE REPORT OF THE FINDINGS OF THE INVESTIGATION AND, AS APPLI-
CABLE, THE LOCAL SOCIAL SERVICES COMMISSIONER OR SCHOOL DISTRICT THAT
PLACED THE INDIVIDUAL IN THE FACILITY OR PROVIDER AGENCY, THE OFFICE OF
CHILDREN AND FAMILY SERVICES AND ANY ATTORNEY FOR THE INDIVIDUAL WHOSE
APPOINTMENT HAS BEEN CONTINUED BY A FAMILY COURT JUDGE DURING THE TERM
OF AN INDIVIDUAL'S PLACEMENT, IN ACCORDANCE WITH APPLICABLE STATE AND
FEDERAL LAWS AND REGULATIONS GOVERNING THE USE AND DISCLOSURE OF
RECORDS. IF THE REPORT IS SUBSTANTIATED, THE JUSTICE CENTER SHALL ALSO
NOTIFY THE SUBJECT OF THE REPORT OF HIS OR HER RIGHTS TO REQUEST THAT
THE REPORT BE AMENDED IN ACCORDANCE WITH SECTION FOUR HUNDRED
NINETY-FOUR OF THIS ARTICLE.
(D) A REPORT THAT IS FOUND TO BE DISCONFIRMED OR INCONCLUSIVE SHALL BE
SEALED IMMEDIATELY.
4. SUBSTANTIATED REPORTS OF ABUSE OR NEGLECT SHALL BE CATEGORIZED INTO
ONE OR MORE OF THE FOLLOWING THREE CATEGORIES, AS APPLICABLE:
(A) CATEGORY ONE CONDUCT IS SERIOUS PHYSICAL ABUSE, SEXUAL ABUSE OR
OTHER SERIOUS CONDUCT BY AGENTS OF A FACILITY OR PROVIDER AGENCY, WHICH
INCLUDES:
(I) INTENTIONAL CONDUCT THAT CAUSES PHYSICAL INJURY AS DEFINED IN
SUBDIVISION NINE OF SECTION 10.00 OF THE PENAL LAW, OR THAT CAUSES DEATH
OR SERIOUS DISFIGUREMENT, IMPAIRMENT OF HEALTH OR LOSS OR IMPAIRMENT OF
THE FUNCTION OF ANY BODILY ORGAN OR PART OR CREATES A REASONABLY FORE-
SEEABLE RISK OF SUCH PHYSICAL INJURY;
S. 7400 30
(II) FAILURE TO PERFORM A DUTY THAT RESULTS IN PHYSICAL INJURY THAT
CREATES A RISK OF DEATH OR THAT CAUSES DEATH OR SERIOUS DISFIGUREMENT,
IMPAIRMENT OF HEALTH OR LOSS OR IMPAIRMENT OF THE FUNCTION OF ANY BODILY
ORGAN OR PART, A SUBSTANTIAL DIMINUTION OF A SERVICE RECIPIENT'S PSYCHO-
LOGICAL OR INTELLECTUAL FUNCTIONING, AS DETERMINED BY A PHYSICIAN,
PSYCHOLOGIST, PSYCHIATRIC NURSE PRACTITIONER, LICENSED CLINICAL OR
MASTER SOCIAL WORKER OR LICENSED MENTAL HEALTH COUNSELOR, OR CREATES A
REASONABLY FORESEEABLE RISK OF EITHER;
(III) THREATS, TAUNTS, DEROGATORY COMMENTS OR RIDICULE THAT RESULTS IN
OR HAS THE POTENTIAL TO RESULT IN A SUBSTANTIAL DIMINUTION OF A SERVICE
RECIPIENT'S PSYCHOLOGICAL OR INTELLECTUAL FUNCTIONING, AS DETERMINED BY
A PHYSICIAN, PSYCHOLOGIST, PSYCHIATRIC NURSE PRACTITIONER, LICENSED
CLINICAL OR MASTER SOCIAL WORKER OR LICENSED MENTAL HEALTH COUNSELOR;
(IV) ENCOURAGING OTHERS TO ENGAGE IN CRUEL OR DEGRADING TREATMENT OF A
SERVICE RECIPIENT THAT RESULTS IN OR HAS THE POTENTIAL TO RESULT IN A
SUBSTANTIAL DIMINUTION OF A SERVICE RECIPIENT'S PSYCHOLOGICAL OR INTEL-
LECTUAL FUNCTIONING, AS DETERMINED BY A PHYSICIAN, PSYCHOLOGIST, PSYCHI-
ATRIC NURSE PRACTITIONER, LICENSED CLINICAL OR MASTER SOCIAL WORKER OR
LICENSED MENTAL HEALTH COUNSELOR;
(V) ENGAGING IN ANY CONDUCT INTENDED TO PROMOTE OR PRODUCE SEXUAL
CONTACT BETWEEN PERSONS RECEIVING SERVICES AND AGENTS OF A FACILITY OR
PROVIDER AGENCY OR BETWEEN PERSONS RECEIVING SERVICES WHEN ONE PERSON IS
NOT CAPABLE OF CONSENT. SEXUAL CONTACT SHALL INCLUDE BUT NOT BE LIMITED
TO SEXUAL INTERCOURSE, DEVIATE SEXUAL INTERCOURSE, AGGRAVATED SEXUAL
CONTACT OR SEXUAL TOUCHING;
(VI) ANY CONDUCT ENCOURAGING, FACILITATING OR PERMITTING ANOTHER TO
ENGAGE IN SEXUAL CONDUCT WITH A SERVICE RECIPIENT;
(VII) ANY CONDUCT ENCOURAGING OR PERMITTING ANOTHER TO PROMOTE A SEXU-
AL PERFORMANCE BY A SERVICE RECIPIENT OR PERMITTING OR USING A SERVICE
RECIPIENT IN ANY PROSTITUTION-RELATED OFFENSE;
(VIII) USING OR DISTRIBUTING AN UNLAWFUL CONTROLLED SUBSTANCE, AS
DEFINED BY ARTICLE THIRTY-THREE OF THE PUBLIC HEALTH LAW, AT THE WORK
PLACE OR WHILE ON DUTY;
(IX) ADMINISTERING AN UNLAWFUL CONTROLLED SUBSTANCE, AS DEFINED BY
ARTICLE THIRTY-THREE OF THE PUBLIC HEALTH LAW TO A SERVICE RECIPIENT;
(X) INTENTIONALLY FALSIFYING RECORDS RELATED TO THE SAFETY, TREATMENT
OR SUPERVISION OF A SERVICE RECIPIENT, INCLUDING BUT NOT LIMITED TO
MEDICAL RECORDS, FIRE SAFETY INSPECTIONS AND DRILLS AND SUPERVISION
CHECKS;
(XI) FAILING TO REPORT ANY OF THE CONDUCT IN SUBPARAGRAPHS (I) THROUGH
(IX) OF THIS PARAGRAPH UPON DISCOVERY;
(XII) FOR SUPERVISORS, FAILING TO ACT UPON A REPORT OF CONDUCT IN
SUBPARAGRAPHS (I) THROUGH (X) OF THIS PARAGRAPH AS DIRECTED BY REGU-
LATION, PROCEDURE OR POLICY;
(XIII) INTENTIONALLY MAKING A MATERIALLY FALSE STATEMENT OR INTEN-
TIONALLY WITHHOLDING MATERIAL INFORMATION DURING AN INVESTIGATION INTO A
REPORT OF CONDUCT DESCRIBED IN SUBPARAGRAPHS (I) THROUGH (X) OF THIS
PARAGRAPH OR OTHERWISE OBSTRUCTING AN INVESTIGATION; AND
(XIV) INTIMIDATING A MANDATED REPORTER WITH THE INTENTION OF PREVENT-
ING HIM OR HER FROM REPORTING CONDUCT DESCRIBED IN SUBPARAGRAPHS (I)
THROUGH (X) OF THIS PARAGRAPH OR RETALIATING AGAINST ANY AGENT MAKING
SUCH A REPORT IN GOOD FAITH.
(B) CATEGORY TWO CONDUCT IS ABUSE OR NEGLECT BY AGENTS OF A FACILITY
OR PROVIDER AGENCY THAT DOES NOT MEET THE CONDUCT DESCRIBED IN CATEGORY
ONE. CONDUCT IN THIS CATEGORY THAT OCCURS MORE THAN ONCE WITHIN A
THREE-YEAR PERIOD SHALL ELEVATE A FINDING FROM CATEGORY TWO TO CATEGORY
S. 7400 31
ONE. REPORTS THAT RESULT IN A CATEGORY TWO FINDING NOT ELEVATED TO A
CATEGORY ONE FINDING SHALL BE SEALED AFTER FIVE YEARS.
(C) CATEGORY THREE SHALL BE CONDITIONS AT A FACILITY OR PROVIDER AGEN-
CY THAT EXPOSE SERVICE RECIPIENTS TO HARM OR RISK OF HARM WHERE STAFF
CULPABILITY IS MITIGATED BY SYSTEMIC PROBLEMS SUCH AS INADEQUATE MANAGE-
MENT, STAFFING, TRAINING OR SUPERVISION. CATEGORY THREE ALSO SHALL
INCLUDE INSTANCES IN WHICH IT HAS BEEN SUBSTANTIATED THAT A SERVICE
RECIPIENT HAS BEEN ABUSED OR NEGLECTED, BUT THE PERPETRATOR OF SUCH
ABUSE OR NEGLECT CANNOT BE IDENTIFIED.
5. (A) CATEGORY ONE FINDINGS SHALL RESULT IN PERMANENT PLACEMENT OF
THE SUBJECT OF THE REPORT ON THE VULNERABLE PERSONS' CENTRAL REGISTER IN
ACCORDANCE WITH SECTION FOUR HUNDRED NINETY-FIVE OF THIS ARTICLE.
(B) WHEN AN EMPLOYEE HAS A SECOND SUBSTANTIATED CATEGORY TWO FINDING
OCCURRING WITHIN A THREE-YEAR PERIOD, AN EMPLOYEE WITH A CATEGORY TWO
FINDING SHALL BE SUBJECT TO PROGRESSIVE DISCIPLINE. (FOR STATE ENTITIES
BOUND BY COLLECTIVE BARGAINING, SUCH DISCIPLINE ESTABLISHED BY COLLEC-
TIVE BARGAINING SHALL GOVERN.) IN CONJUNCTION WITH DISCIPLINARY ACTION,
THE EMPLOYER SHALL DEVELOP A PLAN FOR TRAINING AND ANY OTHER ACTIONS TO
REDUCE THE RISK OF RECURRENCE OF SUCH CONDUCT. SUCH PLAN MUST BE
APPROVED BY AND ITS IMPLEMENTATION MONITORED BY THE JUSTICE CENTER OR
THE STATE OVERSIGHT AGENCY, AS APPROPRIATE.
(C) WITH RESPECT TO A CATEGORY THREE FINDING, THE JUSTICE CENTER SHALL
REQUIRE THE FACILITY OR PROVIDER AGENCY TO DEVELOP AND IMPLEMENT A PLAN
OF PREVENTION AND REMEDIATION OF THE DEFICIENT CONDITIONS. SUCH PLAN
MUST BE APPROVED BY AND ITS IMPLEMENTATION MONITORED BY THE JUSTICE
CENTER OR THE STATE OVERSIGHT AGENCY, AS APPROPRIATE. IN REVIEWING THE
CONTINUED QUALIFICATIONS OF A FACILITY OR PROVIDER AGENCY FOR AN OPERAT-
ING CERTIFICATE, THE STATE OVERSIGHT AGENCY SHALL EVALUATE SUCH FACILITY
OR PROVIDER AGENCY'S COMPLIANCE WITH ANY PLANS OF PREVENTION AND REMEDI-
ATION RESULTING FROM CATEGORY THREE REPORTS AND TAKE APPROPRIATE
ENFORCEMENT ACTION, WHICH MAY INCLUDE, BUT NOT BE LIMITED TO, CLOSING
INTAKE TO THE FACILITY OR PROVIDER AGENCY OR TERMINATING OPERATING
CERTIFICATES FOR PROLONGED OR REPEATED FAILURE TO CORRECT IDENTIFIED
PROBLEMS IN ACCORDANCE WITH APPLICABLE STATE LAW OR REGULATION.
S 494. AMENDMENTS TO AND APPEALS OF SUBSTANTIATED REPORTS OF ABUSE OR
NEGLECT. 1.(A) AT ANY TIME SUBSEQUENT TO THE COMPLETION OF AN INVESTI-
GATION OF AN ALLEGATION OF ABUSE OR NEGLECT, BUT IN NO EVENT LATER THAN
THIRTY DAYS AFTER THE SUBJECT OF THE REPORT IS NOTIFIED THAT THE REPORT
IS SUBSTANTIATED, THE SUBJECT MAY REQUEST THAT THE VULNERABLE PERSONS'
CENTRAL REGISTER AMEND THE FINDINGS OF THE REPORT. IF THE REGISTER DOES
NOT AMEND THE FINDINGS OF THE REPORT IN ACCORDANCE WITH SUCH REQUEST,
THE SUBJECT SHALL HAVE THE RIGHT TO BE HEARD TO DETERMINE WHETHER THE
FINDINGS OF THE REPORT SHOULD BE AMENDED ON THE GROUNDS THAT THEY ARE
INACCURATE OR INCONSISTENT WITH THE PROVISIONS IN THIS ARTICLE.
(B) IF IT IS DETERMINED THAT THE JUSTICE CENTER FAILED TO PROVE BY A
PREPONDERANCE OF THE EVIDENCE THE FINDING THAT THE SUBJECT COMMITTED THE
ACT OR ACTS OF ABUSE OR NEGLECT, THE JUSTICE CENTER SHALL AMEND THE
RECORD TO REFLECT THAT SUCH A FINDING WAS MADE, AND SHALL PROMPTLY NOTI-
FY THE SUBJECT OF THE REPORT AND ANY OTHER PERSONS OR ENTITIES PREVIOUS-
LY NOTIFIED OF THE EXISTENCE OF THE REPORT OF THE AMENDED FINDING. SUCH
REPORT SHALL BE SEALED IN ACCORDANCE WITH THE STANDARDS SET FORTH IN
SUBDIVISION FOUR OF SECTION FOUR HUNDRED NINETY-SIX OF THIS ARTICLE.
2. THE JUSTICE CENTER IS AUTHORIZED TO MAKE ANY APPROPRIATE ORDER
RESPECTING THE AMENDMENT OF THE FINDINGS OF A REPORT TO MAKE IT ACCURATE
OR CONSISTENT WITH THE REQUIREMENTS OF THIS ARTICLE.
S. 7400 32
S 495. REGISTER OF SUBSTANTIATED CATEGORY ONE CASES OF ABUSE OR
NEGLECT. 1. THE JUSTICE CENTER SHALL DEVELOP AND MAINTAIN A REGISTER OF
SUBJECTS OF REPORTS WHO HAVE BEEN FOUND TO HAVE A SUBSTANTIATED CATEGORY
ONE CASE OF ABUSE OR NEGLECT, IN ACCORDANCE WITH PARAGRAPH (A) OF SUBDI-
VISION FOUR OF SECTION FOUR HUNDRED NINETY-THREE OF THIS ARTICLE, AND
WHO HAVE: (A) NOT REQUESTED AN AMENDMENT OF THE FINDINGS OF THE REPORT
IN THE TIME SPECIFIED IN SUBDIVISION ONE OF SECTION FOUR HUNDRED NINE-
TY-FOUR OF THIS ARTICLE; OR (B) BEEN HEARD PURSUANT TO SUCH SUBDIVISION
AND ALL THE FINDINGS OF THE REPORT WERE NOT AMENDED TO BE DISCONFIRMED
OR INCONCLUSIVE.
2. ALL FACILITY AND PROVIDER AGENCIES AS DEFINED IN SUBDIVISION FOUR
OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THIS ARTICLE, OTHER PROVIDERS OF
SERVICES TO VULNERABLE PERSONS IN PROGRAMS LICENSED, CERTIFIED OR FUNDED
BY ANY STATE OVERSIGHT AGENCY AND OTHER PROVIDER AND LICENSING AGENCIES
AS DEFINED IN SUBDIVISION THREE OR FOUR OF SECTION FOUR HUNDRED TWENTY-
FOUR-A OF THIS CHAPTER SHALL CHECK THE REGISTER OF SUBSTANTIATED CATEGO-
RY ONE CASES OF ABUSE OR NEGLECT BEFORE DETERMINING WHETHER TO HIRE OR
OTHERWISE ALLOW ANY PERSON AS AN EMPLOYEE, ADMINISTRATOR, CONSULTANT,
INTERN, VOLUNTEER OR CONTRACTOR WHO WILL HAVE THE POTENTIAL FOR REGULAR
AND SUBSTANTIAL CONTACT WITH A SERVICE RECIPIENT OR BEFORE APPROVING AN
APPLICANT FOR A LICENSE, CERTIFICATE, PERMIT OR OTHER APPROVAL TO
PROVIDE CARE TO A SERVICE RECIPIENT. (FOR STATE ENTITIES BOUND BY
COLLECTIVE BARGAINING, SUCH ACTION ESTABLISHED BY COLLECTIVE BARGAINING
SHALL GOVERN.)
3. IF A PERSON IS LISTED ON THE REGISTER OF SUBSTANTIATED CATEGORY ONE
CASES OF ABUSE OR NEGLECT, A FACILITY OR PROVIDER AGENCY, AS DEFINED IN
SUBDIVISION FOUR OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THIS ARTICLE,
AND ALL OTHER PROVIDERS OF SERVICES TO VULNERABLE PERSONS IN PROGRAMS
LICENSED OR CERTIFIED BY ANY STATE OVERSIGHT AGENCY SHALL NOT HIRE SUCH
A PERSON TO HAVE REGULAR AND SUBSTANTIAL CONTACT WITH A SERVICE RECIPI-
ENT IN ANY SUCH FACILITY OR PROGRAM. OTHER PROVIDERS OR LICENSING AGEN-
CIES AS DEFINED IN SUBDIVISION THREE OR FOUR OF SECTION FOUR HUNDRED
TWENTY-FOUR-A OF THIS CHAPTER SHALL DETERMINE WHETHER TO HIRE OR ALLOW
SUCH A PERSON TO HAVE REGULAR OR SUBSTANTIAL CONTACT WITH A SERVICE
RECIPIENT IN ACCORDANCE WITH THE PROVISIONS OF SUBDIVISION FIVE OF
SECTION FOUR HUNDRED TWENTY-FOUR-A OF THIS CHAPTER.
4. AN AGENT OF A FACILITY OR PROVIDER AGENCY SHALL BE SUBJECT TO IMME-
DIATE TERMINATION IF HE OR SHE IS CONVICTED OF ANY OFFENSE AS DEFINED IN
SUBDIVISION ONE OF SECTION 10.00 OF THE PENAL LAW THAT RELATES DIRECTLY
TO THE ABUSE OR NEGLECT OF A VULNERABLE PERSON, OR IS PLACED ON THE
REGISTER OF SUBSTANTIATED CATEGORY ONE CASES OF ABUSE OR NEGLECT. (FOR
STATE ENTITIES BOUND BY COLLECTIVE BARGAINING, SUCH ACTION ESTABLISHED
BY COLLECTIVE BARGAINING SHALL GOVERN.)
5. PLACEMENT ON THE REGISTER SHALL BE PERMANENT, UNLESS THE OFFICE IS
OFFICIALLY NOTIFIED OF THE INDIVIDUAL'S DEATH.
6. NOTHING IN THIS ARTICLE SHALL DIMINISH THE RIGHTS OR REMEDIES
OTHERWISE AVAILABLE UNDER LAW, REGULATION OR APPROPRIATE COLLECTIVE
BARGAINING AGREEMENTS OF ANY FACILITY OR PROVIDER AGENCY WITH RESPECT TO
THE TERMINATION OR DISCIPLINE OF EMPLOYEES.
