§ 461-e. Records and reports. 1. Every adult care facility shall
maintain, as public information available for public inspection under
such conditions as the department shall prescribe, records containing
copies of the most recent inspection report pertaining to the facility
that has been issued by the department or social services district or to
the facility.

2. Pursuant to the provisions of article six of the public officers
law, the department shall make available for public inspection copies of
all inspection reports of adult care facilities issued by the
department.

3. Every adult care facility shall:

(a) Post in a prominent position in the facility so as to be
accessible to all residents and to the general public, a summary of the
most recent inspection of such facility performed by the department or a
social services district.

(b) Provide to any resident and each applicant for admission an
opportunity to review the most recent inspection report pertaining to
and issued by the department or social services district to such
facility.

4. (a) Each adult home and residence for adults except those operated
by a social services district shall file an annual financial statement
with the department on or before the fifteenth day of the sixth calendar
month after the close of the facility's fiscal year for which such
report is due, upon forms prescribed by the department and in compliance
with the regulations of the department. Such statement shall clearly set
forth all financial information pertaining to the operation of such
facility in accordance with generally accepted accounting principles,
including but not limited to the following:

(i) revenues and expenses by categories during such fiscal year.

(ii) a balance sheet of the facility as of the end of such fiscal
year, setting forth assets and liabilities at such date, including all
capital, surplus, reserve, depreciation and similar accounts.

(iii) a statement of operations of the facility for such fiscal year,
setting forth all revenues, expenses, taxes, extraordinary items and
other credits or charges.

(iv) the name and address of each of the following persons:

(1) the operator of the facility;

(2) any person who, directly or indirectly, beneficially owns any
interest in the land on which the facility is located;

(3) any person who, directly or indirectly, beneficially owns any
interest in the building in which the facility is located;

(4) any person who, directly or indirectly, beneficially owns any
interest in any mortgage, note, deed of trust or other obligation
secured in whole or in part by the land on which or building in which
the facility is located; and

(5) any person who, directly or indirectly, has any interest as lessor
or lessee in any lease or sub-lease of the land on which or the building
in which the facility is located.

(v) if the facility or any person named in response to subparagraph
(iv) of this paragraph is a partnership, then the name and home address
of each partner.

(vi) if the facility or any person named in response to subparagraph
(iv) of this paragraph is a corporation, other than a corporation whose
shares are traded on a national securities exchange or are regularly
quoted in an over-the-counter market or which is a commercial bank,
savings bank or savings and loan association, then the name and address
of each officer, director, and each principal stockholder and
controlling person of such corporation.

(vii) if any corporation named in response to subparagraph (iv) of
this paragraph is a corporation whose shares are traded on a national
securities exchange or are regularly quoted in an over-the-counter
market or which is a commercial bank, savings bank or savings and loan
association, then the name and address of the principal executive
officers and each director and, if known, each principal stockholder of
such corporation.

(viii) if the facility paid or received an aggregate of five hundred
dollars or more during the fiscal year in connection with transactions
with any person named in response to subparagraph (iv), (v), (vi) or
(vii) of this paragraph or any affiliate of said person, a description
of the transactions, naming the parties thereto and describing the
relationships which require the transactions to be described and the
goods, services, payments or other consideration received by each party
to the transactions. Such facility must make available to the
department, when requested, adequate documentation to support the costs
involved including access to books and records related to such
transactions.

(ix) if known, the nature and amount of any interest in, or
relationship with, any other adult care facility, held by any person
named in response to subparagraph (iv) of this paragraph, or by any
affiliate of such person.

