N.Y. Mental Hygiene Law § 16.11: Oversight of facilities and services

§ 16.11 Oversight of facilities and services. (a) The commissioner shall

provide for the oversight of facilities and providers of services

holding operating certificates pursuant to section 16.03 of this article

and shall provide for the annual review of such facilities and providers

in implementing the requirements of the office and in providing quality

care and person centered and community based services.

(1) The review of facilities issued an operating certificate pursuant

to this article shall include periodic visitation and review of each

facility. Reviews shall be made as frequently as the commissioner may

deem necessary but in any event such inspections shall be made on at

least two occasions during each calendar year which shall be without

prior notice, provided, however, that where, in the discretion of the

commissioner, an operating certificate has been issued to a program with

a history of compliance and a record of providing a high quality of

care, the periodic inspection and visitation required by this

subdivision shall be made at least once during each calendar year

provided such visit shall be without prior notice. Areas of review shall

include, but not be limited to, a review of a facility's: physical

plant, fire safety procedures, health care, protective oversight, abuse

and neglect prevention, and reporting procedures.

(2) The review of providers of services, as defined in paragraph four

of subdivision (a) of section 16.03 of this article, shall ensure that

the provider of services complies with all the requirements of the

applicable federal home and community based services waiver program, or

other successor Medicaid waiver program, and applicable federal

regulation, subdivisions seven and seven-a of section three hundred

sixty-six of the social services law and rules and regulations adopted

by the commissioner.

(3) The review of providers of services, as defined in paragraph five

of subdivision (a) of section 16.03 of this article, shall ensure that

the provider of services complies with all the requirements of the

applicable federal regulations and rules and the regulations adopted by

the commissioner.

(b) The commissioner shall have the power to conduct investigations

into the operations of any provider of service, person or entity which

holds an operating certificate issued by the office, into the operation

of any facility, service or program issued an operating certificate by

the office and into the operations, related to the provision of services

regulated by this chapter, of any person or entity providing a residence

for one or more unrelated persons with developmental disabilities.

(c) In conducting a review or investigation, the commissioner or his

or her authorized representative shall have the power to inspect

facilities, conduct interviews of clients, interview personnel, examine

and copy all records, including financial and medical records of the

facility or provider of services, and obtain such other information as

may be required in order to carry out his or her responsibilities under

this chapter.

(d) In conducting any review or investigation under this chapter, the

commissioner or his or her authorized representative is empowered to

subpoena witnesses, compel their attendance, administer oaths to

witnesses, examine witnesses under oath, and require the production of

any books or papers deemed relevant to the investigation, inspection, or

hearing. A subpoena issued under this section shall be regulated by the

civil practice law and rules.

(e) The supreme court may enjoin persons or entities subject to review

or investigation pursuant to this article to cooperate with the

commissioner and to allow the commissioner access to providers of

services, facilities, records, clients and personnel as necessary to

enable the commissioner to conduct the review or investigation.

(f) All inspections and investigations shall be made by persons

competent to conduct such activities. Information obtained by the

commissioner in the course of such inspections and investigations shall

be kept confidential in accordance with the provisions of this chapter

and other applicable provisions of law.