S 496. CONFIDENTIALITY. 1. REPORTS MADE PURSUANT TO THIS ARTICLE AS
WELL AS ANY OTHER INFORMATION OBTAINED, REPORTS WRITTEN OR PHOTOGRAPHS
TAKEN CONCERNING SUCH REPORTS IN THE POSSESSION OF THE JUSTICE CENTER, A
STATE OVERSIGHT AGENCY, A DELEGATE INVESTIGATORY ENTITY, FACILITY OR
PROVIDER AGENCY COVERED BY THIS ARTICLE SHALL BE CONFIDENTIAL AND SHALL
NOT BE DISCLOSED TO ANY OTHER PARTY UNLESS AUTHORIZED PURSUANT TO BOTH
THIS SECTION AND ANY OTHER APPLICABLE STATE OR FEDERAL LAW. IN THE
S. 7400 33
EVENT THAT OTHER APPLICABLE STATE OR FEDERAL LAW PROVISIONS ARE MORE
RESTRICTIVE THAN THE PROVISIONS OF THIS SECTION, THE PROVISIONS OF SUCH
OTHER STATE OR FEDERAL LAW SHALL APPLY. IN ACCORDANCE WITH THIS SECTION,
SUCH INFORMATION SHALL BE MADE AVAILABLE ONLY TO:
(A) A PERSON WHO IS THE SUBJECT OF THE REPORT, AS DEFINED IN SUBDIVI-
SION THIRTEEN OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THIS ARTICLE;
(B) OTHER PERSONS NAMED IN THE REPORT, AS DEFINED IN SUBDIVISION FOUR-
TEEN OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THIS ARTICLE;
(C) THE JUSTICE CENTER;
(D) THE APPLICABLE STATE OPERATING AGENCY, THE APPLICABLE STATE OVER-
SIGHT AGENCY, THE DIRECTOR OR OPERATOR OF THE APPLICABLE FACILITY OR
PROVIDER AGENCY AND, AS APPROPRIATE, THE LOCAL SOCIAL SERVICES COMMIS-
SIONER, THE COMMISSIONER OF THE OFFICE OF CHILDREN AND FAMILY SERVICES,
OR THE SCHOOL DISTRICT PLACING THE SERVICE RECIPIENT, OR AN AGENCY
PROVIDING ADULT PROTECTIVE SERVICES TO THE SERVICE RECIPIENT;
(E) A PHYSICIAN WHO HAS BEFORE HIM OR HER A SERVICE RECIPIENT WHOM HE
OR SHE REASONABLY SUSPECTS MAY BE ABUSED OR NEGLECTED;
(F) A COURT, UPON A FINDING THAT THE INFORMATION IN THE RECORD IS
NECESSARY FOR THE DETERMINATION OF AN ISSUE BEFORE THE COURT;
(G) A GRAND JURY, UPON A FINDING THAT THE INFORMATION IN THE RECORD IS
NECESSARY FOR THE DETERMINATION OF CHARGES BEFORE THE GRAND JURY;
(H) ANY APPROPRIATE STATE LEGISLATIVE COMMITTEE RESPONSIBLE FOR LEGIS-
LATION AFFECTING VULNERABLE PERSONS, PROVIDED, HOWEVER, THAT NO INFORMA-
TION IDENTIFYING OR TENDING TO IDENTIFY THE SUBJECTS OF THE REPORT OR
OTHER PERSONS NAMED IN THE REPORT SHALL BE MADE AVAILABLE;
(I) ANY PERSON ENGAGED IN A BONA FIDE RESEARCH PURPOSE; PROVIDED,
HOWEVER, THAT NO INFORMATION IDENTIFYING OR TENDING TO IDENTIFY THE
SUBJECTS OF THE REPORT OR OTHER PERSONS NAMED IN THE REPORT SHALL BE
MADE AVAILABLE TO THE RESEARCHER UNLESS IT IS ABSOLUTELY ESSENTIAL TO
THE RESEARCH PURPOSE AND THE JUSTICE CENTER, AFTER CONSULTATION WITH THE
COMMISSIONER OF THE APPLICABLE STATE OVERSIGHT AGENCY, GIVES PRIOR
APPROVAL;
(J) A FACILITY OR PROVIDER AGENCY AS DEFINED IN SUBDIVISION FOUR OF
SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE ARTICLE, ALL OTHER PROVIDERS OF
SERVICES TO VULNERABLE PERSONS IN PROGRAMS LICENSED OR CERTIFIED BY ANY
STATE OVERSIGHT AGENCY, ANY OTHER PROVIDER AGENCY AS DEFINED IN SUBDIVI-
SION THREE OF SECTION FOUR HUNDRED TWENTY-FOUR-A OF THIS CHAPTER OR A
LICENSING AGENCY AS DEFINED IN SUBDIVISION FOUR OF SECTION FOUR HUNDRED
TWENTY-FOUR-A OF THIS CHAPTER, IN ACCORDANCE WITH THE PROVISIONS OF
SUBDIVISION TWO OF SECTION FOUR HUNDRED NINETY-FIVE OF THIS ARTICLE;
(K) A PROBATION SERVICE REGARDING A PERSON ABOUT WHOM IT IS CONDUCTING
AN INVESTIGATION PURSUANT TO ARTICLE THREE HUNDRED NINETY OF THE CRIMI-
NAL PROCEDURE LAW, OR A PROBATION SERVICE OR THE DEPARTMENT OF
CORRECTIONS AND COMMUNITY SUPERVISION REGARDING A PERSON TO WHOM THE
SERVICE OR DEPARTMENT IS PROVIDING SUPERVISION PURSUANT TO ARTICLE SIXTY
OF THE PENAL LAW OR ARTICLE EIGHT OF THE CORRECTION LAW, WHERE THE
SERVICE OR DEPARTMENT REQUESTS THE INFORMATION UPON A CERTIFICATION THAT
SUCH INFORMATION IS NECESSARY TO CONDUCT ITS INVESTIGATION, THAT THERE
IS REASONABLE CAUSE TO BELIEVE THAT THE SUBJECT OF AN INVESTIGATION IS
THE SUBJECT OF A SUBSTANTIATED REPORT AND THAT THERE IS REASONABLE CAUSE
TO BELIEVE THAT SUCH RECORDS ARE NECESSARY TO THE INVESTIGATION BY THE
PROBATION SERVICE OR THE DEPARTMENT, PROVIDED, HOWEVER, THAT ONLY
SUBSTANTIATED REPORTS SHALL BE FURNISHED PURSUANT TO THIS SUBDIVISION;
(L) A DISTRICT ATTORNEY, AN ASSISTANT DISTRICT ATTORNEY OR INVESTI-
GATOR EMPLOYED BY THE OFFICE OF A DISTRICT ATTORNEY, A SWORN OFFICER OF
THE DIVISION OF STATE POLICE, OF THE REGIONAL STATE PARK POLICE, OF A
S. 7400 34
CITY POLICE DEPARTMENT, OR OF A COUNTY, TOWN OR VILLAGE POLICE DEPART-
MENT OR COUNTY SHERIFF'S OFFICE OR DEPARTMENT UPON WRITTEN VERIFICATION
THAT SUCH INFORMATION IS NECESSARY TO CONDUCT A CRIMINAL INVESTIGATION
OR CRIMINAL PROSECUTION OF A PERSON, AND THAT THERE IS REASONABLE CAUSE
TO BELIEVE THAT SUCH PERSON IS THE SUBJECT OF A REPORT; PROVIDED, HOWEV-
ER, THAT ONLY SUBSTANTIATED REPORTS SHALL BE FURNISHED PURSUANT TO THIS
SUBDIVISION;
(M) THE NEW YORK CITY DEPARTMENT OF INVESTIGATION; PROVIDED, HOWEVER,
THAT NO INFORMATION IDENTIFYING THE SUBJECTS OF THE REPORT OR OTHER
PERSONS NAMED IN THE REPORT SHALL BE MADE AVAILABLE TO THE DEPARTMENT OF
INVESTIGATION UNLESS SUCH INFORMATION IS ESSENTIAL TO AN INVESTIGATION
WITHIN THE LEGAL AUTHORITY OF THE DEPARTMENT OF INVESTIGATION AND THE
JUSTICE CENTER OR THE APPLICABLE STATE OVERSIGHT AGENCY GIVES PRIOR
APPROVAL;
(N) A PROVIDER OR COORDINATOR OF SERVICES TO WHICH A FACILITY OR
PROVIDER AGENCY, OPERATING STATE AGENCY, OR SOCIAL SERVICES DISTRICT HAS
REFERRED A SERVICE RECIPIENT OR A SERVICE RECIPIENT'S FAMILY OR TO WHOM
THE SERVICE RECIPIENT OR THE RECIPIENT'S FAMILY HAVE REFERRED THEMSELVES
AT THE REQUEST OF SUCH AGENCY OR SOCIAL SERVICES DISTRICT, WHEN SAID
SERVICE RECIPIENT IS REPORTED TO THE VULNERABLE PERSONS' CENTRAL REGIS-
TER AS THE VULNERABLE PERSON AND WHEN THE RECORDS, REPORTS OR OTHER
INFORMATION ARE NECESSARY TO ENABLE THE PROVIDER OR COORDINATOR TO
ESTABLISH AND IMPLEMENT A PLAN OF SERVICE FOR THE SERVICE RECIPIENT OR
THE SERVICE RECIPIENT'S FAMILY, OR TO MONITOR THE PROVISION AND COORDI-
NATION OF SERVICES AND THE CIRCUMSTANCES OF THE SERVICE RECIPIENT AND
THE SERVICE RECIPIENT'S FAMILY, OR TO DIRECTLY PROVIDE SERVICES IN
ACCORDANCE WITH REQUIREMENTS ESTABLISHED BY THE APPLICABLE STATE OVER-
SIGHT AGENCY TO THE EXTENT THAT THE SHARING OF SUCH INFORMATION IS NOT
OTHERWISE PROHIBITED BY FEDERAL LAW; PROVIDED, HOWEVER, A PROVIDER OR
COORDINATOR OF SERVICES GIVEN ACCESS TO INFORMATION CONCERNING A SERVICE
RECIPIENT PURSUANT TO THIS PARAGRAPH SHALL BE AUTHORIZED TO REDISCLOSE
SUCH INFORMATION TO OTHER PERSONS OR AGENCIES WHICH ALSO PROVIDE
SERVICES TO THE SERVICE RECIPIENT OR THE SERVICE RECIPIENT'S FAMILY ONLY
IF AN AGREEMENT HAS BEEN OR WILL BE REACHED BETWEEN THE PROVIDER OR
COORDINATOR OF SERVICE AND SUCH FACILITY OR PROVIDER AGENCY, OPERATING
STATE AGENCY OR LOCAL DISTRICT. AN AGREEMENT ENTERED INTO PURSUANT TO
THIS PARAGRAPH SHALL INCLUDE THE SPECIFIC AGENCIES AND CATEGORIES OF
INDIVIDUALS TO WHOM REDISCLOSURE BY THE PROVIDER OR COORDINATOR OF
SERVICES IS AUTHORIZED. PERSONS OR AGENCIES GIVEN ACCESS TO INFORMATION
PURSUANT TO THIS PARAGRAPH MAY EXCHANGE SUCH INFORMATION IN ORDER TO
FACILITATE THE PROVISION OR COORDINATION OF SERVICES TO THE SERVICE
RECIPIENT OR THE SERVICE RECIPIENT'S FAMILY;
(O) A DISINTERESTED PERSON MAKING AN INVESTIGATION PURSUANT TO SECTION
ONE HUNDRED SIXTEEN OF THE DOMESTIC RELATIONS LAW, PROVIDED THAT SUCH
DISINTERESTED PERSON SHALL ONLY MAKE THIS INFORMATION AVAILABLE TO THE
JUDGE BEFORE WHOM THE ADOPTION PROCEEDING IS PENDING;
(P) A CRIMINAL JUSTICE AGENCY CONDUCTING AN INVESTIGATION OF A MISSING
CHILD OR VULNERABLE ADULT WHERE THERE IS REASON TO SUSPECT INFORMATION
IN A SUBSTANTIATED REPORT UNDER THIS ARTICLE IS NEEDED TO FURTHER SUCH
INVESTIGATION;
(Q) THE DIRECTOR OR OPERATOR OF THE FACILITY OR PROVIDER AGENCY AND,
AS APPROPRIATE, THE LOCAL SOCIAL SERVICES COMMISSIONER, COMMISSIONER OF
THE OFFICE OF CHILDREN AND FAMILY SERVICES, OR SCHOOL DISTRICT PLACING A
CHILD IN THAT PROGRAM, THE APPLICABLE EXECUTIVE AGENCY, AND, FOR ANY
REPORT INVOLVING ABUSE OR NEGLECT OF A CHILD, ANY ATTORNEY APPOINTED TO
REPRESENT THE CHILD WHOSE APPOINTMENT HAS BEEN CONTINUED BY A FAMILY
S. 7400 35
COURT JUDGE DURING THE TERM OF THE PLACEMENT AND SUBJECT TO THE LIMITA-
TIONS CONTAINED IN SECTION FOUR HUNDRED NINETY-FIVE OF THIS ARTICLE;
(R) FOR ANY REPORT ALLEGING ABUSE OR NEGLECT OF A CHILD, A CHILD
PROTECTIVE SERVICE OF ANOTHER STATE WHEN SUCH SERVICE CERTIFIES THAT THE
RECORDS AND REPORTS ARE NECESSARY IN ORDER TO CONDUCT A CHILD ABUSE OR
MALTREATMENT INVESTIGATION WITHIN ITS JURISDICTION OF THE SUBJECT OF THE
REPORT AND SHALL ONLY BE USED FOR PURPOSES OF CONDUCTING SUCH INVESTI-
GATION AND WILL NOT BE REDISCLOSED TO ANY OTHER PERSON OR AGENCY;
(S) AN ATTORNEY FOR A CHILD, APPOINTED PURSUANT TO SECTION ONE THOU-
SAND SIXTEEN OF THE FAMILY COURT ACT, AT ANY TIME SUCH APPOINTMENT IS IN
EFFECT, IN RELATION TO ANY REPORT IN WHICH THE RESPONDENT IN THE
PROCEEDING IN WHICH THE ATTORNEY FOR THE CHILD IS APPOINTED IS THE
SUBJECT OR ANOTHER PERSON NAMED IN THE REPORT, PURSUANT TO SECTIONS ONE
THOUSAND THIRTY-NINE-A AND ONE THOUSAND FIFTY-TWO-A OF THE FAMILY COURT
ACT;
(T) OFFICERS AND EMPLOYEES OF THE STATE COMPTROLLER, FOR PURPOSES OF A
DULY AUTHORIZED PERFORMANCE AUDIT, PROVIDED THAT SUCH COMPTROLLER SHALL
HAVE CERTIFIED TO THE KEEPER OF SUCH RECORDS THAT HE OR SHE HAS INSTI-
TUTED PROCEDURES DEVELOPED IN CONSULTATION WITH THE JUSTICE CENTER TO
LIMIT ACCESS TO SERVICE RECIPIENT-IDENTIFIABLE INFORMATION TO PERSONS
REQUIRING SUCH INFORMATION FOR PURPOSES OF THE AUDIT AND THAT APPROPRI-
ATE CONTROLS AND PROHIBITIONS ARE IMPOSED ON THE DISSEMINATION OF
SERVICE RECIPIENT-IDENTIFIABLE INFORMATION CONTAINED IN THE CONDUCT OF
THE AUDIT.
(I) INFORMATION PERTAINING TO THE SUBSTANCE OR CONTENT OF ANY PSYCHO-
LOGICAL, PSYCHIATRIC, THERAPEUTIC, CLINICAL OR MEDICAL REPORTS, EVALU-
ATIONS OR LIKE MATERIALS OR INFORMATION PERTAINING TO SUCH VULNERABLE
PERSON OR SUCH PERSON'S FAMILY SHALL NOT BE MADE AVAILABLE TO SUCH OFFI-
CERS AND EMPLOYEES UNLESS DISCLOSURE OF SUCH INFORMATION IS ABSOLUTELY
ESSENTIAL TO THE SPECIFIC AUDIT ACTIVITY AND THE JUSTICE CENTER GIVES
PRIOR WRITTEN APPROVAL.
(II) ANY FAILURE TO MAINTAIN THE CONFIDENTIALITY OF SERVICE RECI-
PIENT-IDENTIFIABLE INFORMATION SHALL SUBJECT SUCH COMPTROLLER OR OFFICER
TO DENIAL OF ANY FURTHER ACCESS TO RECORDS UNTIL SUCH TIME AS THE AUDIT
AGENCY HAS REVIEWED ITS PROCEDURES CONCERNING CONTROLS AND PROHIBITIONS
IMPOSED ON THE DISSEMINATION OF SUCH INFORMATION AND HAS TAKEN ALL
REASONABLE AND APPROPRIATE STEPS TO ELIMINATE SUCH LAPSES IN MAINTAINING
CONFIDENTIALITY TO THE SATISFACTION OF THE JUSTICE CENTER. SUCH JUSTICE
CENTER SHALL ESTABLISH THE GROUNDS FOR DENIAL OF ACCESS TO RECORDS
CONTAINED UNDER THIS SECTION AND SHALL RECOMMEND AS NECESSARY A PLAN OF
REMEDIATION TO THE AUDIT AGENCY. EXCEPT AS PROVIDED IN THIS SECTION,
NOTHING IN THIS SUBPARAGRAPH SHALL BE CONSTRUED AS LIMITING THE POWERS
OF SUCH COMPTROLLER OR OFFICER TO ACCESS RECORDS WHICH HE OR SHE IS
OTHERWISE AUTHORIZED TO AUDIT OR OBTAIN UNDER ANY OTHER APPLICABLE
PROVISION OF LAW. ANY PERSON GIVEN ACCESS TO INFORMATION PURSUANT TO
THIS SUBPARAGRAPH WHO RELEASES DATA OR INFORMATION TO PERSONS OR AGEN-
CIES NOT AUTHORIZED TO RECEIVE SUCH INFORMATION SHALL BE GUILTY OF A
CLASS A MISDEMEANOR;
(U) AN ENTITY WITH APPROPRIATE LEGAL AUTHORITY IN ANOTHER STATE TO
LICENSE, CERTIFY OR OTHERWISE APPROVE PROSPECTIVE FOSTER AND ADOPTIVE
PARENTS WHERE DISCLOSURE OF INFORMATION REGARDING THE PROSPECTIVE FOSTER
OR ADOPTIVE PARENTS AND OTHER PERSONS OVER THE AGE OF EIGHTEEN RESIDING
IN THE HOME OF SUCH PROSPECTIVE PARENTS IS REQUIRED BY PARAGRAPH TWENTY
OF SUBDIVISION (A) OF SECTION SIX HUNDRED SEVENTY-ONE OF TITLE FORTY-TWO
OF THE UNITED STATES CODE;
S. 7400 36
(V) A SOCIAL SERVICES OFFICIAL WHO IS INVESTIGATING WHETHER AN ADULT
IS IN NEED OF PROTECTIVE SERVICES IN ACCORDANCE WITH THE PROVISIONS OF
SECTION FOUR HUNDRED SEVENTY-THREE OF THIS CHAPTER OR A CHILD IS IN NEED
OF CHILD PROTECTIVE SERVICES PURSUANT TO THE PROVISIONS OF TITLE SIX OF
ARTICLE SIX OF THIS CHAPTER, WHEN SUCH OFFICIAL HAS REASONABLE CAUSE TO
BELIEVE THAT SUCH REPORTS AND INFORMATION ARE NEEDED TO FURTHER THE
PRESENT INVESTIGATION; AND
(W) FOR REPORTS ALLEGING ABUSE OR NEGLECT OF CHILDREN, MEMBERS OF A
CITIZEN REVIEW PANEL AS ESTABLISHED PURSUANT TO SECTION THREE HUNDRED
SEVENTY-ONE-B OF THIS CHAPTER; PROVIDED, HOWEVER, SUCH MEMBERS SHALL NOT
DISCLOSE TO ANY PERSON OR GOVERNMENTAL OFFICIAL ANY IDENTIFYING INFORMA-
TION WHICH THE PANEL HAS BEEN PROVIDED AND SHALL NOT MAKE PUBLIC OTHER
INFORMATION UNLESS OTHERWISE AUTHORIZED BY STATUTE.
2. (A) THE EXECUTIVE DIRECTOR, IN CONSULTATION WITH THE APPLICABLE
STATE OVERSIGHT AGENCY MAY DISCLOSE INFORMATION REGARDING THE ABUSE OR
NEGLECT OF A VULNERABLE PERSON AS SET FORTH IN THIS SECTION, AND THE
INVESTIGATION THEREOF AND ANY SERVICES RELATED THERETO, IF OTHERWISE
PERMITTED BY APPLICABLE FEDERAL LAW AND IF HE OR SHE DETERMINES THAT
SUCH DISCLOSURE SHALL NOT BE CONTRARY TO THE BEST INTERESTS OF THE
VULNERABLE PERSON AND ANY ONE OF THE FOLLOWING FACTORS ARE PRESENT:
(I) THE SUBJECT OF THE REPORT HAS BEEN CHARGED IN AN ACCUSATORY
INSTRUMENT WITH COMMITTING A CRIME RELATED TO A REPORT MAINTAINED IN THE
VULNERABLE PERSONS' CENTRAL REGISTER; OR
(II) THE INVESTIGATION OF THE ABUSE OR NEGLECT OF THE VULNERABLE
PERSON OR THE PROVISION OF SERVICES BY THE FACILITY OR PROVIDER AGENCY
HAS BEEN PUBLICLY DISCLOSED IN A REPORT REQUIRED TO BE DISCLOSED IN THE
COURSE OF THEIR OFFICIAL DUTIES, BY A LAW ENFORCEMENT AGENCY OR OFFI-
CIAL, A DISTRICT ATTORNEY, ANY OTHER STATE OR LOCAL INVESTIGATIVE AGENCY
OR OFFICIAL, OR BY JUDGE OF THE UNIFIED COURT SYSTEM; OR
(III) THERE HAS BEEN A PRIOR KNOWING, VOLUNTARY, PUBLIC DISCLOSURE BY
AN INDIVIDUAL CONCERNING A REPORT OF ABUSE OR NEGLECT IN WHICH SUCH
INDIVIDUAL IS NAMED AS THE SUBJECT OF THE REPORT AS DEFINED BY SUBDIVI-
SION THIRTEEN OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THIS ARTICLE; OR
(IV) THE VULNERABLE PERSON NAMED IN THE REPORT HAS DIED OR THE REPORT
INVOLVES THE NEAR FATALITY OF A VULNERABLE PERSON. FOR THE PURPOSES OF
THIS SECTION, "NEAR FATALITY" MEANS AN ACT THAT RESULTS IN THE VULNER-
ABLE PERSON BEING PLACED, AS CERTIFIED BY A PHYSICIAN, IN SERIOUS OR
CRITICAL CONDITION.
(B) FOR THE PURPOSES OF THIS SECTION, ONLY THE FOLLOWING INFORMATION
MAY BE DISCLOSED:
(I) THE NAME OF THE ABUSED OR NEGLECTED VULNERABLE PERSON;
(II) THE DETERMINATION BY THE JUSTICE CENTER AND THE FINDINGS UPON
WHICH SUCH DETERMINATION WAS BASED;
(III) IDENTIFICATION OF SERVICES PROVIDED OR ACTIONS, IF ANY, TAKEN
REGARDING THE VULNERABLE PERSON NAMED IN THE REPORT AND HIS OR HER FAMI-
LY AS A RESULT OF ANY SUCH REPORT OR REPORTS;
(IV) WHETHER ANY REPORT OF ABUSE OR NEGLECT REGARDING SUCH VULNERABLE
PERSON HAS BEEN "SUBSTANTIATED" AS MAINTAINED BY THE VULNERABLE PERSONS'
CENTRAL REGISTER;
(V) ANY ACTIONS TAKEN BY THE STATE OVERSIGHT AGENCY OR THE FACILITY OR
PROVIDER AGENCY IN RESPONSE TO REPORTS OF ABUSE OR NEGLECT OF THE
VULNERABLE PERSON TO THE VULNERABLE PERSONS' CENTRAL REGISTER, INCLUDING
BUT NOT LIMITED TO ACTIONS TAKEN AFTER EACH AND EVERY REPORT OF ABUSE OR
NEGLECT OF SUCH PERSON AND THE DATES OF SUCH REPORTS; AND
(VI) ANY EXTRAORDINARY OR PERTINENT INFORMATION CONCERNING THE CIRCUM-
STANCES OF THE ABUSE OR NEGLECT OF THE VULNERABLE PERSON AND THE INVES-
S. 7400 37
TIGATION THEREOF, WHERE THE EXECUTIVE DIRECTOR, IN CONSULTATION WITH THE
COMMISSIONER OF THE APPLICABLE STATE OVERSIGHT AGENCY DETERMINES SUCH
DISCLOSURE IS CONSISTENT WITH THE PUBLIC INTEREST.
(C) INFORMATION MAY BE DISCLOSED PURSUANT TO THIS SECTION AS FOLLOWS:
(I) INFORMATION RELEASED PRIOR TO THE COMPLETION OF THE INVESTIGATION
OF A REPORT SHALL BE LIMITED TO A STATEMENT THAT A REPORT IS "UNDER
INVESTIGATION";
(II) WHEN THERE HAS BEEN A PRIOR DISCLOSURE PURSUANT TO PARAGRAPH (A)
OF THIS SUBDIVISION, INFORMATION RELEASED IN A CASE IN WHICH THE INVES-
TIGATION OF THE REPORT HAS BEEN COMPLETED BUT NOT SUBSTANTIATED, INFOR-
MATION SHALL BE LIMITED TO THE STATEMENT THAT "THE INVESTIGATION HAS
BEEN COMPLETED AND THE REPORT HAS BEEN DISCONFIRMED OR INCONCLUSIVE";
(III) IF THE REPORT HAS BEEN "SUBSTANTIATED" THEN INFORMATION MAY BE
RELEASED PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION.