(x) the following definitions shall be applicable to this paragraph
and to any reports filed pursuant to this paragraph:

(1) "affiliate" means:

(A) with respect to a partnership, each partner thereof;

(B) with respect to a corporation, each officer, director, principal
stockholder and controlling person thereof;

(C) with respect to a natural person (a) each member of said person's
immediate family, (b) each partnership and each partner thereof of which
said person or any affiliate of said person is a partner, and (c) each
corporation in which said person or any affiliate of said person is an
officer, director, principal stockholder or controlling person;

(2) "controlling person" of any corporation, partnership or other
entity means any person who has the power, directly or indirectly, to
significantly influence or direct the actions or policies of such
facility. Neither the department nor any employee of the department
shall, by reason of his or her official position, be deemed a
controlling person of any corporation, partnership or other entity;

(3) "immediate family" of any person includes each parent, child,
spouse, brother, sister, first cousin, aunt and uncle of such person
whether such relationship arises by reason of birth, marriage or
adoption;

(4) "principal stockholder" of a corporation means any person who
beneficially owns, holds or has the power to vote, ten percent or more
of any class of securities issued by said corporation.

(xi) together with such other information as may be required by the
department.

Such statement shall be accompanied by an opinion signed by an
independent licensed accountant that such financial statement represents
the financial operations and position of the facility, except such
opinion shall not be required for facilities with a capacity of nine or
less.

(b) The department shall accept in full satisfaction of the provisions
of this subdivision from operators of adult homes and residences for
adults who are required to submit an annual report as a charitable
organization to the secretary of state of the state of New York or are
required to submit to the commissioner of the New York state department
of health an annual report of residential health care facilities, a
certified copy of such report and upon request from the department an
uncertified copy of the financial statement required to be filed with
the department pursuant to the provisions of this subdivision.

(c) The department may examine the books and records of any adult home
or residence for adults to determine the accuracy of the annual
financial statement or for any other reason deemed appropriate by the
department to effectuate the purposes of this section.

(d) The department shall perform on a selected sample of adult homes
and residences for adults, a financial audit as part of the inspection
procedure.

(e) Each enriched housing program shall file financial statements with
the department on at least an annual basis, in accordance with
regulations.

5. The department may promulgate regulations which require each adult
care facility to maintain the following written records and any other
such records, under such conditions and for such time, as may be
prescribed pursuant to such regulations: (i) a chronological admission
and discharge register consisting of a listing of residents registered
in and discharged from such facility by name, age, race or ethnicity,
sex of resident, and place from or to which the resident is registered
or discharged, (ii) a daily census record, (iii) a personal non-medical
record for each resident, including but not limited to, identification
of his or her next-of-kin, family and sponsor, the name and address of
the person or persons to be contacted in the event of an emergency, and
all details of the referral and registration and non-medical
correspondence and papers concerning the resident, (iv) a financial
record for each resident, including but not limited to, copies of all
agreements, resident account records and a current inventory of personal
property being held by the operator.

6. No facts and information retained as part of individual resident
records by an operator of an adult care facility may be released to
anyone other than the resident, the resident's next-of-kin or authorized
representative of the resident, the operator, his employees or agents,
or an employee or designee of the department without the written
permission of the resident.

7. Nothing contained in this section shall be construed or deemed to
require the public disclosure of confidential medical, social, personal
or financial records of any resident. The department shall adopt such
regulations as may be necessary to give effect to the provisions of this
section and to preserve the confidentiality of medical, social, personal
or financial records of residents.

8. Nothing contained in this section shall be construed or deemed to
require the disclosure of the names and addresses or other information
that would identify or tend to identify persons who file complaints with
the department concerning the operation of adult care facilities. This
shall apply to all complaints, regardless of whether the department is
able to substantiate the complaint. Such information shall be deemed to
be confidential and shall only be made available to a district attorney
or police officer conducting a criminal investigation or prosecution
relating to an adult care facility and only upon the written request of
the investigating officer or district attorney; or to a court or to the
presiding officer of an administrative proceeding and the parties to
such proceeding if, with the consent of the persons providing such
information, it is to be utilized by the department or any other state
or local agency or subdivision in such proceeding. If a party is not
provided with the identity of a person providing information in
accordance with the provisions of this section, the fact that such
confidential report was made shall in no way be relied upon by any court
or presiding officer of an administrative proceeding in the course of
reaching a determination in such proceeding. The department shall,
consistent with the provisions of this section, adopt such regulations
as may be necessary to preserve the confidentiality of persons making
such complaints.