(D) ANY DISCLOSURE OF INFORMATION PURSUANT TO THIS SECTION SHALL BE
CONSISTENT WITH THE PROVISIONS OF PARAGRAPH (B) OF THIS SUBDIVISION.
SUCH DISCLOSURE SHALL NOT IDENTIFY OR PROVIDE AN IDENTIFYING DESCRIPTION
OF THE SOURCE OF THE REPORT, AND SHALL NOT IDENTIFY THE NAME OF THE
ABUSED OR NEGLECTED VULNERABLE PERSON'S SIBLINGS OR CHILDREN, THE PARENT
OR OTHER PERSON LEGALLY RESPONSIBLE FOR SUCH PERSON OR ANY OTHER MEMBERS
OF SUCH PERSON'S HOUSEHOLD.
(E) IN DETERMINING, PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION,
WHETHER DISCLOSURE WILL BE CONTRARY TO THE BEST INTERESTS OF THE VULNER-
ABLE PERSON, THE EXECUTIVE DIRECTOR SHALL CONSIDER THE INTEREST IN
PRIVACY OF THE VULNERABLE PERSON AND SUCH PERSON'S SIBLINGS OR CHILDREN,
THE PARENT OR OTHER PERSON LEGALLY RESPONSIBLE FOR SUCH PERSON OR ANY
OTHER MEMBERS OF SUCH PERSON'S HOUSEHOLD.
(F) EXCEPT AS IT APPLIES DIRECTLY TO THE CAUSE OF THE ABUSE OR NEGLECT
OF THE VULNERABLE PERSON, NOTHING IN THIS SECTION SHALL BE DEEMED TO
AUTHORIZE THE RELEASE OR DISCLOSURE OF THE SUBSTANCE OR CONTENT OF ANY
PSYCHOLOGICAL, PSYCHIATRIC, THERAPEUTIC, CLINICAL OR MEDICAL REPORTS,
EVALUATIONS OR LIKE MATERIALS OR INFORMATION PERTAINING TO SUCH PERSON
OR SUCH PERSON'S FAMILY. ANY SUCH INFORMATION THAT APPLIES DIRECTLY TO
THE CAUSE OF THE ABUSE OR NEGLECT OF THE VULNERABLE PERSON MAY BE
DISCLOSED ONLY IF DISCLOSURE IS NOT OTHERWISE RESTRICTED BY APPLICABLE
FEDERAL OR STATE LAWS.
3. A PERSON GIVEN ACCESS TO THE NAMES OR OTHER INFORMATION IDENTIFYING
THE SUBJECT OF THE REPORT OR OTHER PERSONS NAMED IN THE REPORT SHALL NOT
DIVULGE OR MAKE PUBLIC SUCH IDENTIFYING INFORMATION UNLESS HE OR SHE IS
A DISTRICT ATTORNEY OR OTHER LAW ENFORCEMENT OFFICIAL AND THE PURPOSE IS
TO INITIATE COURT ACTION OR THE DISCLOSURE IS NECESSARY IN CONNECTION
WITH THE INVESTIGATION OR PROSECUTION OF THE SUBJECT OF THE REPORT FOR A
CRIME ALLEGED TO HAVE BEEN COMMITTED BY THE SUBJECT AGAINST ANOTHER
PERSON NAMED IN THE REPORT. NOTHING IN THIS SECTION SHALL BE CONSTRUED
TO PERMIT ANY RELEASE, DISCLOSURE OR IDENTIFICATION OF THE NAMES OR
IDENTIFYING DESCRIPTIONS OF PERSONS WHO HAVE REPORTED SUSPECTED ABUSE OR
NEGLECT TO THE VULNERABLE PERSONS' CENTRAL REGISTER OR THE STATE OVER-
SIGHT AGENCY, FACILITY OR PROVIDER AGENCY OR OTHER ENTITY WHERE SUCH
PERSONS ARE EMPLOYED OR WITH WHICH THEY ARE ASSOCIATED WITHOUT SUCH
PERSONS' WRITTEN PERMISSION EXCEPT TO PERSONS, OFFICIALS, AND AGENCIES
ENUMERATED IN PARAGRAPHS (F), (G), (L), (M) AND (V) OF SUBDIVISION ONE
OF THIS SECTION. TO THE EXTENT THAT PERSONS OR AGENCIES ARE GIVEN
ACCESS TO INFORMATION PURSUANT TO PARAGRAPHS (C), (D), (E), (K), (L),
(M), (N) AND (P) OF SUBDIVISION ONE OF THIS SECTION, SUCH PERSONS OR
AGENCIES MAY GIVE AND RECEIVE SUCH INFORMATION TO EACH OTHER IN ORDER TO
S. 7400 38
FACILITATE AN INVESTIGATION CONDUCTED, OR THE PROVISION OF SERVICES, BY
SUCH PERSONS OR AGENCIES.
4. UNLESS AN INVESTIGATION OF A REPORT CONDUCTED PURSUANT TO THIS
ARTICLE DETERMINES THAT THERE IS A PREPONDERANCE OF THE EVIDENCE OF THE
ALLEGED ABUSE OR NEGLECT, ALL INFORMATION IDENTIFYING THE SUBJECT OF THE
REPORT AND OTHER PERSONS NAMED IN THE REPORT SHALL BE SEALED FORTHWITH
BY THE VULNERABLE PERSONS' CENTRAL REGISTER. SUCH REPORTS MAY ONLY BE
UNSEALED AND MADE AVAILABLE, CONSISTENT WITH ANY OTHER APPLICABLE STATE
OR FEDERAL LAW, TO:
(A) THE STATE AGENCY OPERATING, LICENSING OR CERTIFYING A FACILITY OR
PROGRAM FOR THE PURPOSE OF MONITORING OR LICENSING SUCH FACILITY OR
PROGRAM;
(B) ANY STATE AGENCY OPERATING, LICENSING, OR CERTIFYING A FACILITY OR
PROVIDER AGENCY WHEN INVESTIGATING A REPORT OF SUSPECTED ABUSE OR
MALTREATMENT INVOLVING THE SUBJECT OF A PREVIOUSLY SEALED REPORT
ACCEPTED BY THE VULNERABLE PERSONS' CENTRAL REGISTER;
(C) THE SUBJECT OF THE REPORT;
(D) A COURT OF RELEVANT JURISDICTION OR A LAW ENFORCEMENT OFFICIAL
WHEN SUCH COURT OR OFFICIAL VERIFIES THAT THE REPORT IS NECESSARY TO
CONDUCT AN ACTIVE INVESTIGATION OR PROSECUTION OF A VIOLATION OF SUBDI-
VISION FOUR OF SECTION 240.50 OF THE PENAL LAW; OR
(E) THE JUSTICE CENTER MEDICAL REVIEW BOARD, FOR THE PURPOSES OF
PREPARING A FATALITY REPORT PURSUANT TO SECTION FIVE HUNDRED FIFTY-SIX
OF THE EXECUTIVE LAW.
WHEN A REPORT IS UNSEALED, PERSONS GIVEN ACCESS TO IT SHALL NOT REDIS-
CLOSE SUCH REPORTS EXCEPT AS NECESSARY TO CONDUCT SUCH APPROPRIATE
INVESTIGATION OR PROSECUTION AND SHALL REQUEST THAT THE COURT REDACT ANY
COPIES OF SUCH REPORTS PRODUCED IN ANY COURT PROCEEDING TO REMOVE THE
NAMES OF THOSE PERSONS IRRELEVANT TO THE PROCEEDING SUCH AS THE SOURCE
OF THE REPORT, THE NAME OF THE SUBJECT, OR AND OTHER PERSONS NAMED IN
THE REPORTS; OR THAT THE COURT ISSUE AN ORDER PROTECTING THE NAMES OF
THE SUBJECTS AND OTHER PERSONS NAMED IN THE REPORTS FROM PUBLIC DISCLO-
SURE.
S 497. IMMUNITY FROM LIABILITY. ANY PERSON PARTICIPATING IN GOOD FAITH
IN MAKING A REPORT, TAKING PHOTOGRAPHS, CONDUCTING OR OVERSEEING AN
INVESTIGATION, OPERATING THE VULNERABLE PERSONS' CENTRAL REGISTER OR
DISCLOSING INFORMATION IN COMPLIANCE WITH THIS ARTICLE SHALL HAVE IMMU-
NITY FROM ANY LIABILITY, CIVIL OR CRIMINAL, THAT MIGHT OTHERWISE RESULT
BY REASON OF SUCH ACTIONS. FOR THE PURPOSE OF ANY PROCEEDING, CIVIL OR
CRIMINAL, THE GOOD FAITH OF ANY SUCH PERSON REQUIRED TO PERFORM ANY OF
SUCH FUNCTIONS IN ACCORDANCE WITH THIS ARTICLE SHALL BE PRESUMED,
PROVIDED SUCH PERSON, WAS ACTING IN DISCHARGE OF HIS OR HER DUTIES AND
WITHIN THE SCOPE OF HIS OR HER EMPLOYMENT OR RESPONSIBILITIES, AND THAT
SUCH LIABILITY DID NOT RESULT FROM THE WILLFUL MISCONDUCT OR GROSS
NEGLIGENCE OF SUCH PERSON.
S 2. This act shall take effect April 1, 2013; provided, however, that
effective immediately, the addition, amendment or repeal of any rule or
regulation necessary for the implementation of this act on its effective
date is authorized to be made on or before such date.
PART C
Section 1. Subdivisions 6 and 7 of section 677 of the county law,
subdivision 6 as amended by chapter 491 of the laws of 1987, subdivision
7 as added by chapter 477 of the laws of 1979 and paragraph (a) of
S. 7400 39
subdivision 7 as amended by chapter 330 of the laws of 1993, are amended
to read as follows:
6. The coroner, coroner's physician or medical examiner shall promptly
provide the chairman of the correction medical review board and the
commissioner of correctional services with copies of any autopsy report,
toxicological report or any report of any examination or inquiry
prepared with respect to any death occurring to an inmate of a correc-
tional facility as defined by subdivision three of section forty of the
correction law within his county; AND SHALL PROMPTLY PROVIDE THE EXECU-
TIVE DIRECTOR OF THE JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH
SPECIAL NEEDS WITH COPIES OF ANY AUTOPSY REPORT, TOXICOLOGY REPORT OR
ANY REPORT OF ANY EXAMINATION OR INQUIRY PREPARED WITH RESPECT TO THE
DEATH OF ANY SERVICE RECIPIENT OCCURRING WHILE HE OR SHE WAS A RESIDENT
IN ANY FACILITY OPERATED, LICENSED OR CERTIFIED BY ANY AGENCY WITHIN THE
DEPARTMENT OF MENTAL HYGIENE, THE OFFICE OF CHILDREN AND FAMILY
SERVICES, THE DEPARTMENT OF HEALTH OR THE STATE EDUCATION DEPARTMENT.
If the toxicological report is prepared pursuant to any agreement or
contract with any person, partnership, corporation or governmental agen-
cy with the coroner or medical examiner, such report shall be promptly
provided to the chairman of the correction medical review board [and
to], the commissioner of correctional services OR THE EXECUTIVE DIRECTOR
OF THE JUSTICE CENTER FOR PEOPLE WITH SPECIAL NEEDS, AS APPROPRIATE, by
such person, partnership, corporation or governmental agency.
7. (a) Upon the written request of the commissioner of mental health,
the commissioner of [mental retardation and] THE OFFICE FOR PERSONS WITH
developmental disabilities, the director of the mental hygiene legal
service, [the chairman of the commission on quality of care for the
mentally disabled] THE EXECUTIVE DIRECTOR OF THE JUSTICE CENTER FOR THE
PROTECTION OF PEOPLE WITH SPECIAL NEEDS or the director of a mental
hygiene facility, as defined in SUBDIVISION TWO OF section [45.01] FIVE
HUNDRED FIFTY of the [mental hygiene] EXECUTIVE law, at which the
deceased was a patient or resident, the coroner, coroner's physician or
medical examiner shall provide such person with a copy of all reports
and records, including, but not limited to, autopsy reports and toxico-
logical reports related to the deceased prepared by a person, partner-
ship, corporation or governmental agency pursuant to any agreement or
contract with the coroner or medical examiner with respect to the death
of a patient or resident receiving services [for a mental disability] at
such a mental hygiene facility.
(b) Upon the written request of the commissioner of mental health, or
commissioner of [mental retardation and] developmental disabilities, or
a director of a departmental facility as defined in section 1.03 of the
mental hygiene law, or the [chairman of the commission on quality of
care for the mentally disabled] EXECUTIVE DIRECTOR OF THE JUSTICE CENTER
FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS, the coroner, coroner's
physician or medical examiner shall transmit to the commissioner, or
such director, [or chairman,] or any member of the [mental hygiene]
JUSTICE CENTER medical review board [designated by the chairman of such
commission], original autopsy slides, tissue materials and specimens
taken from the body of a deceased patient or resident as defined in
paragraph (a) of this section. Such original materials may be used and
tested by such office of the department of mental hygiene, or such
director, and [mental hygiene] JUSTICE CENTER medical review board
pursuant to its authority under section [45.17] FIVE HUNDRED FIFTY-SIX
of the [mental hygiene] EXECUTIVE law. Such slides, materials and spec-
imens may be retained for a reasonable time, and shall be returned to
S. 7400 40
the office of the coroner or medical examiner in good condition allowing
for reasonable use for study and testing purposes.
S 2. Subdivisions (a) and (d) of section 7.09 of the mental hygiene
law, subdivision (a) as added by chapter 978 of the laws of 1977 and
subdivision (d) as added by chapter 477 of the laws of 1979, are amended
to read as follows:
(a) The commissioner shall exercise all powers vested in the office.
He may delegate any function, power, or duty assigned to him or to the
office of mental health to a director of a facility operated by such
office or to any other officer or employee of such office, unless other-
wise provided by law. He may enter into agreements with the EXECUTIVE
DIRECTOR OF THE JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL
NEEDS OR THE other commissioners of the department in order to ensure
that programs and services are provided for all of the mentally disa-
bled.
(d) The commissioner and directors of office facilities may request
and upon such request the coroner, coroner's physician or medical exam-
iner shall provide to such persons access to original autopsy slides,
tissue materials and specimens derived from any autopsy or inquiry with
respect to the death of a patient or resident in a mental hygiene facil-
ity, as defined in [section 45.01 of this chapter] SUBDIVISION TWO OF
SECTION FIVE HUNDRED FIFTY OF THE EXECUTIVE LAW. Such original materials
shall be preserved intact, except for unavoidable changes due to neces-
sary scientific testing, and shall be returned to the coroner, coroner's
physician or medical examiner.
S 3. Subdivision (b) of section 7.21 of the mental hygiene law, as
amended by chapter 558 of the laws of 2011, is amended to read as
follows:
(b) Such director shall have the responsibility of seeing that there
is humane treatment of the patients at his OR HER facility and shall
investigate, OR CAUSE TO BE INVESTIGATED, every case of alleged patient
abuse or [mistreatment] NEGLECT. IN ACCORDANCE WITH ARTICLE ELEVEN OF
THE SOCIAL SERVICES LAW, THE DIRECTOR SHALL REQUIRE THAT ALLEGATIONS OF
ABUSE OR NEGLECT ARE REPORTED TO THE VULNERABLE PERSONS' CENTRAL REGIS-
TER, WHICH SHALL SCREEN AND IMMEDIATELY FORWARD REPORTS THAT APPEAR TO
ALLEGE CRIMES TO THE APPROPRIATE LAW ENFORCEMENT AGENCY. [The director
shall notify immediately, and in any event within three working days,
the board of visitors of the facility and the mental hygiene legal
service located in the same judicial department as the hospital, school,
or institution of every complaint of patient abuse or mistreatment and
shall inform the board and the mental hygiene legal service of the
results of his investigation. If it appears that a crime may have been
committed, the director shall give notice thereof to the district attor-
ney or other appropriate law enforcement official as soon as possible,
and in any event within three working days unless it appears that the
crime includes an employee, intern, volunteer, consultant, contractor,
or visitor and the alleged conduct caused physical injury or the patient
was subject to unauthorized sexual contact, or if it appears the crime
is endangering the welfare of an incompetent or physically disabled
person pursuant to section 260.25 of the penal law, or if the crime was
any felony under state or federal law, then the district attorney or
other appropriate law enforcement official must be contacted immediate-
ly, and in any event no later than twenty-four hours.]
S 4. Subdivisions (a) and (c) of section 13.09 of the mental hygiene
law, subdivision (a) as added by chapter 978 of the laws of 1977 and
S. 7400 41
subdivision (c) as added by chapter 477 of the laws of 1979, are amended
to read as follows:
(a) The commissioner shall exercise all powers vested in the office.
He OR SHE may delegate any function, power, or duty assigned to him OR
HER or to the office to any officer or employee of the office, unless
otherwise provided by law. He OR SHE may enter into agreements with
other commissioners of the department in order to ensure that programs
and services are provided for all of the mentally disabled.
(c) The commissioner and directors of office facilities may request
and upon such request the coroner, coroner's physician or medical exam-
iner shall provide to such persons access to original autopsy slides,
tissue materials and specimens derived from any autopsy or inquiry with
respect to the death of a patient or resident in a mental hygiene facil-
ity, as defined in [section 45.01 of this chapter] SUBDIVISION TWO OF
SECTION FIVE HUNDRED FIFTY OF THE EXECUTIVE LAW. Such original materials
shall be preserved intact, except for unavoidable changes due to neces-
sary scientific testing and shall be returned to the coroner, coroner's
physician or medical examiner.
S 5. Subdivision (b) of section 13.21 of the mental hygiene law, as
amended by section 3 of part J of chapter 56 of the laws of 2012, is
amended to read as follows:
(b) Such directors shall have the responsibility of seeing that there
is humane treatment of individuals with developmental disabilities
receiving services in settings operated, licensed, certified, funded or
approved by this office AND SHALL INVESTIGATE, OR CAUSE TO BE INVESTI-
GATED, EVERY CASE OF ALLEGED PATIENT ABUSE OR NEGLECT. IN ACCORDANCE
WITH ARTICLE ELEVEN OF THE SOCIAL SERVICES LAW, THE DIRECTOR SHALL
REQUIRE THAT ALLEGATIONS OF ABUSE OR NEGLECT ARE REPORTED TO THE VULNER-
ABLE PERSONS' CENTRAL REGISTER, WHICH SHALL SCREEN AND IMMEDIATELY
FORWARD REPORTS THAT APPEAR TO ALLEGE CRIMES TO THE APPROPRIATE LAW
ENFORCEMENT AGENCY. [A director of a state operations office shall noti-
fy immediately, and in any event within three working days, the board of
visitors of the facility and the mental hygiene legal service located in
the same judicial department as the state operations office of every
complaint of patient abuse or mistreatment and shall inform the board
and the mental hygiene legal service of the results of his or her inves-
tigation. If it appears that a crime may have been committed, such state
operations director shall give notice thereof to the district attorney
or other appropriate law enforcement official as soon as possible, and
in any event within three working days unless it appears that the crime
includes an employee, intern, volunteer, consultant, contractor, or
visitor and the alleged conduct caused physical injury or the patient
was subject to unauthorized sexual contact, or if it appears the crime
is endangering the welfare of an incompetent or physically disabled
person pursuant to section 260.25 of the penal law, or if the crime was
any felony under state or federal law, then the district attorney or
other appropriate law enforcement official must be contacted immediate-
ly, and in any event no later than twenty-four hours.]
S 6. Subdivision 2 of section 13.34 of the mental hygiene law is
REPEALED and subdivisions 3, 4, 5 and 6 are renumbered subdivisions 2,
3, 4 and 5.
S 7. Subdivisions 1 and 2 of section 13.34 of the mental hygiene law,
subdivision 1 as amended by section 16 of part J of chapter 56 of the
laws of 2012, subdivision 2 as amended by chapter 542 of the laws of
2011 and such subdivision as renumbered by section six of this act, are
amended to read as follows:
S. 7400 42
1. There shall be at each developmental center facility listed in
section 13.17 of this article, an ombudsman who shall be an employee of
the [commission on quality of care and advocacy for persons with disa-
bilities] JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS
under article [forty-five] TWENTY of [this chapter] THE EXECUTIVE LAW
and who shall be responsible for receiving and responding to any
complaints regarding [individual clients] INDIVIDUALS RECEIVING SERVICES
residing in such facility. The ombudsman shall have the following powers
and duties:
i. to advise and consult with INDIVIDUALS RECEIVING SERVICES, parents,
guardians, correspondents and other interested persons with respect to
any complaints, or issues related to [the conditions of clients' resi-
dents] INDIVIDUALS RECEIVING SERVICES;
ii. to review and attempt to remedy specific complaints with responsi-
ble and appropriate staff;
iii. where it appears that care has not been rendered as required by
applicable standards to refer the complaint to the appropriate agency or
body for its attention;
iv. to receive and keep confidential any complaint, information or
inquiry from any source. The records of the ombudsman shall be confiden-
tial, and shall not be available to the public;
v. to advise and consult with the board of visitors served by the
ombudsman with respect to any complaints or issues relating to condi-
tions of client's residence, treatment and care and to regularly attend
the meetings of such board; and
vi. to meet with the commissioner, or a representative of the commis-
sioner, on a quarterly basis regarding systemic issues in the ombuds-
man's jurisdiction.
2. The ombudsman shall be afforded initial training and orientation by
the [commission on quality of care and advocacy for persons with disa-
bilities] JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL
NEEDS.
S 8. Subdivision (b) of section 16.13 of the mental hygiene law is
REPEALED and a new subdivision (b) is added to read as follows:
(B) MAKING REPORTS OF CASES OF ABUSE OR NEGLECT IN ACCORDANCE WITH
ARTICLE ELEVEN OF THE SOCIAL SERVICES LAW TO THE VULNERABLE PERSONS'
CENTRAL REGISTER, WHICH SHALL SCREEN AND IMMEDIATELY FORWARD ALLEGATIONS
THAT APPEAR TO ALLEGE CRIMES TO THE APPROPRIATE LAW ENFORCEMENT AGENCY.
SIMILARLY, MAKING REPORTS OF SIGNIFICANT INCIDENTS, AS DEFINED IN SUBDI-
VISION TWELVE OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE SOCIAL
SERVICES LAW, WHICH SHALL BE ADDRESSED PURSUANT TO THE STANDARDS SET
FORTH IN SECTION FOUR HUNDRED NINETY-ONE OF THE SOCIAL SERVICES LAW AND
REGULATIONS OF THE OFFICE.
S 9. Section 16.29 of the mental hygiene law, as amended by chapter 24
of the laws of 2007, subdivision (b) as amended by chapter 37 of the
laws of 2011, is amended to read as follows:
S 16.29 [Child abuse and maltreatment in residential care] ABUSE,
NEGLECT, AND SIGNIFICANT INCIDENTS INVOLVING VULNERABLE
PERSONS.
(a) The commissioner, IN CONSULTATION WITH THE EXECUTIVE DIRECTOR OF
THE JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS,
shall promulgate regulations establishing standards for the protection
of [children in residential] SERVICE RECIPIENTS IN THE care OF FACILI-
TIES AND PROVIDER AGENCIES OPERATED, LICENSED OR CERTIFIED BY THE OFFICE
from abuse [and maltreatment], NEGLECT, AND SIGNIFICANT INCIDENTS PURSU-
S. 7400 43
ANT TO ARTICLE ELEVEN OF THE SOCIAL SERVICES LAW, including procedures
for:
(1) [reviewing and evaluating the backgrounds of and information
supplied by any person applying to be an employee, a volunteer or
consultant,] consistent with appropriate collective bargaining agree-
ments and applicable provisions of the civil service law[. Such review
and evaluation shall include but not be limited to the following
requirements: that the applicant set forth his or her employment histo-
ry, provide personal and employment references and relevant experiential
and educational information and, sign a sworn statement whether, to the
best of his or her knowledge, he or she has ever been convicted of a
crime in this state or any other jurisdiction], ASSISTING THE JUSTICE
CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS WITH ITS REVIEW
AND EVALUATION OF CRIMINAL BACKGROUND CHECKS OF PROSPECTIVE EMPLOYEES,
AS SET FORTH IN SUBDIVISION FIVE OF SECTION FIVE HUNDRED FIFTY-THREE OF
THE EXECUTIVE LAW;
(2) establishing minimal experiential and educational qualifications
for employees that are consistent with appropriate collective bargaining
agreements and applicable provisions of the civil service law;
(3) assuring adequate and appropriate supervision of employees, volun-
teers and consultants;
(4) demonstrating that appropriate action is taken to assure the safe-
ty of [the child] A SERVICE RECIPIENT who is [reported] ALLEGED TO HAVE
BEEN ABUSED OR NEGLECTED IN A REPORT to the [state] VULNERABLE PERSONS'
central register, IN ACCORDANCE WITH SECTION FOUR HUNDRED NINETY-TWO OF
THE SOCIAL SERVICES LAW, as well as other [children] PERSONS in care,
immediately upon notification that a report of [child] AN ALLEGATION OF
abuse or [maltreatment] NEGLECT has been made [with respect to a child
in a residential facility];
(4-A) CONSISTENT WITH APPLICABLE COLLECTIVE BARGAINING AGREEMENTS,
ASSURING THAT AN INDIVIDUAL WHO HAS COMMITTED A CATEGORY ONE OFFENSE, AS
DEFINED IN PARAGRAPH (A) OF SUBDIVISION FIVE OF SECTION FOUR HUNDRED
NINETY-THREE OF THE SOCIAL SERVICES LAW, THAT IS INCLUDED ON THE VULNER-
ABLE PERSONS' CENTRAL REGISTER IS NOT HIRED OR OTHERWISE USED IN ANY
POSITION IN WHICH SUCH INDIVIDUAL WOULD HAVE REGULAR AND SUBSTANTIAL
CONTACT WITH A SERVICE RECIPIENT IN ANY PROGRAM OPERATED, LICENSED OR
CERTIFIED BY THE OFFICE;
(5) removing a [child] SERVICE RECIPIENT when it is determined that
there is a risk to such [child] PERSON if he or she continues to remain
in a [residential] facility; and
(6) taking appropriate preventive and remedial action, including legal
action, consistent with appropriate collective bargaining agreements and
applicable provisions of the civil service law. [Such] THE COMMISSIONER
SHALL ADOPT standards [shall also establish as a priority] AS ESTAB-
LISHED BY THE JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL
NEEDS, that:
(i) administrators, employees, volunteers and consultants receive
training in at least the following: [child] abuse prevention and iden-
tification, safety and security procedures, the principles of child
development, the characteristics of [children] PERSONS in care and tech-
niques of group [and child] management including crisis intervention,
the laws, regulations and procedures governing the protection of [chil-
dren] VULNERABLE PERSONS from abuse [and maltreatment], NEGLECT, AND
SIGNIFICANT INCIDENTS, and other appropriate topics provided, however,
that the office may exempt administrators and consultants from such
S. 7400 44
requirements upon demonstration of substantially equivalent knowledge or
experience; and
(ii) [children] SERVICE RECIPIENTS receive instruction consistent with
their age, needs and circumstances as well as the needs and circum-
stances within the facility or program, in techniques and procedures
which will enable [such children] THEM to ADVOCATE AND protect them-
selves from abuse [and maltreatment], NEGLECT, AND SIGNIFICANT
INCIDENTS.
The commissioner, IN CONSULTATION WITH THE EXECUTIVE DIRECTOR OF THE
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS, shall
take all reasonable and necessary actions to assure that employees,
volunteers and consultants in [residential care] facilities OPERATED OR
OVERSEEN BY THE OFFICE are kept apprised on a current basis of all poli-
cies and procedures of the office relating to the protection of [chil-
dren from abuse and maltreatment] VULNERABLE PERSONS, and shall monitor
and supervise the provision of training to such administrators, employ-
ees, volunteers, children and consultants. Standards developed pursuant
to this subdivision shall, to the extent possible, be consistent with
those promulgated by other state agencies for such purposes.
(b) The commissioner shall provide necessary assistance to the [state
commission on quality of care and advocacy for persons with disabili-
ties] JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS in
the conduct of investigations pursuant to [section 45.07 of this chap-
ter] ARTICLE ELEVEN OF THE EXECUTIVE LAW, shall consider its recommenda-
tions for appropriate preventive and remedial action including legal
actions, and shall provide or direct a residential facility licensed or
operated by the office for people with developmental disabilities to
provide written reports thereon to the [commission] JUSTICE CENTER as to
the implementation of plans of prevention and remediation approved by
such office.
(c) The commissioner shall provide for the development and implementa-
tion of a plan of prevention and remediation with respect to [an indi-
cated] A SUBSTANTIATED report of [child] abuse or [maltreatment]
NEGLECT. Such action shall include:
(i) within ten days of receipt of [an indicated] A SUBSTANTIATED
report of [child] abuse or [maltreatment] NEGLECT, development and
implementation of a plan of prevention and remediation to be taken [with
respect to a custodian or the residential facility in order] to assure
the continued health [and], safety AND WELFARE of [children] SERVICE
RECIPIENTS and to provide for the prevention of future acts of abuse [or
maltreatment], NEGLECT, OR SIGNIFICANT INCIDENTS; and
(ii) development and implementation of a plan of prevention and reme-
diation, in the event an investigation of a report of alleged [child]
abuse or [maltreatment determines that some credible evidence of abuse
or maltreatment exists] NEGLECT IS SUBSTANTIATED and such abuse or
[maltreatment] NEGLECT may be attributed in whole or in part to noncom-
pliance by the facility with the provisions of this chapter or regu-
lations of the office applicable to the operation of such [residential]
facility. Any plan of prevention and remediation required to be devel-
oped pursuant to this subdivision by a facility supervised by the office
shall be submitted to and approved by such office in accordance with
time limits established by regulations of such office. Implementation
of the plan shall be monitored by such office. In reviewing the contin-
ued qualifications of a residential facility or program for an operating
certificate, the office shall evaluate such facility's compliance with
S. 7400 45
plans of prevention and remediation developed and implemented pursuant
to this subdivision.
S 10. Section 31.30 of the mental hygiene law, as added by chapter 24
of the laws of 2007, is amended to read as follows:
S 31.30 [Child abuse and maltreatment in residential care] ABUSE,
NEGLECT, AND SIGNIFICANT INCIDENTS INVOLVING VULNERABLE
PERSONS.
(a) The commissioner IN CONSULTATION WITH THE EXECUTIVE DIRECTOR OF
THE JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS,
shall promulgate regulations establishing standards for the protection
of [children in residential] SERVICE RECIPIENTS IN THE care [and
maltreatment] OF FACILITIES AND PROVIDER AGENCIES OPERATED, LICENSED OR
CERTIFIED BY THE OFFICE FROM ABUSE, NEGLECT, AND SIGNIFICANT INCIDENTS
PURSUANT TO ARTICLE ELEVEN OF THE SOCIAL SERVICES LAW, including proce-
dures for:
1. [reviewing and evaluating the backgrounds of and information
supplied by any person applying to be an employee, a volunteer or
consultant,] consistent with appropriate collective bargaining agree-
ments and applicable provisions of the civil service law[. Such review
and evaluation shall include, but not be limited to, the following
requirements: that the applicant set forth his or her employment histo-
ry, provide personal and employment references and relevant experiential
and educational information and, sign a sworn statement whether, to the
best of his or her knowledge, he or she has ever been convicted of a
crime in this state or any other jurisdiction], ASSISTING THE JUSTICE
CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS WITH ITS REVIEW
AND EVALUATION OF CRIMINAL BACKGROUND CHECKS OF PROSPECTIVE EMPLOYEES,
AS SET FORTH IN SUBDIVISION FIVE OF SECTION FIVE HUNDRED FIFTY-THREE OF
THE EXECUTIVE LAW;
2. establishing minimal experiential and educational qualifications
for employees that are consistent with appropriate collective bargaining
agreements and applicable provisions of the civil service law;
3. assuring adequate and appropriate supervision of employees, volun-
teers and consultants;
4. demonstrating that appropriate action is taken to assure the safety
of the [child] SERVICE RECIPIENT who is [reported] ALLEGED TO HAVE BEEN
ABUSED OR NEGLECTED IN A REPORT to the [state] VULNERABLE PERSONS'
central register, IN ACCORDANCE WITH SECTION FOUR HUNDRED NINETY-TWO OF
THE SOCIAL SERVICES LAW, as well as other [children] PERSONS in care,
immediately upon notification that a report of [child] AN ALLEGATION OF
abuse or [maltreatment] NEGLECT has been made [with respect to a child's
custodian in a residential facility];
4-A. CONSISTENT WITH APPLICABLE COLLECTIVE BARGAINING AGREEMENTS
ASSURING THAT AN INDIVIDUAL WHO HAS COMMITTED A CATEGORY ONE OFFENSE, AS
DEFINED IN PARAGRAPH (A) OF SUBDIVISION FIVE OF SECTION FOUR HUNDRED
NINETY-THREE OF THE SOCIAL SERVICES LAW, THAT IS INCLUDED ON THE VULNER-
ABLE PERSONS' CENTRAL REGISTER IS NOT HIRED OR OTHERWISE USED IN ANY
POSITION IN WHICH SUCH INDIVIDUAL WOULD HAVE REGULAR AND SUBSTANTIAL
CONTACT WITH A SERVICE RECIPIENT IN A PROGRAM COVERED BY THIS ARTICLE;
5. removing a [child] SERVICE RECIPIENT when it is determined that
there is risk to such [child] PERSON if he or she continues to remain in
a [residential] facility; and
6. taking appropriate preventive and remedial actions, including legal
action, consistent with appropriate collective bargaining agreements and
applicable provisions of the civil service law. [Such] THE COMMISSIONER
S. 7400 46
SHALL ADOPT standards [shall also establish] AS ESTABLISHED BY THE
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS, that:
(i) administrators, employees, volunteers and consultants receive
training in at least the following: [child] abuse prevention and iden-
tification, safety and security procedures, the principles of child
development, the characteristics of [children] PERSONS in care and tech-
niques of group [and child] management including crisis intervention,
the laws, rules and regulations and procedures governing the protection
of [children] VULNERABLE PERSONS from abuse [and maltreatment], NEGLECT,
AND SIGNIFICANT INCIDENTS and other appropriate topics; provided, howev-
er, that [either] THE office may exempt administrators and consultants
from such requirements upon demonstration of substantially equivalent
knowledge or experience; and
(ii) [children] SERVICE RECIPIENTS receive instruction consistent with
their age, needs and circumstances as well as the needs and circum-
stances within the facility or program, in techniques and procedures
that will enable [such children] THEM to ADVOCATE AND protect themselves
from abuse [and maltreatment], NEGLECT, AND SIGNIFICANT INCIDENTS.
The commissioner, IN CONSULTATION WITH THE EXECUTIVE DIRECTOR OF THE
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS, shall
take all reasonable and necessary actions to assure that employees,
volunteers or consultants in [residential care] facilities OPERATED OR
OVERSEEN BY THE OFFICE are kept apprised on a current basis of all poli-
cies and procedures [of the office] relating to the protection of [chil-
dren from abuse and maltreatment,] VULNERABLE PERSONS and shall monitor
and supervise the provision of training to such administrators, employ-
ees, volunteers, children and consultants. Standards developed pursuant
to this subdivision shall, to the extent possible, be consistent with
those promulgated by other state agencies for such purposes.
(b) The commissioner shall provide necessary assistance to the [state
commission on quality of care and advocacy for persons with disabili-
ties] JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS in
the conduct of investigations pursuant to [section 45.07 of this chap-
ter] ARTICLE ELEVEN OF THE EXECUTIVE LAW, shall consider its recommenda-
tions for appropriate preventive and remedial action including legal
actions, and shall provide or direct a residential facility licensed or
operated by the office of mental health to provide written reports ther-
eon to such [commission] JUSTICE CENTER as to the implementation of
plans of prevention and remediation.
(c) The commissioner shall provide for the development and implementa-
tion of a plan of prevention and remediation with respect to [an indi-
cated] A SUBSTANTIATED report of [child] abuse or [maltreatment]
NEGLECT. Such action shall include:
1. within ten days of receipt of [an indicated] A SUBSTANTIATED report
of [child] abuse or [maltreatment] NEGLECT, development and implementa-
tion of a plan of prevention and remediation to be taken [with respect
to a custodian or residential facility in order] to assure the continued
health, SAFETY, and [safety] WELFARE of [children] SERVICE RECIPIENTS
and to provide for the prevention of future acts of abuse [or maltreat-
ment] NEGLECT, AND SIGNIFICANT INCIDENTS; and
2. development and implementation of a plan of prevention and remedi-
ation, in the event an investigation of a report of alleged [child]
abuse or [maltreatment] NEGLECT determines that a report of [child]
abuse or [maltreatment] NEGLECT is [indicated] SUBSTANTIATED and such
abuse or [maltreatment] NEGLECT may be attributed in whole or in part to
noncompliance by the facility with provisions of this chapter or regu-
S. 7400 47
lations of the respective [offices] OFFICE applicable to the operation
of such [residential] facility. Any plan of prevention and remediation
required to be developed pursuant to this subdivision by a facility
supervised by [either] THE office shall be submitted to and approved by
such office in accordance with time limits established by rules and
regulations of such office. Implementation of the plan shall be moni-
tored by such office. In reviewing the continued qualification of a
residential facility or program for an operating certificate, the office
having supervisory responsibilities shall evaluate such facility's
compliance with plans of prevention and remediation developed pursuant
to this subdivision.
S 11. Subdivision (c) of section 33.02 of the mental hygiene law, as
amended by chapter 168 of the laws of 2010, is amended to read as
follows:
(c) The commissioners and the facility director shall ensure that a
notice of the rights included in regulations promulgated pursuant to
this section is posted in each ward or living area of every hospital
operated or licensed by the office of mental health and every develop-
mental center operated by the office for people with developmental disa-
bilities, and that such notice is provided to every individual resident
of any other residential facility or program operated or licensed by the
respective offices upon admission to such facility or program, upon
limitation on any right, or at the individual's request. The notice
shall include the address and telephone numbers of the office of the
facility director or such person's designee responsible for receiving
questions or complaints, the board of visitors if applicable, the mental
hygiene legal service, THE VULNERABLE PERSONS' CENTRAL REGISTER and the
[commission on quality of care and advocacy for persons with disabili-
ties] JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS.
S 12. Section 33.06 of the mental hygiene law, as amended by chapter
37 of the laws of 2011, is amended to read as follows:
S 33.06 Reports of abuse [or mistreatment], NEGLECT, AND SIGNIFICANT
INCIDENTS.
The EXECUTIVE DIRECTOR OF THE JUSTICE CENTER FOR THE PROTECTION OF
PEOPLE WITH SPECIAL NEEDS, IN CONSULTATION WITH THE commissioner of the
office of mental health, THE COMMISSIONER OF THE OFFICE OF ALCOHOLISM
AND SUBSTANCE ABUSE SERVICES and the commissioner of the office for
people with developmental disabilities shall establish procedures or
mechanisms PURSUANT TO ARTICLE ELEVEN OF THE SOCIAL SERVICES LAW to
receive allegations or complaints of abuse or [mistreatment] NEGLECT of,
AND SIGNIFICANT INCIDENTS INVOLVING, individuals served by agencies and
providers licensed or operated by the offices, including receipt of
anonymous allegations or complaints. [Such mechanisms shall include the
operation of a toll-free number. Allegations or complaints received
shall be evaluated and, if necessary, referred for appropriate correc-
tive action, consistent with laws, regulations and procedures estab-
lished for the investigation, resolution and response to incident
reports to ensure the care and safety of all patients. The inability of
the person reporting the abuse to identify the alleged perpetrator
shall, in no circumstance, constitute the sole cause to reject such
allegation for investigation or fail to refer such allegation for
corrective action. When an allegation of abuse or maltreatment of a
child is made, the allegation shall be referred to the statewide central
register of child abuse and maltreatment, established pursuant to
section four hundred twenty-two of the social services law.]
S. 7400 48
S 13. Subdivision (a) of section 33.25 of the mental hygiene law, as
added by chapter 24 of the laws of 2007, is amended to read as follows:
(a) Records and documents pertaining to allegations and investigations
into patient abuse [or mistreatment], NEGLECT, AND SIGNIFICANT INCIDENTS
at a facility, as defined in subdivision six of section 1.03 of this
chapter, including but not limited to all complaints and reports made
pursuant to [subdivision (c) of section 45.07 and section 45.17 of this
title] ARTICLE ELEVEN OF THE SOCIAL SERVICES LAW, shall be released to a
qualified person, as defined in paragraph six of subdivision (a) of
section 33.16 of this article, upon a written request by such qualified
person. Such records and documents shall be made available by the appro-
priate office within twenty-one days of the conclusion of its investi-
gation, provided that the names and other personally identifying infor-
mation of other patients and employees shall not be included unless such
patients and employees authorize disclosure.
S 14. This act shall take effect April 1, 2013.
PART D
Section 1. Paragraph (a) of subdivision 5 of section 20 of the social
services law, as amended by chapter 485 of the laws of 2006, is amended
to read as follows:
(a) In the case of the death of a child whose care and custody or
custody and guardianship has been transferred to an authorized agency,
OTHER THAN A VULNERABLE PERSON AS DEFINED IN ARTICLE ELEVEN OF THIS
CHAPTER, or the death of a child for whom any local department of social
services has an open child protective services or preventive services
case, or in the case of a report made to the STATEWIDE central register
OF CHILD ABUSE AND MALTREATMENT involving the death of a child, the
office of children and family services shall (i) investigate or provide
for an investigation of the cause of and circumstances surrounding such
death, (ii) review such investigation, and (iii) prepare and issue a
report on such death, except where a report is issued by an approved
local or regional fatality review team in accordance with section four
hundred twenty-two-b of this chapter.
S 2. Paragraph (b) of subdivision 5 of section 412 of the social
services law is REPEALED.
S 2-a. Subdivisions 1, 2 and 4 of section 412 of the social services
law, as amended by chapter 323 of the laws of 2008, are amended to read
as follows:
1. An "abused child" means[:
(a)] a child under eighteen years of age [not in "residential care,"
as defined in subdivision four of section four hundred twelve-a of this
title,] and who is defined as an abused child by the family court act[;
or
(b) a child under the age of eighteen years who is defined as an
abused child in residential care pursuant to subdivision one of section
four hundred twelve-a of this title];
2. A "maltreated child" includes[:
(a)] a child under eighteen years of age [not in "residential care" as
defined in subdivision four of section four hundred twelve-a of this
title]:
[(i)] (A) defined as a neglected child by the family court act, or
[(ii)] (B) who has had serious physical injury inflicted upon him or
her by other than accidental means; [or
S. 7400 49
(b) a child who is a neglected child in residential care as defined in
subdivision two of section four hundred twelve-a of this title;]
4. "Subject of the report" means[: (a)] any parent of, guardian of, or
other person eighteen years of age or older legally responsible for, as
defined in subdivision (g) of section one thousand twelve of the family
court act, a child reported to the statewide central register of child
abuse and maltreatment who is allegedly responsible for causing injury,
abuse or maltreatment to such child or who allegedly allows such injury,
abuse or maltreatment to be inflicted on such child; or a director or an
operator of, or employee or volunteer in, a home operated or supervised
by an authorized agency, the office of children and family services, [or
an office of the department of mental hygiene] or in a family day-care
home, a day-care center, a group family day care home, a school-age
child care program or a day-services program who is allegedly responsi-
ble for causing injury, abuse or maltreatment to a child who is reported
to the statewide central register of child abuse or maltreatment or who
allegedly allows such injury, abuse or maltreatment to be inflicted on
such child; [or
(b) a subject of a report of an abused or neglected child in residen-
tial care as defined in subdivision eight of section four hundred
twelve-a of this title;]
S 2-b. Section 412-a of the social services law is REPEALED.
S 3. Paragraphs (a) and (c) of subdivision 1 of section 413 of the
social services law, paragraph (a) as amended by chapter 91 of the laws
of 2011 and paragraph (c) as amended by chapter 366 of the laws of 2008,
are amended to read as follows:
(a) The following persons and officials are required to report or
cause a report to be made in accordance with this title when they have
reasonable cause to suspect that a child coming before them in their
professional or official capacity is an abused or maltreated child, or
when they have reasonable cause to suspect that a child is an abused or
maltreated child where the parent, guardian, custodian or other person
legally responsible for such child comes before them in their profes-
sional or official capacity and states from personal knowledge facts,
conditions or circumstances which, if correct, would render the child an
abused or maltreated child: any physician; registered physician assist-
ant; surgeon; medical examiner; coroner; dentist; dental hygienist;
osteopath; optometrist; chiropractor; podiatrist; resident; intern;
psychologist; registered nurse; social worker; emergency medical techni-
cian; licensed creative arts therapist; licensed marriage and family
therapist; licensed mental health counselor; licensed psychoanalyst;
hospital personnel engaged in the admission, examination, care or treat-
ment of persons; a Christian Science practitioner; school official,
which includes but is not limited to school teacher, school guidance
counselor, school psychologist, school social worker, school nurse,
school administrator or other school personnel required to hold a teach-
ing or administrative license or certificate; social services worker;
director of a children's overnight camp, summer day camp or traveling
summer day camp, as such camps are defined in section thirteen hundred
ninety-two of the public health law; day care center worker; school-age
child care worker; provider of family or group family day care; [employ-
ee or volunteer in a residential care] AGENT OF A facility OR PROVIDER
AGENCY, AS defined in [subdivision four of] section four hundred
[twelve-a] EIGHTY-EIGHT of [this title] ARTICLE ELEVEN OF THIS CHAPTER
or any other child care or foster care worker; mental health profes-
sional; substance abuse counselor; alcoholism counselor; all persons
S. 7400 50
credentialed by the office of alcoholism and substance abuse services;
peace officer; police officer; district attorney or assistant district
attorney; investigator employed in the office of a district attorney; or
other law enforcement official.
(c) A medical or other public or private institution, school, facility
or agency shall not take any retaliatory personnel action, as such term
is defined in paragraph (e) of subdivision one of section seven hundred
forty of the labor law, against an employee because such employee
believes that he or she has reasonable cause to suspect that a child is
an abused or maltreated child and that employee therefore makes a report
in accordance with this title. No school, school official, child care
provider, foster care provider, residential care facility provider,
hospital, medical institution provider or mental health facility provid-
er shall impose any conditions, including prior approval or prior
notification, upon a member of their staff specifically required to
report under this title. At the time of the making of a report, or at
any time thereafter, such person or official may exercise the right to
request, pursuant to paragraph (A) of subdivision four of section four
hundred twenty-two of this title, the findings of an investigation made
pursuant to this title [or section 45.07 of the mental hygiene law].
S 3-a. Section 415 of the social services law, as amended by chapter
323 of the laws of 2008, is amended to read as follows:
S 415. Reporting procedure. Reports of suspected child abuse or
maltreatment made pursuant to this title shall be made immediately by
telephone or by telephone facsimile machine on a form supplied by the
commissioner of the office of children and family services. Oral reports
shall be followed by a report in writing within forty-eight hours after
such oral report. Oral reports shall be made to the statewide central
register of child abuse and maltreatment unless the appropriate local
plan for the provision of child protective services provides that oral
reports should be made to the local child protective service. In those
localities in which oral reports are made initially to the local child
protective service, the child protective service shall immediately make
an oral or electronic report to the statewide central register. Written
reports shall be made to the appropriate local child protective service
except that written reports involving children [in residential care, as
defined in subdivision four of section four hundred twelve-a of this
title, or] being cared for in a home operated or supervised by an
authorized agency[,] OR THE office of children and family services[, or
an office of the department of mental hygiene,] shall be made to the
statewide central register of child abuse and maltreatment which shall
transmit the reports to the agency responsible for investigating the
report, in accordance with [paragraph (a) or (c) of subdivision eleven
of section four hundred twenty-two or] section four hundred
twenty-four-b of this title[, as applicable]. Written reports shall be
made in a manner prescribed and on forms supplied by the commissioner of
the office of children and family services and shall include the follow-
ing information: the names and addresses of the child and his or her
parents or other person responsible for his or her care, if known, and,
as the case may be, the name and address of the [residential care facil-
ity or] program in which the child [resides or] is receiving care; the
child's age, sex and race; the nature and extent of the child's inju-
ries, abuse or maltreatment, including any evidence of prior injuries,
abuse or maltreatment to the child or, as the case may be, his or her
siblings; the name of the person or persons alleged to be responsible
for causing the injury, abuse or maltreatment, if known; family composi-
S. 7400 51
tion, where appropriate; the source of the report; the person making the
report and where he or she can be reached; the actions taken by the
reporting source, including the taking of photographs and x-rays,
removal or keeping of the child or notifying the medical examiner or
coroner; and any other information which the commissioner of the office
of children and family services may, by regulation, require, or the
person making the report believes might be helpful, in the furtherance
of the purposes of this title. Notwithstanding the privileges set forth
in article forty-five of the civil practice law and rules, and any other
provision of law to the contrary, mandated reporters who make a report
which initiates an investigation of an allegation of child abuse or
maltreatment are required to comply with all requests for records made
by a child protective service relating to such report, including records
relating to diagnosis, prognosis or treatment, and clinical records, of
any patient or client that are essential for a full investigation of
allegations of child abuse or maltreatment pursuant to this title;
provided, however, that disclosure of substance abuse treatment records
shall be made pursuant to the standards and procedures for disclosure of
such records delineated in federal law. Written reports from persons or
officials required by this title to report shall be admissible in
evidence in any proceedings relating to child abuse or maltreatment.
S 4. Section 418 of the social services law, as amended by chapter 485
of the laws of 2006, is amended to read as follows:
S 418. Mandatory reporting to and post-mortem investigation of deaths
by medical examiner or coroner. Any person or official required to
report cases of suspected child abuse or maltreatment, including workers
of the local child protective service[, as well as an employee of or
official of a state agency responsible for the investigation of a report
of abuse or maltreatment of a child in residential care,] who has
reasonable cause to suspect that a child died as a result of child abuse
or maltreatment shall report that fact to the appropriate medical exam-
iner or coroner. The medical examiner or coroner shall accept the
report for investigation and shall issue a preliminary written report of
his or her finding within sixty days of the date of death, absent
extraordinary circumstances, and his or her final written report prompt-
ly, absent extraordinary circumstances, to the police, the appropriate
district attorney, the local child protective service, the office of
children and family services, and, if the institution making the report
is a hospital, the hospital. The office of children and family services
shall promptly provide a copy of the preliminary and final reports to
the statewide central register of child abuse and maltreatment.
S 5. The section heading, the opening paragraph and subdivision 1 of
section 421 of the social services law, the section heading and the
opening paragraph as amended by chapter 718 of the laws of 1986 and
subdivision 1 as amended by chapter 504 of the laws of 1988, are amended
to read as follows:
Responsibility of the [department] OFFICE. The [department] OFFICE
shall: 1. in conjunction with local departments, both jointly and indi-
vidually, within the appropriation available, conduct a continuing
publicity and education program for local department staff, persons and
officials required to report including district attorneys, assistant
district attorneys, police officers, peace officers, investigators
employed in the office of a district attorney, and any other appropriate
persons to encourage the fullest degree of reporting of suspected child
abuse or maltreatment. Such program shall be developed and implemented
in coordination with those established pursuant to section 31.06 of the
S. 7400 52
mental hygiene law, section twenty-eight hundred five-n of the public
health law, section thirty-two hundred nine-a of the education law
[and], sections two hundred fourteen-a and eight hundred forty of the
executive law AND ARTICLE ELEVEN OF THIS CHAPTER. The program shall
include but not be limited to responsibilities, obligations and powers
under this title and chapter as well as the diagnosis of child abuse and
maltreatment, the procedures of the child protective service, the family
court and other duly authorized agencies and the prevention, treatment
and remediation of abuse and maltreatment of children in residential
care.
S 6. Subparagraph (r) of paragraph (A) of subdivision 4 of section
422 of the social services law is REPEALED, and the opening paragraph,
subparagraphs (j), (z) and (aa) and the first undesignated paragraph of
paragraph (A) of subdivision 4 of section 422 of the social services
law, the opening paragraph, subparagraph (j) and the first undesignated
paragraph of paragraph (A) of subdivision 4 as amended by chapter 12 of
the laws of 1996, subparagraph (z) as amended and subparagraph (aa) as
added by chapter 440 of the laws of 2011, are amended to read as
follows:
Reports made pursuant to this title as well as any other information
obtained, reports written or photographs taken concerning such reports
in the possession of the [department,] OFFICE OR local departments[, or
the commission on quality of care for the mentally disabled,] shall be
confidential and shall only be made available to:
(j) [the state commission on quality of care for the mentally disabled
in connection with an investigation being conducted by the commission
pursuant to article forty-five of the mental hygiene law] THE JUSTICE
CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS OR A DELEGATE
INVESTIGATORY ENTITY IN CONNECTION WITH AN INVESTIGATION BEING CONDUCTED
UNDER ARTICLE ELEVEN OF THIS CHAPTER;
(z) an entity with appropriate legal authority in another state to
license, certify or otherwise approve prospective foster and adoptive
parents where disclosure of information regarding the prospective foster
or adoptive parents and other persons over the age of eighteen residing
in the home of such prospective parents is required by paragraph twenty
of subdivision (a) of section six hundred seventy-one of title forty-two
of the United States code; and
(aa) a social services official who is investigating whether an adult
is in need of protective services in accordance with the provisions of
section four hundred seventy-three of this chapter, when such official
has reasonable cause to believe such adult may be in need of protective
services due to the conduct of an individual or individuals who had
access to such adult when such adult was a child and that such reports
and information are needed to further the present investigation.
After a child, other than a child in residential care, who is reported
to the central register of abuse or maltreatment reaches the age of
eighteen years, access to a child's record under subparagraphs (a) and
(b) of this paragraph shall be permitted only if a sibling or off-spring
of such child is before such person and is a suspected victim of child
abuse or maltreatment. In addition, a person or official required to
make a report of suspected child abuse or maltreatment pursuant to
section four hundred thirteen of this chapter shall receive, upon
request, the findings of an investigation made pursuant to this title
[or section 45.07 of the mental hygiene law]. However, no information
may be released unless the person or official's identity is confirmed by
the [department] OFFICE. If the request for such information is made
S. 7400 53
prior to the completion of an investigation of a report, the released
information shall be limited to whether the report is "indicated",
"unfounded" or "under investigation", whichever the case may be. If the
request for such information is made after the completion of an investi-
gation of a report, the released information shall be limited to whether
the report is "indicated" or "unfounded", whichever the case may be. A
person given access to the names or other information identifying the
subjects of the report, or other persons named in the report, except the
subject of the report or other persons named in the report, shall not
divulge or make public such identifying information unless he or she is
a district attorney or other law enforcement official and the purpose is
to initiate court action or the disclosure is necessary in connection
with the investigation or prosecution of the subject of the report for a
crime alleged to have been committed by the subject against another
person named in the report. Nothing in this section shall be construed
to permit any release, disclosure or identification of the names or
identifying descriptions of persons who have reported suspected child
abuse or maltreatment to the statewide central register or the agency,
institution, organization, program or other entity where such persons
are employed or the agency, institution, organization or program with
which they are associated without such persons' written permission
except to persons, officials, and agencies enumerated in subparagraphs
(e), (f), (h), (j), (l), (m) and (v) of this paragraph.
S 7. The opening paragraph, subparagraph (iii) of paragraph (a) and
paragraph (b) of subdivision 5 and subdivision 6 of section 422 of the
social services law, the opening paragraph, subparagraph (iii) of para-
graph (a) and paragraph (b) of subdivision 5 as amended by chapter 555
of the laws of 2000 and subdivision 6 as amended by chapter 323 of the
laws of 2008, are amended to read as follows:
Unless an investigation of a report conducted pursuant to this title
[or subdivision (c) of section 45.07 of the mental hygiene law] deter-
mines that there is some credible evidence of the alleged abuse or
maltreatment, all information identifying the subjects of the report and
other persons named in the report shall be legally sealed forthwith by
the central register and any local child protective services or the
state agency which investigated the report. Such unfounded reports may
only be unsealed and made available:
(iii) to a local child protective service, the office of children and
family services, OR all members of a local or regional multidisciplinary
investigative team[, the commission on quality of care for the mentally
disabled, or the department of mental hygiene,] OR THE JUSTICE CENTER
FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS when investigating a
subsequent report of suspected abuse, NEGLECT or maltreatment involving
a subject of the unfounded report, a child named in the unfounded
report, or a child's sibling named in the unfounded report PURSUANT TO
THIS ARTICLE OR ARTICLE ELEVEN OF THIS CHAPTER;
(b) Persons given access to unfounded reports pursuant to subparagraph
(v) of paragraph (a) of this subdivision shall not redisclose such
reports except as necessary to conduct such appropriate investigation or
prosecution and shall request of the court that any copies of such
reports produced in any court proceeding be redacted to remove the names
of the subjects and other persons named in the reports or that the court
issue an order protecting the names of the subjects and other persons
named in the reports from public disclosure. The local child protective
service or state agency shall not indicate the subsequent report solely
based upon the existence of the prior unfounded report or reports.
S. 7400 54
Notwithstanding section four hundred fifteen of this title, section one
thousand forty-six of the family court act, or, except as set forth
herein, any other provision of law to the contrary, an unfounded report
shall not be admissible in any judicial or administrative proceeding or
action; provided, however, an unfounded report may be introduced into
evidence: (i) by the subject of the report where such subject is a
respondent in a proceeding under article ten of the family court act or
is a plaintiff or petitioner in a civil action or proceeding alleging
the false reporting of child abuse or maltreatment; or (ii) in a crimi-
nal court for the purpose of prosecuting a violation of subdivision
[three] FOUR of section [240.55] 240.50 of the penal law. Legally sealed
unfounded reports shall be expunged ten years after the receipt of the
report. [Whenever the office of children and family services determines
that there is some credible evidence of abuse or maltreatment as a
result of an investigation of a report conducted pursuant to subdivision
(c) of section 45.07 of the mental hygiene law, the office of children
and family services shall notify the commission on quality of care for
the mentally disabled.]
6. In all other cases, the record of the report to the statewide
central register shall be expunged ten years after the eighteenth birth-
day of the youngest child named in the report. In the case of a child in
residential care [as defined in subdivision four of section four hundred
twelve-a of this title,] the record of the report to the statewide
central register shall be expunged ten years after the reported child's
eighteenth birthday. In any case and at any time, the commissioner of
the office of children and family services may amend any record upon
good cause shown and notice to the subjects of the report and other
persons named in the report.
S 8. Subdivisions 3, 4, 5 and 6 of section 424-a of the social
services law, subdivision 3 as amended by chapter 578 of the laws of
1997, subdivision 4 as amended by chapter 465 of the laws of 1992,
subdivision 5 as added by chapter 677 of the laws of 1985, paragraph (a)
of subdivision 5 as amended by chapter 634 of the laws of 1988 and
subdivision 6 as amended by chapter 587 of the laws of 1997, are amended
and a new subdivision 7 is added to read as follows:
3. For purposes of this [chapter] SECTION, the term "provider" or
"provider agency" shall mean an authorized agency, the [division for
youth] OFFICE OF CHILDREN AND FAMILY SERVICES, juvenile detention facil-
ities subject to the certification of such [division] OFFICE, programs
established pursuant to article nineteen-H of the executive law, non-re-
sidential or residential programs or facilities licensed or operated by
the office of mental health or the office [of mental retardation and]
FOR PERSONS WITH developmental disabilities except family care homes,
licensed child day care centers, including head start programs which are
funded pursuant to title V of the federal economic opportunity act of
nineteen hundred sixty-four, as amended, early intervention service
established pursuant to section twenty-five hundred forty of the public
health law, preschool services established pursuant to section forty-
four hundred ten of the education law, school-age child care programs,
special act school districts as enumerated in chapter five hundred
sixty-six of the laws of nineteen hundred sixty-seven, as amended,
programs and facilities licensed by the office of alcoholism and
substance abuse services [and], residential schools which are operated,
supervised or approved by the education department, AND ANY OTHER FACIL-
ITY OR PROVIDER AGENCY, AS DEFINED IN SUBDIVISION FOUR OF SECTION FOUR
HUNDRED EIGHTY-EIGHT OF THIS CHAPTER, IN REGARD TO THE EMPLOYMENT OF
S. 7400 55
STAFF, OR USE OF PROVIDERS OF GOODS AND SERVICES AND STAFF OF SUCH
PROVIDERS, CONSULTANTS, INTERNS AND VOLUNTEERS.
4. For purposes of this [chapter] SECTION, the term "licensing agency"
shall mean an authorized agency which has received an application to
become an adoptive parent or an authorized agency which has received an
application for a certificate or license to receive, board or keep any
child pursuant to the provisions of section three hundred seventy-six or
three hundred seventy-seven of this article or an authorized agency
which has received an application from a relative within the second
degree or third degree of CONSANGUINITY OF the parent of a child or a
relative within the second degree or third degree of CONSANGUINITY OF
the step-parent of a child or children, or the child's legal guardian
for approval to receive, board or keep such child or a state or local
governmental agency which receives an application to provide child day
care services in a child day care center, school-age child care program,
family day care home or group family day care home pursuant to the
provisions of section three hundred ninety of this article, or the
department of health AND MENTAL HYGIENE of the city of New York, when
such department receives an application for a certificate of approval to
provide [family] CHILD day care SERVICES IN A CHILD DAY CARE CENTER
pursuant to the provisions of the health code of the city of New York,
or the office of mental health or the office [of mental retardation and]
FOR PEOPLE WITH developmental disabilities when such office receives an
application for an operating certificate pursuant to the provisions of
the mental hygiene law to operate a family care home which will serve
children, or a state or local governmental official who receives an
application for a permit to operate a camp which is subject to the
provisions of article thirteen-A[,] OR thirteen-B [or thirteen-C] of the
public health law or the [division for youth] OFFICE OF CHILDREN AND
FAMILY SERVICES which has received an application for a certificate to
receive, board or keep any child at a foster family home pursuant to
articles nineteen-G and nineteen-H of the executive law OR ANY OTHER
FACILITY OR PROVIDER AGENCY, AS DEFINED IN SUBDIVISION FOUR OF SECTION
FOUR HUNDRED EIGHTY-EIGHT OF THIS CHAPTER, IN REGARD TO ANY LICENSING OR
CERTIFICATION FUNCTION CARRIED OUT BY SUCH FACILITY OR AGENCY.
5. (a) The [department] OFFICE OF CHILDREN AND FAMILY SERVICES, after
consultation with the [division for youth, the department of mental
hygiene, the commission on quality of care for the mentally disabled]
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS, THE
OFFICE OF MENTAL HEALTH, THE OFFICE FOR PEOPLE WITH DEVELOPMENTAL DISA-
BILITIES, THE OFFICE OF ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, THE
DEPARTMENT OF HEALTH, and the state education department shall develop
[quidelines] GUIDELINES to be utilized by a provider agency, as defined
by subdivision three of this section, and a licensing agency, as defined
by subdivision four of this section, in evaluating persons about whom
inquiries are made to the [department] OFFICE pursuant to this section
who are the subjects of indicated reports of child abuse and maltreat-
ment, as defined by subdivision four of section four hundred twelve of
this chapter.
(b) The guidelines developed pursuant to subdivision one of this
section shall not [supercede] SUPERSEDE similar guidelines developed by
local governmental agencies prior to January first, nineteen hundred
eighty-six.
6. A child care resource and referral program as defined in subdivi-
sion two of section four hundred ten-p of this article may inquire of
the [department] OFFICE OF CHILDREN AND FAMILY SERVICES and the [depart-
S. 7400 56
ment] OFFICE shall, upon receipt of such inquiry and subject to the
provisions of paragraph (e) of subdivision one of this section, inform
such program and the subject of such inquiry whether any person who has
requested and agreed to be included in a list of substitute child day
care caregivers for employment by registered or licensed day care
providers maintained by such program in accordance with regulations
promulgated by the [department] OFFICE, is the subject of an indicated
child abuse and maltreatment report on file with the statewide central
register of child abuse and maltreatment. Inquiries made to the [depart-
ment] OFFICE by such programs pursuant to this subdivision shall be made
no more often than once in any six month period and no less often than
once in any twelve month period. Notwithstanding any provision of law to
the contrary, a child care resource and referral program may redisclose
such information only if the purpose of such redisclosure is to respond
to a request for such information by a registered or licensed provider
and only if after an individual included in the list of substitute child
day care caregivers for employment by registered or licensed day care
providers has consented to be referred for employment to such inquiring
agency. Upon such referral, the provisions related to notice and fair
hearing rights of this section shall otherwise apply. Inquiries made
pursuant to this subdivision shall be in lieu of the inquiry require-
ments set forth in paragraph (b) of subdivision one of this section.
7. ANY FACILITY, PROVIDER AGENCY, OR PROGRAM THAT IS REQUIRED TO
CONDUCT AN INQUIRY PURSUANT TO SECTION FOUR HUNDRED NINETY-FIVE OF THIS
CHAPTER SHALL FIRST CONDUCT THE INQUIRY REQUIRED UNDER SUCH SECTION. IF
THE RESULT OF THE INQUIRY UNDER SECTION FOUR HUNDRED NINETY-FIVE OF THIS
CHAPTER IS THAT THE PERSON ABOUT WHOM THE INQUIRY IS MADE IS ON THE
REGISTER OF SUBSTANTIATED CATEGORY ONE CASES OF ABUSE OR NEGLECT AND THE
FACILITY OR PROVIDER AGENCY IS REQUIRED TO DENY THE APPLICATION IN
ACCORDANCE WITH ARTICLE ELEVEN OF THIS CHAPTER, THE FACILITY OR PROVIDER
AGENCY SHALL NOT BE REQUIRED TO MAKE AN INQUIRY OF THE OFFICE UNDER THIS
SECTION.
S 8-a. Paragraph (b) and subparagraph (iv) of paragraph (e) of subdi-
vision 1 and paragraph (a) of subdivision 2 of section 424-a of the
social services law, paragraph (b) of subdivision 1 as amended by chap-
ter 677 of the laws of 1985, subparagraph (iv) of paragraph (e) of
subdivision 1 as amended by chapter 323 of the laws of 2008, and para-
graph (a) of subdivision 2 as amended by chapter 441 of the laws of
1993, are amended to read as follows:
(b) (i) [A] SUBJECT TO THE PROVISIONS OF SUBDIVISION SEVEN OF THIS
SECTION, A provider agency shall inquire of the [department] OFFICE and
the [department] OFFICE shall, subject to the provisions of paragraph
(e) of this subdivision, inform such agency and the subject of the
inquiry whether any person who is actively being considered for employ-
ment and who will have the potential for regular and substantial contact
with [children] INDIVIDUALS who are cared for by the agency, is the
subject of an indicated child abuse and maltreatment report on file with
the statewide central register of child abuse and maltreatment prior to
permitting such person to have unsupervised contact with [children] SUCH
INDIVIDUALS. Such agency may inquire of the [department] OFFICE and the
[department] OFFICE shall inform such agency and the subject of the
inquiry whether any person who is currently employed and who has the
potential for regular and substantial contact with [children] INDIVID-
UALS who are cared for by such agency is the subject of an indicated
child abuse and maltreatment report on file with the statewide central
register of child abuse and maltreatment. A provider agency shall also
S. 7400 57
inquire of the [department] OFFICE and the [department] OFFICE shall
inform such agency and the subject of the inquiry whether any person who
is employed by an individual, corporation, partnership or association
which provides goods or services to such agency who has the potential
for regular and substantial contact with [children] INDIVIDUALS who are
cared for by the agency, is the subject of an indicated child abuse and
maltreatment report on file with the statewide central register of child
abuse and maltreatment prior to permitting such person to have unsuper-
vised contact with [children] SUCH INDIVIDUALS. Inquiries made to the
[department] OFFICE pursuant to this subparagraph by a provider agency
on current employees shall be made no more often than once in any six
month period.
(ii) A provider agency may inquire of the [department] OFFICE and the
[department] OFFICE shall, upon receipt of such inquiry and subject to
the provisions of paragraph (e) of this subdivision, inform such agency
and the subject of the inquiry whether any person who is to be hired as
a consultant by such agency who has the potential for regular and
substantial contact with [children] INDIVIDUALS who are cared for by the
agency is the subject of an indicated child abuse and maltreatment
report on file with the statewide central register of child abuse and
maltreatment.
(iii) A provider agency may inquire of the [department] OFFICE and the
[department] OFFICE shall, upon receipt of such inquiry and subject to
the provisions of paragraph (e) of this subdivision, inform such agency
and the subject of the inquiry whether any person who has volunteered
his or her services to such agency and who will have the potential for
regular and substantial contact with [children] INDIVIDUALS who are
cared for by the agency, is the subject of an indicated child abuse and
maltreatment report on file with the statewide central register of child
abuse and maltreatment.
(iv) The [department] OFFICE shall promulgate regulations which effec-
tuate the provisions of this paragraph.
(iv) If it is determined after a review by the office [of children and
family services] of all records, reports and information in its
possession concerning the subject of the report that there is a [fair]
preponderance of the evidence to find that the subject committed the act
or acts of CHILD abuse or [neglect] MALTREATMENT giving rise to the
indicated report, the office [of children and family services] shall
also determine whether such act or acts are relevant and reasonably
related to issues concerning the employment of the subject by a provider
agency or the subject being allowed to have regular and substantial
contact with [children] INDIVIDUALS cared for by a provider agency or
the approval or disapproval of an application which has been submitted
by the subject to a licensing agency, based on guidelines developed
pursuant to subdivision five of this section. If it is determined that
such act or acts are not relevant and related to such issues, the office
[of children and family services] shall be precluded from informing the
provider or licensing agency which made the inquiry to the office [of
children and family services] pursuant to this section that the person
about whom the inquiry is made is the subject of an indicated report of
child abuse or maltreatment.
(a) Upon notification by the [department] OFFICE or by a child care
resource and referral program in accordance with subdivision six of this
section that any person who has applied to a licensing agency for a
license, certificate or permit or who seeks to become an employee of a
provider agency, or to accept a child for adoptive placement or who will
S. 7400 58
be hired as a consultant or used as a volunteer by a provider agency, or
that any other person about whom an inquiry is made to the [department]
OFFICE pursuant to the provisions of this section is the subject of an
indicated report, the licensing or provider agency shall determine on
the basis of information it has available whether to approve such appli-
cation or retain the employee or hire the consultant or use the volun-
teer or permit an employee of another person, corporation, partnership
or association to have access to the [children] INDIVIDUALS cared for by
the provider agency, provided, however, that if such application is
approved, or such employee is retained or consultant hired or volunteer
used or person permitted to have access to the children cared for by
such agency the licensing or provider agency shall maintain a written
record, as part of the application file or employment record, of the
specific reasons why such person was determined to be appropriate to
receive a foster care or adoption placement or to provide day care
services, to be the director of a camp subject to the provisions of
article thirteen-A[,] OR thirteen-B [or thirteen-C] of the public health
law, to be employed, to be retained as an employee, to be hired as a
consultant, used as a volunteer or to have access to the [children]
INDIVIDUALS cared for by the agency.
S 9. Section 424-b of the social services law, as amended by chapter
323 of the laws of 2008, is amended to read as follows:
S 424-b. Children in the care of certain public and private agencies.
Notwithstanding any inconsistent provisions of law, when a report of
child abuse or maltreatment involves a child being cared for in a home
operated or supervised by an authorized agency[,] OR the office of chil-
dren and family services, [or an office of the department of mental
hygiene,] such report shall be accepted and maintained by the office of
children and family services and shall be referred for the purposes of
conducting an investigation to the appropriate staff within the office
of children and family services [or the appropriate office of the
department of mental hygiene,] where the child is in the care of such
agency; and where the child is in a home operated or supervised by an
authorized agency, to the social services district wherein such home is
located. The [agency] OFFICE or social services district receiving such
referral shall undertake an appropriate investigation of the report, in
accordance with the terms and conditions set forth in [subdivisions one
through eight of section four hundred twenty-four-c of] this title. Any
person who is alleged to have abused or maltreated a child in a report
accepted and referred pursuant to this section shall be accorded the
procedural rights set forth in section four hundred twenty-two and in
subdivision six of section four hundred twenty-four of this title. Noth-
ing in this section shall impose any duty or responsibility on any child
protective service pursuant to section four hundred twenty-two, four
hundred twenty-four or any other provision of this article.
S 10. Subdivision 1 of section 425 of the social services law, as
amended by chapter 634 of the laws of 1988, is amended to read as
follows:
1. To effectuate the purposes of this title, the commissioner may
request and shall receive from departments, boards, bureaus, or other
agencies of the state, or any of its political subdivisions, or any duly
authorized agency, or any other agency providing services under the
local child protective services plan such assistance and data as will
enable the department and local child protective services to fulfill
their responsibilities properly. [In relation to an investigation of a
report of abuse or maltreatment involving a child in residential care,
S. 7400 59
such data may include, but need not be limited to, the case records of
the child who allegedly was abused or maltreated and any other child who
allegedly witnessed the abuse or maltreatment and, consistent with
appropriate collective bargaining agreements and applicable provisions
of the civil service law, those portions of the employment record of the
subject of the report considered by the subject's employer to be rele-
vant and reasonably related to the allegations being investigated by the
department.] Nothing contained in this subdivision shall limit the
department's authority under sections three hundred seventy-two, four
hundred sixty-c and four hundred sixty-e of this chapter to access the
records of authorized agencies.
S 11. Section 426 of the social services law, as amended by chapter
676 of the laws of 1985, is amended to read as follows:
S 426. Annual reports. The commissioner shall prepare for inclusion in
the annual report required by subdivision (d) of section seventeen of
this chapter to be filed with the governor and the legislature prior to
December fifteenth of each year, a report on the operations of the state
central register of child abuse and maltreatment and the various local
child protective services. The report shall include a full statistical
analysis of the reports made to the central register together with a
report on the implementation of this title, his OR HER evaluation of
services offered under this chapter and his OR HER recommendations for
additional legislation to fulfill the purposes of this title. Such
report shall indicate the number of child abuse and maltreatment reports
and cases received by the statewide central register of child abuse and
maltreatment by each district in the preceding year, the number of such
cases determined to have been indicated and the number of such cases
determined to be unfounded by each district in the preceding year, the
number of such cases which have not been indicated or unfounded within
the time period required by subdivision seven of section four hundred
twenty-four of this [chapter] ARTICLE by each district in the preceding
year and the number of workers assigned to the child protective service
in each district in the preceding year. [The report shall also contain
data on the protection of children in residential care from abuse and
maltreatment, including reports received, results of investigations by
types of facilities and programs, types of corrective action taken, as
well as efforts undertaken by the department, the division for youth
and the state education department to provide training pursuant to stan-
dards established by section four hundred sixty-two of this chapter,
section five hundred one of the executive law and sections forty-four
hundred three, forty-three hundred fourteen, forty-three hundred fifty-
eight and forty-two hundred twelve of the education law.]
S 12. Section 460 of the social services law, as added by chapter 669
of the laws of 1977, is amended to read as follows:
S 460. Declaration of policy and statement of purpose. Residential
care programs for adults and children of the highest quality, efficient-
ly produced and properly utilized at a reasonable cost, are a matter of
vital concern to the people of this state. In order to more effectively
protect and assure the life, health, safety and comfort of adults and
children who must be cared for away from their own homes, the department
of social services acting directly or through social services districts,
and with the cooperation of other state agencies, shall have the compre-
hensive responsibility for the development and administration of
programs, standards and methods of operation, and all other matters of
state policy, with respect to residential care programs for children and
adults and all facilities and agencies, whether public or private, which
S. 7400 60
are subject to the provisions of this article. FOR THE PURPOSES OF THIS
ARTICLE, WITH RESPECT TO RESIDENTIAL CARE PROGRAMS FOR CHILDREN, THE
TERM "DEPARTMENT" SHALL MEAN THE OFFICE OF CHILDREN AND FAMILY SERVICES
AND WITH RESPECT TO RESIDENTIAL CARE PROGRAMS FOR ADULTS, THE TERM SHALL
MEAN THE OFFICE OF CHILDREN AND FAMILY SERVICES IN RELATION TO FAMILY
TYPE HOMES FOR ADULTS AND RESIDENTIAL PROGRAMS FOR VICTIMS OF DOMESTIC
VIOLENCE, THE OFFICE OF TEMPORARY AND DISABILITY ASSISTANCE IN RELATION
TO SHELTERS FOR ADULTS AND SHELTERS FOR FAMILIES; AND THE DEPARTMENT OF
HEALTH IN RELATION TO ALL OTHER RESIDENTIAL CARE PROGRAMS FOR ADULTS.
S 13. Subdivision 2-a of section 460-c of the social services law, as
amended by chapter 32 of the laws of 1992 and paragraphs (a) and (b) as
amended by chapter 323 of the laws of 2008, is amended to read as
follows:
2-a. Special procedures relating to abuse and neglect of [children in
residential care] VULNERABLE PERSONS. (a) If the report of an investi-
gation of [child] abuse or [maltreatment] NEGLECT is [indicated]
SUBSTANTIATED IN ACCORDANCE WITH ARTICLE ELEVEN OF THIS CHAPTER, the
director or operator of a residential facility or program[, including a
program described in paragraph (j) of subdivision four of section four
hundred twelve-a of this chapter,] shall submit to the [office of chil-
dren and family services] DEPARTMENT, within ten business days of
receipt of notice of the [indicated] SUBSTANTIATED report, a written
plan of prevention and remediation to be taken with respect to the
subject of [the indicated] SUCH report to [assure] PROTECT the continued
health [and], safety AND WELFARE of [children] THE SERVICE RECIPIENTS
and provide for the prevention of future acts of abuse or [maltreatment]
NEGLECT. The [office of children and family services] DEPARTMENT shall
approve or disapprove such plan and specify necessary revisions within
ten days of its receipt and shall monitor its implementation pursuant to
the provisions of this chapter.
(b) In the event an investigation of a report of alleged [child] abuse
or [maltreatment] NEGLECT determines that [some credible] A PREPONDER-
ANCE OF evidence of abuse or [maltreatment] NEGLECT exists and such
abuse or [maltreatment] NEGLECT may be attributed in whole or in part to
noncompliance by the facility or program[, including a program described
in paragraph (j) of subdivision four of section four hundred twelve-a of
this chapter,] with provisions of this chapter or regulations of the
[office of children and family services] DEPARTMENT applicable to the
operation of such residential facility or program, the director or oper-
ator of such facility or program shall, in consultation with officials
of the department responsible for the approval of operating certificates
and for monitoring the provision of protective services to [children]
SERVICE RECIPIENTS, develop a plan of prevention and remediation which
shall be submitted to and approved by the [office of children and family
services] DEPARTMENT in accordance with time limits established by regu-
lations of the [office of children and family services] DEPARTMENT.
Implementation of such plan shall be jointly monitored by officials of
the [office of children and family services] DEPARTMENT responsible for
the approval of operating certificates and for monitoring the provision
of protective services to [children] SERVICE RECIPIENTS. In reviewing
the continuing qualification of a residential [child care] facility or
program for an operating certificate, the [office of children and family
services] DEPARTMENT shall evaluate such facility's or program's compli-
ance with plans of prevention and remediation developed and implemented
pursuant to this section.
S. 7400 61
(c) Development and implementation of plans pursuant to this section
shall, to the extent possible, be coordinated with remediation plans
required by local social services districts.
S 14. Section 461-m of the social services law, as amended by chapter
462 of the laws of 1996, is amended to read as follows:
S 461-m. Death and felony crime reporting. The operator of an adult
home or residence for adults shall have an affirmative duty to report
any death, or attempted suicide of a resident to the department within
twenty-four hours of its occurrence, and shall also have an affirmative
duty to report to an appropriate law enforcement authority if it is
believed that a felony crime may have been committed against a resident
of such facility as soon as possible, or in any event within forty-eight
hours. In addition, the operator shall send any reports involving a
resident who had at any time received services from a mental hygiene
service provider to the [state commission on quality of care for the
mentally disabled] JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH
SPECIAL NEEDS.
S 15. Section 461-o of the social services law, as added by chapter
462 of the laws of 1996, is amended to read as follows:
S 461-o. Complaint investigation procedures. The department shall
establish procedures governing the receipt and investigation of
complaints regarding the care afforded to residents of adult care facil-
ities CONSISTENT WITH ARTICLE ELEVEN OF THIS CHAPTER, AS APPLICABLE.
Such procedures shall assure the confidentiality of the complainant.
Such procedures shall include but not be limited to the procedures for
reporting complaints, either in writing or orally to the department, and
the time frames governing the investigation of any such complaints
submitted to the department. Provided however, if any complaint alleges
the abuse or neglect of a resident or involves an incident that exposes
a resident to cruel or unsafe care or otherwise represents a serious
resident care issue, the department shall ensure that an investigation
of any such complaint is initiated immediately and in no event commenced
less than seventy-two hours from the time such complaint is received by
the department. Upon the conclusion of the investigation by the depart-
ment the operator and the complainant shall be notified in writing of
the results of such investigation OR, AS APPLICABLE, PURSUANT TO ARTICLE
ELEVEN OF THIS CHAPTER.
S 16. Section 462 of the social services law, as added by chapter 669
of the laws of 1977, subdivision 1 as amended by chapter 677 of the laws
of 1985, paragraphs (b) and (c) of subdivision 1 as amended by chapter
32 of the laws of 1992, paragraph (f) of subdivision 1 as added by chap-
ter 472 of the laws of 2004, paragraph (a) of subdivision 2 as amended
by chapter 800 of the laws of 1985 and paragraph (b) of subdivision 2 as
amended by chapter 558 of the laws of 1999, is amended to read as
follows:
S 462. Responsibility for standards. 1. (a) The [department of social
services] OFFICE OF CHILDREN AND FAMILY SERVICES shall promulgate regu-
lations concerning standards of care and treatment and fiscal, adminis-
trative, nutritional, architectural and safety standards, consistent
with the provisions of section three hundred ninety-eight-a of this
chapter, which shall apply to all facilities exercising care or custody
of children or providing care or shelter to unmarried mothers.
(b) With respect to facilities exercising care or custody of children,
no license or operating certificate shall be provided or renewed unless
it can be demonstrated that such facilities comply with regulations for
the prevention and remediation of abuse OR NEGLECT and [maltreatment of]
S. 7400 62
FOR SIGNIFICANT INCIDENTS INVOLVING children in such facilities, includ-
ing procedures for:
(i) consistent with appropriate collective bargaining agreements and
applicable provisions of the civil service law, [the review and evalu-
ation of the backgrounds of and the information supplied by any person
applying to be an employee, a volunteer or consultant, which shall
include but not be limited to the following requirements: that the
applicant set forth his or her employment history, provide personal and
employment references, relevant experiential and educational information
and sign a sworn statement indicating whether the applicant to the best
of his or her knowledge, has ever been convicted of a crime in this
state or any other jurisdiction] ASSISTING THE JUSTICE CENTER FOR THE
PROTECTION OF PEOPLE WITH SPECIAL NEEDS WITH ITS REVIEW AND EVALUATION
OF CRIMINAL BACKGROUND CHECKS OF PROSPECTIVE EMPLOYEES, AS SET FORTH IN
SUBDIVISION FIVE OF SECTION FIVE HUNDRED FIFTY-THREE OF THE EXECUTIVE
LAW;
(ii) establishing, for employees, relevant minimal experiential and
educational qualifications consistent with appropriate collective
bargaining agreements and applicable provisions of the civil service
law;
(iii) assuring adequate and appropriate supervision of employees,
volunteers and consultants;
(iv) demonstrating by a residential facility or program that appropri-
ate action is taken to assure the safety of the child who is reported
PURSUANT TO ARTICLE ELEVEN OF THIS CHAPTER to the [state] VULNERABLE
PERSONS' central register [of child abuse and maltreatment] as well as
other children in care, immediately upon notification that a report of
[child] abuse or [maltreatment] NEGLECT has been made with respect to a
child in such facility or program;
(v) CONSISTENT WITH APPLICABLE COLLECTIVE BARGAINING AGREEMENTS,
ASSURING THAT AN INDIVIDUAL WHO HAS COMMITTED A CATEGORY ONE OFFENSE, AS
DEFINED IN PARAGRAPH (A) OF SUBDIVISION FIVE OF SECTION FOUR HUNDRED
NINETY-THREE OF THIS CHAPTER, THAT IS INCLUDED ON THE VULNERABLE
PERSONS' CENTRAL REGISTER IS NOT HIRED OR OTHERWISE USED IN ANY POSITION
IN WHICH SUCH INDIVIDUAL WOULD HAVE REGULAR AND SUBSTANTIAL CONTACT WITH
A SERVICE RECIPIENT IN ANY PROGRAM OPERATED, LICENSED OR CERTIFIED BY
THE OFFICE;
(VI) removing a child, consistent as applicable with any court order
placing the child, when it is determined that there is risk to such
child if he or she continues to remain within a facility or program;
[(vi)] (VII) appropriate preventive and remedial action to be taken
including legal actions, consistent with appropriate collective bargain-
ing agreements and applicable provisions of the civil service law.
(c) With respect to facilities exercising care or custody of children
such standards shall establish as a priority that:
(i) subject to the amounts appropriated therefor, administrators,
employees, volunteers and consultants receive training in at least the
following: child abuse prevention and identification, safety and securi-
ty procedures, the principles of child development, the characteristics
of children in care and techniques of group and child management includ-
ing crisis intervention, the laws, regulations and procedures governing
the protection of children from abuse and [maltreatment] NEGLECT, and
other appropriate topics, provided however, that the [department] OFFICE
may exempt administrators and consultants of such facilities or programs
from such requirements upon demonstration of substantially equivalent
knowledge or experience; and
S. 7400 63
(ii) subject to the amounts appropriated therefor, children receive
instruction, consistent with their age, needs and circumstances as well
as the needs and circumstances within the facility or program, in tech-
niques and procedures which will enable such children to ADVOCATE FOR
AND protect themselves from abuse and [maltreatment] NEGLECT; and
(iii) the [department] OFFICE, IN CONSULTATION WITH THE EXECUTIVE
DIRECTOR OF THE JUSTICE CENTER FOR PERSONS WITH SPECIAL NEEDS shall take
all reasonable and necessary actions to assure that employees, volun-
teers and consultants in residential care facilities and programs are
kept apprised on a current basis of all [department] OFFICE policies and
procedures relating to the protection of children from abuse and
[maltreatment] NEGLECT AND SIGNIFICANT INCIDENTS, and shall monitor and
supervise the provision of training to such administrators, employees,
volunteers, children and consultants.
(d) Such regulations shall be developed in consultation with other
state departments and agencies responsible for human services programs
including, but not limited to, the department of education, the depart-
ment of health, [the department of mental hygiene, the division for
youth and the board of social welfare,] THE OFFICE OF MENTAL HEALTH, THE
OFFICE FOR PEOPLE WITH DEVELOPMENTAL DISABILITIES, THE OFFICE OF ALCO-
HOLISM AND SUBSTANCE ABUSE SERVICES AND THE JUSTICE CENTER FOR THE
PROTECTION OF PEOPLE WITH SPECIAL NEEDS and shall, to the extent possi-
ble, be consistent with those promulgated by other state agencies for
such purposes.
(e) This subdivision shall not apply to facilities operated by or
certified or licensed to operate by another state agency.
(f) No residential institution for children as defined in subdivision
forty-four of section sixteen hundred seventy-six of the public authori-
ties law shall enter into a lease, sub-lease or other agreement with the
dormitory authority pursuant to subdivision forty of section sixteen
hundred eighty of the public authorities law unless and until:
(i) the office of children and family services, the director of the
division of the budget and any other state agency which licenses such
residential institutions for children first determines that the project
is necessary to address health and safety needs of children at the
institution, approve the project cost upon determination that such costs
are reasonable, necessary and cost effective based upon the application
of cost per square foot guidelines and any other standards applicable to
the type of program or to the clinically-required needs of a specialized
group of children to be served by the project; and
(ii) the office of children and family services or such other state
agency which licenses such residential institution for children approves
the plans and specifications of the residential facilities to be
replaced, reconstructed, rehabilitated, improved, renovated, or other-
wise provided for, furnished or equipped.
2. (a) The [division for youth] OFFICE shall establish regulations
governing secure and non-secure detention facilities subject to article
nineteen-G of the executive law and residential facilities operated as
approved runaway programs or transitional independent living support
programs pursuant to article nineteen-H of the executive law.
(b) The appropriate offices of the state department of mental hygiene
shall establish regulations governing all child care facilities subject
to articles [twenty-three,] thirty-one and thirty-two of the mental
hygiene law.
(c) The department of mental hygiene and the [division for youth]
OFFICE shall propose any additional standards as are deemed necessary to
S. 7400 64
adequately ensure the care of children in facilities subject to the
inspection and supervision of the department, which care for a signif-
icant number of mentally disabled children, juvenile delinquents or
persons in need of supervision. The final form of any such additional
standards shall be subject to the approval of the department of mental
hygiene for such standards related to the care of mentally disabled
children, or the [division for youth] OFFICE for such standards related
to the care of juvenile delinquents and persons in need of supervision.
S 17. This act shall take effect April 1, 2013; provided, however,
that the amendments to section 426 of the social services law made by
section eleven of this act shall only remain in effect until section 6
of chapter 377 of the laws of 2011, takes effect; provided further, that
effective immediately, the addition, amendment or repeal of any rule or
regulation necessary for the implementation of this act on its effective
date are authorized to be made and completed on or before such effective
date.
PART E
Section 1. Subdivision 5 of section 1125 of the education law, as
added by chapter 180 of the laws of 2000, is amended to read as follows:
5. "Educational setting" shall mean the building and grounds of a
public school district, the vehicles provided by the school district for
the transportation of students to and from school buildings, field
trips, co-curricular and extra-curricular activities both on and off
school district grounds, all co-curricular and extra-curricular activity
sites, and any other location where direct contact between an employee
or volunteer and a child has allegedly occurred. SUCH TERM SHALL NOT
INCLUDE A SPECIAL ACT SCHOOL DISTRICT AS DEFINED IN SECTION FOUR THOU-
SAND ONE OF THIS CHAPTER WHICH SHALL BE SUBJECT TO ARTICLE ELEVEN OF THE
SOCIAL SERVICES LAW.
S 1-a. Subdivisions (a), (b) and (c) of section 4212 of the education
law, as amended by chapter 32 of the laws of 1992, are amended to read
as follows:
(a) Promulgate regulations, PURSUANT TO THIS SECTION AND ARTICLE ELEV-
EN OF THE SOCIAL SERVICES LAW, concerning standards for the protection
of children in residential care from abuse and [maltreatment] NEGLECT
including procedures for:
(i) consistent with appropriate collective bargaining agreements and
applicable provisions of the civil service law, the review and evalu-
ation of the backgrounds of and the information supplied by any person
applying to be an employee, a volunteer or consultant, which shall
include but not be limited to the following requirements: that the
applicant set forth his or her employment history, provide personal and
employment references, and relevant experiential and educational infor-
mation, and sign a sworn statement indicating whether the applicant, to
the best of his or her knowledge, has ever been convicted of a crime in
this state or any other jurisdiction;
(ii) establishing, for employees, relevant minimal experiential and
educational qualifications, consistent with appropriate collective
bargaining agreements and applicable provisions of the civil service
law;
(iii) assuring adequate and appropriate supervision of employees,
volunteers and consultants;
(iv) demonstrating by a residential facility or program that appropri-
ate action is taken to assure the safety of the child who is reported to
S. 7400 65
the [state] VULNERABLE PERSONS' central register IN ACCORDANCE WITH
SECTION FOUR HUNDRED NINETY-TWO OF THE SOCIAL SERVICES LAW as well as
other children in care, immediately upon notification that a report of
[child] abuse or [maltreatment] NEGLECT has been made with respect to a
child in such residential facility or program;
(v) removing a child when it is determined that there is risk to such
child if he or she continues to remain within a residential facility or
program; and
(vi) appropriate preventive and remedial action to be taken including
legal actions, consistent with appropriate collective bargaining agree-
ments and applicable provisions of the civil service law.
(VII) CONSISTENT WITH APPLICABLE COLLECTIVE BARGAINING AGREEMENTS,
ASSURING THAT AN INDIVIDUAL WHO HAS COMMITTED A CATEGORY ONE OFFENSE, AS
DEFINED IN PARAGRAPH (A) OF SUBDIVISION FOUR OF SECTION FOUR HUNDRED
NINETY-THREE OF THE SOCIAL SERVICES LAW, THAT IS INCLUDED ON THE VULNER-
ABLE PERSONS' CENTRAL REGISTER IS NOT HIRED OR OTHERWISE USED IN ANY
POSITION IN WHICH SUCH INDIVIDUAL WOULD HAVE REGULAR AND SUBSTANTIAL
CONTACT WITH A SERVICE RECIPIENT IN ANY PROGRAM DESCRIBED IN PARAGRAPH
(D) OF SUBDIVISION FOUR OF SECTION FOUR HUNDRED EIGHTY-EIGHT OF THE
SOCIAL SERVICES LAW.
Such standards shall also establish as a priority requirements that:
(A) subject to the amounts appropriated therefor, administrators,
employees, volunteers and consultants receive training in at least the
following: child abuse prevention and identification, safety and securi-
ty procedures, the principles of child development, the characteristics
of children in care and techniques of group and child management includ-
ing crisis intervention, the laws, regulations and procedures governing
the protection of children from abuse, NEGLECT and maltreatment, and
other appropriate topics, provided, however, that the department may
exempt administrators and consultants from such requirements upon demon-
stration of substantially equivalent knowledge or experience; and
(B) subject to the amounts appropriated therefor, children receive
instruction, consistent with their age, needs and circumstances as well
as the needs and circumstances within the program, in techniques and
procedures which will enable such children to protect themselves from
abuse, NEGLECT and maltreatment.
The department shall take all reasonable and necessary actions to
assure that employees, volunteers and consultants in residential facili-
ties and programs are kept apprised on a current basis of all department
policies and procedures relating to the protection of children from
abuse, NEGLECT and maltreatment, and shall monitor and supervise the
provision of training to such employees, volunteers and consultants.
Regulations and standards developed pursuant to this subdivision shall,
to the extent possible, be consistent with those promulgated by other
state agencies for such purposes.
(b) [Cooperate with the state department of social services to protect
the health and safety of pupils at the school pursuant to title six of
article six of the social services law. Such cooperation shall include:
the making of reports of alleged child abuse or maltreatment; providing
necessary assistance to the state department of social services in the
department's investigation thereof and considering the recommendations
of the state department of social services for preventive and remedial
action including legal action and provide or direct the residential
facility to provide such written reports thereon to the department of
social services as to the implementation of plans of prevention and
remediation approved by the department of education; and
S. 7400 66
(c)] Provide for the development and implementation of a plan of
prevention and remediation with respect to [an indicated] A SUBSTANTI-
ATED report of [child] abuse or [maltreatment] NEGLECT. Such action
shall include: (i) within ten days of receipt of [an indicated] A
SUBSTANTIATED report of [child] abuse or [maltreatment] NEGLECT, devel-
opment and implementation of a plan of prevention and remediation to be
taken with respect to a custodian or the residential facility in order
to assure the continued health and safety of children and to provide for
the prevention of future acts of abuse or [maltreatment] NEGLECT; and
(ii) development and implementation of a plan of prevention and remedi-
ation, in the event an investigation of a report of alleged child abuse
or [maltreatment] NEGLECT determines that some credible evidence of
abuse or [maltreatment] NEGLECT exists and such abuse or [maltreatment]
NEGLECT may be attributed in whole or in part to noncompliance by the
residential facility or program with provisions of this chapter or regu-
lations of the department applicable to the operation of a residential
facility or program. Any plan of prevention and remediation required to
be developed [pursuant to paragraph (ii) of this subdivision] by a
facility supervised by the department shall be submitted to and approved
by the department in accordance with time limits established by regu-
lations of the department. Implementation of the plan shall be monitored
by the department. In reviewing the continued qualifications of a resi-
dential facility or program for an operating certificate, the department
shall evaluate such facility's compliance with plans of prevention and
remediation developed and implemented pursuant to this subdivision.
S 2. Section 4314 of the education law, as added by chapter 677 of the
laws of 1985, subdivisions (a), (b) and (c) as amended by chapter 32 of
the laws of 1992, is amended to read as follows:
S 4314. Protection of pupils. The department shall:
(a) Promulgate regulations, IN ACCORDANCE WITH THIS SECTION AND ARTI-
CLE ELEVEN OF THE SOCIAL SERVICES LAW, concerning standards for the
protection of children in residential care from abuse and [maltreatment]
NEGLECT, including procedures for:
(i) consistent with appropriate collective agreements and applicable
provisions of the civil service law, the review and evaluation of the
backgrounds of and the information supplied by any person applying to be
an employee, a volunteer or consultant, which shall include but not be
limited to the following requirements: that the applicant set forth his
or her employment history, provide personal and employment references,
and relevant experiential and educational information, and sign a sworn
statement indicating whether the applicant, to the best of his or her
knowledge, has ever been convicted of a crime in this state or any other
jurisdiction;
(ii) establishing for employees, relevant minimal experiential and
educational qualifications consistent with appropriate collective
bargaining agreements and applicable provisions of the civil service
law;
(iii) assuring adequate and appropriate supervision of employees,
volunteers and consultants;
(iv) demonstrating by a residential facility or program that appropri-
ate action is taken to assure the safety of the child who is [reported]
ALLEGED TO HAVE BEEN ABUSED OR NEGLECTED IN A REPORT to the [state]
VULNERABLE PERSONS' central register IN ACCORDANCE WITH SECTION FOUR
HUNDRED NINETY-TWO OF THE SOCIAL SERVICES LAW as well as other children
in care, immediately upon notification that a report of [child] AN ALLE-
S. 7400 67
GATION OF abuse or [maltreatment] NEGLECT has been made [with respect to
a child in such residential facility or program];
(v) removing a child when it is determined that there is risk to such
child if he or she continues to remain within a residential facility or
program; and
(vi) appropriate preventive and remedial action to be taken including
legal actions, consistent with appropriate collective bargaining agree-
ments and applicable provisions of the civil service law.
Such standards shall also establish as a priority requirements that:
(1) subject to the amounts appropriated therefor, administrators,
employees, volunteers and consultants receive training in at least the
following: child abuse prevention and identification, safety and secu-
rity procedures, the principles of child development, the character-
istics of children in care and techniques of group and child management
including crisis intervention, the laws, regulations and procedures
governing the protection of children from abuse, NEGLECT and maltreat-
ment, and other appropriate topics, provided however, that the depart-
ment may exempt administrators and consultants from such requirements
upon demonstration of substantially equivalent knowledge or experience;
and
(2) subject to the amounts appropriated therefor, children receive
instruction, consistent with their age, needs and circumstances as well
as the needs and circumstances within the facility or program, in tech-
niques and procedures which will enable such children to protect them-
selves from abuse, NEGLECT and maltreatment.
The department, IN CONSULTATION WITH THE EXECUTIVE DIRECTOR OF THE
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS, shall
take all reasonable and necessary actions to assure that employees,
volunteers and consultants in residential facilities are kept apprised
on a current basis of all department policies and procedures relating to
the protection of children from abuse, NEGLECT and maltreatment and
shall monitor and supervise the provision of training to such employees,
volunteers and consultants. Regulations and standards developed pursuant
to this section shall, to the extent possible, be consistent with those
promulgated by other state agencies for such purposes;
(b) [Cooperate with the state department of social services to protect
the health and safety of pupils at the school pursuant to title six of
article six of the social services law. Such cooperation shall include:
the making of reports of alleged child abuse or maltreatment; providing
necessary assistance to the state department of social services in the
department's investigation thereof and considering the recommendations
of the state department of social services for preventive and remedial
action including legal action and provide or direct the residential
facility to provide such written reports thereon to the department of
social services as to the implementation of plans of prevention and
remediation approved by the department; and
(c)] Provide for the development and implementation of a plan of
prevention and remediation with respect to [an indicated] A SUBSTANTI-
ATED report of child abuse or [maltreatment] NEGLECT. Such action shall
include: (i) within ten days of receipt of [an indicated] A SUBSTANTI-
ATED report of child abuse or [maltreatment] NEGLECT, development and
implementation of a plan of prevention and remediation to be taken with
respect to a custodian or the residential facility in order to assure
the continued health and safety of children and to provide for the
prevention of future acts of abuse or [maltreatment] NEGLECT; and (ii)
development and implementation of a plan of prevention and remediation,
S. 7400 68
in the event an investigation of a report of alleged [child] abuse or
[maltreatment] NEGLECT determines that some credible evidence of abuse
or [maltreatment] NEGLECT exists and such abuse or [maltreatment]
NEGLECT may be attributed in whole or in part to noncompliance by the
residential facility or program with provisions of this chapter or regu-
lations of the department applicable to the operation of such residen-
tial facility or program. Any plan of prevention and remediation
required to be developed pursuant to [paragraph (ii) of] this subdivi-
sion by a facility supervised by the department shall be submitted to
and approved by the department in accordance with time limits estab-
lished by regulations of the department. Implementation of the plan
shall be monitored by the department. In reviewing the continued quali-
fications of a residential facility or program for an operating certif-
icate, the department shall evaluate such facility's compliance with
plans of prevention and remediation developed and implemented pursuant
to this subdivision.
S 3. Section 4358 of the education law, as added by chapter 677 of the
laws of 1985, subdivisions (a), (b) and (c) as amended by chapter 32 of
the laws of 1992, is amended to read as follows:
S 4358. Protection of pupils. The department shall:
(a) Promulgate regulations concerning standards for the protection of
children in residential care from abuse [and maltreatment] AND NEGLECT
IN ACCORDANCE WITH THIS SECTION AND ARTICLE ELEVEN OF THE SOCIAL
SERVICES LAW, including procedures for:
(i) consistent with appropriate collective bargaining agreements and
applicable provisions of the civil service law, the review and evalu-
ation of the backgrounds of and the information supplied by any person
applying to be an employee, a volunteer or consultant, which shall
include but not be limited to the following requirements: that the
applicant set forth his or her employment history, provide personal and
employment references and relevant experiential and educational informa-
tion, and sign a sworn statement indicating whether the applicant, to
the best of his or her knowledge, has ever been convicted of a crime in
this state or any other jurisdiction;
(ii) establishing, for employees, relevant minimal experiential and
educational qualifications, consistent with appropriate collective
bargaining agreements and applicable provisions of the civil service
law;
(iii) assuring adequate and appropriate supervision of employees,
volunteers and consultants;
(iv) demonstrating by a residential facility or program that appropri-
ate action is taken to assure the safety of the child who is [reported]
ALLEGED TO HAVE BEEN ABUSED OR NEGLECTED IN A REPORT to the [state]
VULNERABLE PERSONS' central register IN ACCORDANCE WITH SECTION FOUR
HUNDRED NINETY-TWO OF THE SOCIAL SERVICES LAW as well as other children
in care, immediately upon notification that a report of [child] AN ALLE-
GATION OF abuse [or maltreatment] OR NEGLECT has been made [with respect
to a child in such facility or program];
(v) removing a child when it is determined that there is risk to such
child if he or she continues to remain within a facility or program; and
(vi) appropriate preventive and remedial action to be taken including
legal actions, consistent with appropriate collective bargaining agree-
ments and applicable provisions of the civil service law.
Such standards shall also establish as a priority requirements that:
(A) subject to the amounts appropriated therefor, administrators,
employees, volunteers and consultants receive training in at least the
S. 7400 69
following: child abuse prevention and identification, safety and securi-
ty procedures, the principles of child development, the characteristics
of children in care and techniques of group and child management includ-
ing crisis intervention, the laws, regulations and procedures governing
the protection of children from abuse, NEGLECT and maltreatment, and
other appropriate topics, provided however, that the department may
exempt administrators and consultants from such requirements upon demon-
stration of substantially equivalent knowledge or experience; and
(B) subject to the amounts appropriated therefor, children receive
instruction, consistent with their age, needs and circumstances as well
as the needs and circumstances of the facility, in techniques and proce-
dures which will enable such children to protect themselves from abuse,
NEGLECT and maltreatment.
The department shall take all reasonable and necessary actions to
assure that employees, volunteers and consultants in residential facili-
ties and programs are kept apprised on a current basis of all department
policies and procedures relating to the protection of children from
abuse, NEGLECT and maltreatment and shall monitor and supervise the
provision of training to such administrators, employees, volunteers,
children and consultants. Regulations and standards developed pursuant
to this section shall, to the extent possible, be consistent with those
promulgated by other state agencies for such purposes;
(b) [Cooperate with the state department of social services to protect
the health and safety of pupils at the school pursuant to title six of
article six of the social services law. Such cooperation shall include:
the making of reports of alleged child abuse or maltreatment; providing
necessary assistance to the state department of social services in the
department's investigation thereof and considering the recommendations
of the state department of social services for preventive and remedial
action including legal action and provide or direct the residential
facility to provide such written reports to the department of social
services as to the implementation of plans of prevention and remediation
approved by the department; and
(c)] Provide for the development and implementation of a plan of
prevention and remediation with respect to [an indicated] A SUBSTANTI-
ATED report of child abuse [or maltreatment] OR NEGLECT. Such action
shall include: (i) within ten days of receipt of [an indicated] A
SUBSTANTIATED report of child abuse [or maltreatment] OR NEGLECT, devel-
opment and implementation of a plan of prevention and remediation to be
taken with respect to a custodian or the residential facility in order
to assure the continued health and safety of children and to provide for
the prevention of future acts of abuse or [maltreatment] NEGLECT; and
(ii) development and implementation of a plan of prevention and remedi-
ation, in the event an investigation of a report of alleged [child]
abuse [or maltreatment] OR NEGLECT determines that some credible
evidence of abuse [or maltreatment] OR NEGLECT exists and such abuse [or
maltreatment] OR NEGLECT may be attributed in whole or in part to
noncompliance by the residential facility or program with provisions of
this chapter or regulations of the department applicable to the opera-
tion of such residential facility or program. Any plan of prevention and
remediation required to be developed pursuant to [paragraph (ii) of]
this subdivision by a facility supervised by the department shall be
submitted to and approved by the department in accordance with time
limits established by regulations of the department. Implementation of
the plan shall be monitored by the department. In reviewing the contin-
ued qualifications of a residential facility or program for an operating
S. 7400 70
certificate, the department shall evaluate such facility's compliance
with plans of prevention and remediation developed and implemented
pursuant to this subdivision.
S 4. Subdivisions 11, 12, 13, 14, 15, 16, 17, 18, 19 and 19-a of
section 4403 of the education law, subdivisions 11, 12 and 13 as amended
by chapter 32 of the laws of 1992, subdivisions 14, 15 and 16 as added
by chapter 53 of the laws of 1986, subdivision 17 as amended by chapter
53 of the laws of 1987, subdivision 18 as added by chapter 428 of the
laws of 1992, subdivision 19 as added by chapter 600 of the laws of 1994
and subdivision 19-a as amended by chapter 378 of the laws of 2007, are
amended to read as follows:
11. To promulgate regulations concerning standards for the protection
of children in residential care from abuse and [maltreatment] NEGLECT IN
ACCORDANCE WITH THIS SECTION AND ARTICLE ELEVEN OF THE SOCIAL SERVICES
LAW, including procedures for:
(a) consistent with appropriate collective bargaining agreements and
applicable provisions of the civil service law, the review and evalu-
ation of the backgrounds of and the information supplied by any person
applying to be an employee, a volunteer or consultant, which shall
include but not be limited to the following requirements: that the
applicant set forth his or her employment history, provide personal and
employment references, and relevant experiential and educational quali-
fications and, sign a sworn statement indicating whether the applicant,
to the best of his or her knowledge has ever been convicted of a crime
in this state or any other jurisdiction;
(b) establishing, for employees, relevant minimal experiential and
educational qualifications, consistent with appropriate collective
bargaining agreements and applicable provisions of the civil service
law;
(c) assuring adequate and appropriate supervision of employees, volun-
teers and consultants;
(d) demonstrating by a residential facility or program that appropri-
ate action is taken to assure the safety of the child who is [reported]
ALLEGED TO HAVE BEEN ABUSED OR NEGLECTED IN A REPORT to the [state]
VULNERABLE PERSONS' central register IN ACCORDANCE WITH SECTION FOUR
HUNDRED NINETY-TWO OF THE SOCIAL SERVICES LAW as well as other children
in care, immediately upon notification that a report of [child] AN ALLE-
GATION OF abuse [or maltreatment] OR NEGLECT has been made with respect
to a child in such residential facility or program;
(e) removing a child when it is determined that there is risk to such
child if he or she continues to remain within a residential facility or
program; and
(f) appropriate preventive and remedial action to be taken including
legal actions, consistent with appropriate collective bargaining agree-
ments and applicable provisions of the civil service law.
Such standards shall also establish as a priority requirements that:
(A) subject to amounts appropriated therefor, administrators, employ-
ees, volunteers and consultants receive training in at least the follow-
ing: child abuse prevention and identification, safety and security
procedures, the principles of child development, the characteristics of
children in care, and techniques of group and child management including
crisis intervention, the laws, regulations and procedures governing the
protection of children from abuse, NEGLECT and maltreatment, and other
appropriate topics, provided however, that the department may exempt
administrators and consultants from such requirements upon demonstration
of substantially equivalent knowledge or experience; and
S. 7400 71
(B) subject to the amounts appropriated therefor, children receive
instruction, consistent with their age, needs and circumstances as well
as the needs and circumstances within the program, in techniques and
procedures which will enable such children to ADVOCATE FOR AND protect
themselves from abuse [and maltreatment] AND NEGLECT.
The department shall take all reasonable and necessary actions to
assure that employees, volunteers and consultants in residential facili-
ties and programs are kept apprised on a current basis of all department
policies and procedures relating to the protection of children from
abuse, NEGLECT and maltreatment and shall monitor and supervise the
provision of training to such administrators, employees, volunteers,
children and consultants. Regulations and standards developed pursuant
to this subdivision shall, to the extent possible, be consistent with
those promulgated by other state agencies for such purposes.
12. [To cooperate with the state department of social services and
other departments, divisions and agencies of the state when a report is
received pursuant to title six of article six of the social services law
to protect the health and safety of children in residential placement.
Such cooperation shall include: the making of reports of alleged child
abuse or maltreatment; providing necessary assistance to the state
department of social services in the department's investigation thereof
and considering the recommendations of the state department of social
services for preventive and remedial action, including legal action and
providing written reports thereon to the department of social services
as to the implementation of plans of prevention and remediation approved
by the department.
13.] To provide for the development and implementation of a plan of
prevention and remediation with respect to [an indicated] A SUBSTANTI-
ATED report of [child] abuse or [maltreatment] NEGLECT. Such action
shall include: (a) within ten days of receipt of [an indicated] A
SUBSTANTIATED report of [child] abuse or [maltreatment] NEGLECT, devel-
opment and implementation of a plan of prevention and remediation to be
taken with respect to a custodian or the residential facility in order
to assure the continued health and safety of children and to provide for
the prevention of future acts of abuse or [maltreatment] NEGLECT; and
(b) development and implementation of a plan of prevention and remedi-
ation, in the event an investigation of a report of alleged [child]
abuse or [maltreatment] NEGLECT determines that some credible evidence
of abuse or [maltreatment] NEGLECT exists and such abuse or [maltreat-
ment] NEGLECT may be attributed in whole or in part to noncompliance by
the residential facility or program with provisions of this chapter or
regulations of the department applicable to the operation of such resi-
dential facility or program. Any plan of prevention and remediation
required to be developed pursuant to [paragraph (b) of] this subdivision
by a facility supervised by the department shall be submitted to and
approved by the department in accordance with time limits established by
regulations of the department. Implementation of the plan shall be moni-
tored by the department. In reviewing the continued qualifications of a
residential facility or program for an operating certificate, the
department shall evaluate such facility's compliance with plans of
prevention and remediation developed and implemented pursuant to this
subdivision.
[14] 13. To provide technical assistance to school districts for
appropriate evaluation and assessment.
S. 7400 72
[15] 14. To provide technical assistance to school districts to
assist in the adaptation of curriculum for the instruction of children
with handicapping conditions.
[16] 15. To provide technical assistance to school districts to
assist in developing criteria for placement in special education and
criteria for reviewing the ability of a pupil to participate in regular
education.
[17] 16. Commencing with the nineteen hundred eighty-seven--eighty-
eight school year, to provide for instruction during the months of July
and August of students with handicapping conditions who have received
state appointments pursuant to article eighty-five, eighty-seven or
eighty-eight of this chapter and whose handicapping conditions, in the
judgment of the commissioner, are severe enough to exhibit the need for
a structured learning environment of twelve months duration to maintain
developmental levels, by making such appointments for twelve months;
provided that the initial term of appointment of a student with a handi-
capping condition who is the minimum age eligible for such a state
appointment shall not commence during the months of July or August.
[18] 17. To approve the provision of early intervention services, as
defined in section twenty-five hundred forty-one of the public health
law, by agencies which are approved providers of special services or
programs pursuant to section forty-four hundred ten of this article
based on such agency's compliance with the coordinated standards and
procedures for early intervention services established pursuant to title
II-A of article twenty-five of the public health law and, where applica-
ble, teacher certification requirements.
[19] 18. To establish guidelines for determining when a child is at
risk of a future placement in a residential school, and for the
provision by committees on special education of information to parents
and other persons in parental relationship concerning the availability
of community support services to meet the needs of the family. The
guidelines shall be developed by the department after consultation with
the office of mental health, the office of mental retardation and devel-
opmental disabilities, the office of alcoholism and substance abuse
services, the department of health, the department of social services
and the division for youth.
[19-a] 19. To adopt regulations prescribing the state complaint
procedures pursuant to sections 300.151 through 300.153 of title thir-
ty-four of the code of federal regulations, where an individual or
organization files a written complaint alleging that a public agency has
violated part B of the individuals with disabilities education act. Such
regulations shall include, but not be limited to, remedies for denial of
appropriate services, including, as appropriate, the awarding of mone-
tary reimbursement, compensatory services or other corrective action
appropriate to the needs of the child.
S 5. Subdivision 2 of section 3650 of the education law, as added by
chapter 18 of the laws of 2007, is amended to read as follows:
2. The commissioner, in consultation with the [state commission on
quality care and advocacy for persons with disabilities] JUSTICE CENTER
FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS, shall promulgate rules
and regulations requiring every school bus driver operating a school bus
which has or will have one or more students with a disability as passen-
gers to receive training and instruction relating to the understanding
of, and attention to, the special needs of such students. Such training
and instruction may be included with the training and instruction
required pursuant to paragraph a of subdivision one of this section and
S. 7400 73
shall be provided at least once per year or more frequently as deter-
mined by the commissioner in consultation with the state comprehensive
school bus driver safety training council. For the purposes of this
subdivision, the term "student with a disability" shall have the same
meaning as such term is defined in subdivision one of section forty-four
hundred one of this chapter. Any person employed as a school bus driver
on January first, two thousand nine who is subject to the provisions of
this subdivision shall comply with the requirements of this subdivision
by July first, two thousand nine. Any school bus driver hired after
January first, two thousand nine who is subject to the requirements of
this subdivision shall complete such training and instruction prior to
assuming his or her duties.
S 6. Subdivision 4 of section 1229-d of the vehicle and traffic law,
as added by chapter 181 of the laws of 2007, is amended to read as
follows:
(4) The commissioner of education, in consultation with the [state
commission on quality care and advocacy for persons with disabilities]
JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS, shall
promulgate rules and regulations requiring that every school bus attend-
ant serving a student or students with a disability receive training and
instruction relating to the understanding of and attention to the
special needs of such students. Such training and instruction may be
included with the training and instruction required pursuant to subdivi-
sion three of this section and shall be provided at least once per year
or more frequently as determined by the commissioner of education in
consultation with the state comprehensive school bus driver safety
training council. For the purposes of this subdivision, the term
"student with a disability" shall have the same meaning as such term is
defined in subdivision one of section forty-four hundred one of the
education law. Any person employed as a school bus attendant serving a
student or students with a disability on January first, two thousand
nine shall comply with the requirements of this subdivision by July
first, two thousand nine. Any person hired after January first, two
thousand nine shall complete such training, instruction and testing
prior to assuming his or her duties as a school bus attendant serving a
student or students with a disability.
S 7. This act shall take effect April 1, 2013; provided, however, that
the amendments to subdivision 18 of section 4403 of the education law
made by section four of this act shall not affect the repeal of such
subdivision and shall be deemed repealed therewith; provided further
that the amendments to subdivision 19-a of section 4403 of the education
law made by section four of this act shall not affect the expiration of
such subdivision and shall be deemed to expire therewith.
PART F
Section 1. Subdivision (a) of section 16.33 of the mental hygiene law,
as amended by chapter 575 of the laws of 2004, is amended to read as
follows:
(a) Every provider of services who contracts with or is approved or
otherwise authorized by the office to provide services, except (1) a
department facility, (2) a hospital as defined in article twenty-eight
of the public health law, or (3) a licensed professional under title
eight of the education law who does not have employees or volunteers who
will have regular and substantial unsupervised or unrestricted physical
contact with the clients of such provider, and every applicant to be
S. 7400 74
such a provider of services except (i) a department facility, (ii) a
hospital as defined in article twenty-eight of the public health law, or
(iii) a licensed professional under title eight of the education law and
who does not have employees or volunteers who will have regular and
substantial unsupervised or unrestricted physical contact with the
clients of such provider, shall request that the [office] JUSTICE CENTER
FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS check, and upon such
request [the office] SUCH JUSTICE CENTER shall request and shall be
authorized to receive from the division of criminal justice services
criminal history information, as such phrase is defined in paragraph (c)
of subdivision one of section eight hundred forty-five-b of the execu-
tive law, concerning each (A) prospective operator, employee or volun-
teer of such provider who will have regular and substantial unsupervised
or unrestricted physical contact with the clients of such provider, or
(B) other person over the age of eighteen who is to reside in a family
care home, except any person receiving family care services, who will
have regular and substantial unsupervised or unrestricted physical
contact with the clients of such provider. For purposes of this section,
"operator" shall include any natural person with an ownership interest
in the provider of services.
S 2. The mental hygiene law is amended by adding a new section 19.20
to read as follows:
S 19.20 REVIEW OF CRIMINAL HISTORY INFORMATION CONCERNING CERTAIN
PROSPECTIVE PROVIDERS, EMPLOYEES, AND INDIVIDUALS CREDEN-
TIALED BY THE OFFICE.
(A) EVERY PROVIDER OF SERVICES WHO CONTRACTS WITH OR IS APPROVED OR
OTHERWISE AUTHORIZED BY THE OFFICE TO PROVIDE SERVICES, EXCEPT (1) A
DEPARTMENT FACILITY, (2) A HOSPITAL AS DEFINED IN ARTICLE TWENTY-EIGHT
OF THE PUBLIC HEALTH LAW, OR (3) A LICENSED PROFESSIONAL UNDER TITLE
EIGHT OF THE EDUCATION LAW WHO DOES NOT HAVE EMPLOYEES OR VOLUNTEERS WHO
WILL HAVE REGULAR AND SUBSTANTIAL UNSUPERVISED OR UNRESTRICTED PHYSICAL
CONTACT WITH THE CLIENTS OF SUCH PROVIDER, AND EVERY APPLICANT TO BE
SUCH A PROVIDER OF SERVICES EXCEPT (I) A DEPARTMENT FACILITY, (II) A
HOSPITAL AS DEFINED IN ARTICLE TWENTY-EIGHT OF THE PUBLIC HEALTH LAW, OR
(III) A LICENSED PROFESSIONAL UNDER TITLE EIGHT OF THE EDUCATION LAW WHO
DOES NOT HAVE EMPLOYEES OR VOLUNTEERS WHO WILL HAVE REGULAR AND SUBSTAN-
TIAL UNSUPERVISED OR UNRESTRICTED PHYSICAL CONTACT WITH THE CLIENTS OF
SUCH PROVIDER, SHALL REQUEST THAT THE JUSTICE CENTER FOR THE PROTECTION
OF PEOPLE WITH SPECIAL NEEDS CHECK, AND UPON SUCH REQUEST SUCH JUSTICE
CENTER SHALL REQUEST AND SHALL BE AUTHORIZED TO RECEIVE FROM THE DIVI-
SION OF CRIMINAL JUSTICE SERVICES CRIMINAL HISTORY INFORMATION, AS SUCH
PHRASE IS DEFINED IN PARAGRAPH (C) OF SUBDIVISION ONE OF SECTION EIGHT
HUNDRED FORTY-FIVE-B OF THE EXECUTIVE LAW, CONCERNING EACH PROSPECTIVE
OPERATOR, EMPLOYEE OR VOLUNTEER OF SUCH PROVIDER WHO WILL HAVE REGULAR
AND SUBSTANTIAL UNSUPERVISED OR UNRESTRICTED PHYSICAL CONTACT WITH THE
CLIENTS OF SUCH PROVIDER. FOR PURPOSES OF THIS SECTION, "OPERATOR" SHALL
INCLUDE ANY NATURAL PERSON WITH AN OWNERSHIP INTEREST IN THE PROVIDER OF
SERVICES.
(B) THE JUSTICE CENTER FOR THE PROTECTION OF PEOPLE WITH SPECIAL NEEDS
SHALL BE AUTHORIZED TO REQUEST AND RECEIVE FROM THE DIVISION OF CRIMINAL
JUSTICE SERVICES CRIMINAL HISTORY INFORMATION, AS SUCH PHRASE IS DEFINED
IN PARAGRAPH (C) OF SUBDIVISION ONE OF SECTION EIGHT HUNDRED
FORTY-FIVE-B OF THE EXECUTIVE LAW, FOR EVERY INDIVIDUAL CREDENTIALED, OR
SEEKING TO BE CREDENTIALED, BY THE OFFICE OF ALCOHOLISM AND SUBSTANCE
ABUSE SERVICES TO PROVIDE SUBSTANCE USE DISORDER SERVICES.
S. 7400 75
(C) ACCESS TO AND USE OF SUCH INFORMATION SHALL BE GOVERNED BY THE
PROVISIONS OF SECTION EIGHT HUNDRED FORTY-FIVE-B OF THE EXECUTIVE LAW.
S 3. Subdivision (a) of section 31.35 of the mental hygiene law, as
amended by chapter 575 of the laws of 2004, is amended to read as
follows:
(a) Every provider of services who contracts with or is approved or
otherwise authorized by the office to provide services, except (1) a
department facility, (2) a hospital as defined in article twenty-eight
of the public health law, or (3) a licensed professional under title
eight of the education law who does not have employees or volunteers who
will have regular and substantial unsupervised or unrestricted physical
contact with the clients of such provider, and every applicant to be
such a provider of services except (i) a department facility, (ii) a
hospital as defined in article twenty-eight of the public health law, or
(iii) a licensed professional under title eight of the education law who
does not have employees or volunteers who will have regular and substan-
tial unsupervised or unrestricted physical contact with the clients of
such provider, shall request that the [office] JUSTICE CENTER FOR THE
PROTECTION OF PEOPLE WITH SPECIAL NEEDS check, and upon such request
[the office] SUCH JUSTICE CENTER shall request and shall be authorized
to receive from the division of criminal justice services criminal
history information, as such phrase is defined in paragraph (c) of
subdivision one of section eight hundred forty-five-b of the executive
law, concerning each prospective operator, employee or volunteer of such
provider who will have regular and substantial unsupervised or unre-
stricted physical contact with the clients of such provider. For
purposes of this section, "operator" shall include any natural person
with an ownership interest in the provider of services.
S 4. Subdivision 1 of section 378-a of the social services law, as
amended by chapter 7 of the laws of 1999, is amended to read as follows:
1. [Subject to rules and regulations of the division of criminal
justice services, an] EVERY authorized agency WHICH OPERATES A RESIDEN-
TIAL PROGRAM FOR CHILDREN AND THE OFFICE OF CHILDREN AND FAMILY SERVICES
shall [have access to conviction records maintained by state law
enforcement agencies pertaining to persons who have applied for and are
under active consideration for employment by such authorized agency in
positions where such persons will be engaged directly in the care and
supervision of children] REQUEST THAT THE JUSTICE CENTER FOR THE
PROTECTION OF PEOPLE WITH SPECIAL NEEDS CHECK, AND UPON SUCH REQUEST,
SUCH JUSTICE CENTER SHALL REQUEST AND SHALL BE AUTHORIZED TO RECEIVE
FROM THE DIVISION OF CRIMINAL JUSTICE SERVICES CRIMINAL HISTORY INFORMA-
TION, AS SUCH PHRASE IS DEFINED IN PARAGRAPH (C) OF SUBDIVISION ONE OF
SECTION EIGHT HUNDRED FORTY-FIVE-B OF THE EXECUTIVE LAW CONCERNING EACH
PROSPECTIVE OPERATOR, EMPLOYEE OR VOLUNTEER OF SUCH RESIDENTIAL PROGRAM
WHO WILL HAVE REGULAR AND SUBSTANTIAL UNSUPERVISED OR UNRESTRICTED PHYS-
ICAL CONTACT WITH CHILDREN IN SUCH PROGRAM. FOR THE PURPOSES OF THIS
SECTION, "OPERATOR" SHALL INCLUDE ANY NATURAL PERSON WITH AN OWNERSHIP
INTEREST IN THE AUTHORIZED AGENCY. ACCESS TO AND THE USE OF SUCH INFOR-
MATION SHALL BE GOVERNED BY THE PROVISIONS OF SECTION EIGHT HUNDRED
FORTY-FIVE-B OF THE EXECUTIVE LAW.
S 5. Subdivision 2 and paragraph (a) of subdivision 5 of section 845-b
of the executive law, subdivision 2 as amended by chapter 769 of the
laws of 2005 and paragraph (a) of subdivision 5 as amended by chapter
331 of the laws of 2006, are amended to read as follows:
2. Where a provider is authorized or required to request a check of
criminal history information by an authorized agency pursuant to section
S. 7400 76
16.33 [or], 31.35, 19.07 OR 19.20 of the mental hygiene law [or], arti-
cle twenty-eight-E of the public health law OR SUBDIVISION ONE OF
SECTION THREE HUNDRED SEVENTY-EIGHT-A OF THE SOCIAL SERVICES LAW, such
provider shall proceed pursuant to the provisions of this section and in
a manner consistent with the provisions of article twenty-three-A of the
correction law, subdivisions fifteen and sixteen of section two hundred
ninety-six of this chapter and all other applicable laws.
(a) Where the criminal history information concerning a subject indi-
vidual reveals a felony conviction at any time for a sex offense, a
felony conviction within the past ten years involving violence, or a
conviction [for endangering the welfare of an incompetent or physically
disabled person] pursuant to section 260.00, 260.10, 260.24, 260.25,
260.32 OR 260.34 of the penal law, and in the case of criminal history
information obtained pursuant to section twenty-eight hundred ninety-
nine-a of the public health law, where the criminal history information
concerning a subject individual reveals a conviction at any time of any
class A felony; a conviction within the past ten years of any class B or
C felony, any class D or E felony defined in article one hundred twenty,
one hundred thirty, one hundred fifty-five, one hundred sixty, one
hundred seventy-eight or two hundred twenty of the penal law; or any
crime defined in [sections] SECTION 260.32 or 260.34 of the penal law;
or any comparable offense in any other jurisdiction, the authorized
agency shall deny or disapprove the application for or renewal of the
operating certificate, contract, approval, employment of the subject
individual or other authorization to provide services, or direct the
provider to deny employment, as applicable, unless the authorized agency
determines, in its discretion, that approval of the application or
renewal or employment will not in any way jeopardize the health, safety
or welfare of the beneficiaries of such services.
S 6. This act shall take effect on April 1, 2013; provided, however,
that effective immediately, the addition, amendment or repeal of any
rule or regulation necessary for the implementation of this act on its
effective date are authorized to be made and completed on or before such
date.
PART G
Section 1. The opening paragraph and subdivision 4 of section 240.50
of the penal law, the opening paragraph as amended by chapter 276 of the
laws of 1973 and subdivision 4 as amended by chapter 400 of the laws of
2008, are amended to read as follows:
A person is guilty of falsely reporting an incident in the third
degree when, knowing the information reported, conveyed or circulated to
be false or baseless, he OR SHE:
4. Reports, by word or action, an alleged occurrence or condition of
child abuse or maltreatment OR ABUSE OR NEGLECT OF A VULNERABLE PERSON
which did not in fact occur or exist to:
(a) the statewide central register of child abuse and maltreatment, as
defined in title six of article six of the social services law OR THE
VULNERABLE PERSONS' CENTRAL REGISTER AS DEFINED IN ARTICLE ELEVEN OF
SUCH LAW, or
(b) any person required to report cases of suspected child abuse or
maltreatment pursuant to subdivision one of section four hundred thir-
teen of the social services law OR TO REPORT CASES OF SUSPECTED ABUSE OR
NEGLECT OF A VULNERABLE PERSON PURSUANT TO SECTION FOUR HUNDRED NINETY-
ONE OF SUCH LAW, knowing that the person is required to report such
S. 7400 77
cases, and with the intent that such an alleged occurrence be reported
to the statewide central register OR VULNERABLE PERSONS' CENTRAL REGIS-
TER.
S 2. Paragraph (h) of subdivision 3 of section 130.05 of the penal
law, as amended by chapter 264 of the laws of 2003, is amended and a new
paragraph (i) is added to read as follows:
(h) a client or patient and the actor is a health care provider or
mental health care provider charged with rape in the third degree as
defined in section 130.25, criminal sexual act in the third degree as
defined in section 130.40, aggravated sexual abuse in the fourth degree
as defined in section 130.65-a, or sexual abuse in the third degree as
defined in section 130.55, and the act of sexual conduct occurs during a
treatment session, consultation, interview, or examination[.]; OR
(I) A RESIDENT OR INPATIENT OF A RESIDENTIAL FACILITY OPERATED,
LICENSED OR CERTIFIED BY (I) THE OFFICE OF MENTAL HEALTH; (II) THE
OFFICE FOR PEOPLE WITH DEVELOPMENTAL DISABILITIES; OR (III) THE OFFICE
OF ALCOHOLISM AND SUBSTANCE ABUSE SERVICES, AND THE ACTOR IS AN EMPLOYEE
OF THE FACILITY. FOR PURPOSES OF THIS PARAGRAPH, "EMPLOYEE" MEANS EITHER
AN EMPLOYEE OF THE AGENCY OPERATING THE RESIDENTIAL FACILITY, WHO
PROVIDES DIRECT CARE SERVICES, CASE MANAGEMENT SERVICES, MEDICAL OR
OTHER CLINICAL SERVICES, HABILITATIVE SERVICES OR DIRECT SUPERVISION OF
THE RESIDENTS IN THE FACILITY IN WHICH THE RESIDENT RESIDES; OR OFFICERS
OR OTHER EMPLOYEES, CONSULTANTS, CONTRACTORS OR VOLUNTEERS OF THE RESI-
DENTIAL FACILITY, WHO KNOW OR REASONABLY SHOULD KNOW THAT THE PERSON IS
A RESIDENT OF SUCH FACILITY; PROVIDED, HOWEVER, "EMPLOYEE" SHALL NOT
INCLUDE A PERSON WITH A DEVELOPMENTAL DISABILITY WHO IS OR WAS RECEIVING
SERVICES AND IS ALSO AN EMPLOYEE OF A SERVICE PROVIDER AND WHO HAS SEXU-
AL CONTACT WITH ANOTHER SERVICE RECIPIENT WHO IS A CONSENTING ADULT WHO
HAS CONSENTED TO SUCH CONTACT.
S 3. The penal law is amended by adding a new section 260.24 to read
as follows:
S 260.24 ENDANGERING THE WELFARE OF AN INCOMPETENT OR PHYSICALLY DISA-
BLED PERSON IN THE SECOND DEGREE.
A PERSON IS GUILTY OF ENDANGERING THE WELFARE OF AN INCOMPETENT OR
PHYSICALLY DISABLED PERSON IN THE SECOND DEGREE WHEN HE OR SHE RECKLESS-
LY ENGAGES IN CONDUCT WHICH IS LIKELY TO BE INJURIOUS TO THE PHYSICAL,
MENTAL OR MORAL WELFARE OF A PERSON WHO IS UNABLE TO CARE FOR HIMSELF OR
HERSELF BECAUSE OF PHYSICAL DISABILITY, MENTAL DISEASE OR DEFECT.
ENDANGERING THE WELFARE OF AN INCOMPETENT OR PHYSICALLY DISABLED
PERSON IN THE SECOND DEGREE IS A CLASS A MISDEMEANOR.
S 4. Section 260.25 of the penal law, as amended by chapter 381 of the
laws of 1998, is amended to read as follows:
S 260.25 Endangering the welfare of an incompetent or physically disa-
bled person IN THE FIRST DEGREE.
A person is guilty of endangering the welfare of an incompetent or
physically disabled person IN THE FIRST DEGREE when he knowingly acts in
a manner likely to be injurious to the physical, mental or moral welfare
of a person who is unable to care for himself or herself because of
physical disability, mental disease or defect.
Endangering the welfare of an incompetent or physically disabled
person IN THE FIRST DEGREE is a class [A misdemeanor] E FELONY.
S 5. The closing paragraph of section 260.32 of the penal law, as
amended by chapter 14 of the laws of 2010, is amended to read as
follows:
S. 7400 78
Endangering the welfare of a vulnerable elderly person, or an incompe-
tent or physically disabled person in the second degree is a class [E] D
felony.
S 6. The closing paragraph of section 260.34 of the penal law, as
amended by chapter 14 of the laws of 2010, is amended to read as
follows:
Endangering the welfare of a vulnerable elderly person, or an incompe-
tent or physically disabled person in the first degree is a class [D] C
felony.
S 7. This act shall take effect on the thirtieth day after it shall
have become a law.
PART H
Section 1. Chapter 606 of the laws of 2011, amending the mental
hygiene law relating to creating an abuse prevention notification
system, is REPEALED.
S 2. Chapter 6 of the laws of 2012, amending chapter 606 of the laws
of 2011, amending the mental hygiene law relating to creating an abuse
prevention notification system, is REPEALED.
S 3. This act shall take effect April 1, 2013.
S 3. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair, or invalidate the remainder thereof, but shall be confined in
its operation to the clause, sentence, paragraph, subdivision, section
or part thereof directly involved in the controversy in which such judg-
ment shall have been rendered. It is hereby declared to be the intent of
the legislature that this act would have been enacted even if such
invalid provisions had not been included herein.
S 4. This act shall take effect immediately provided, however, that
the applicable effective date of Parts A through H of this act shall be
as specifically set forth in the last section of such Parts.
