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New York Codes, Rules and Regulations (NYCRR)

9 NYCRR 180-1.18

Executive Department

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Revocation and suspension of operating certificates

Source version current through Jul 31, 2022

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NYCRR title agency
Executive Department
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Source version current through
Jul 31, 2022
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Sep 13, 2026
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Jul 31, 2022
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Sep 13, 2026
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Related Register notice
CFS-15-18-00007-A · Adopted rule
Related notice published
Jul 25, 2018
Related notice effective date
Jul 25, 2018

New York State Register CFS-15-18-00007-A

(a)General.

No operating certificate shall be revoked or suspended, nor shall an application for renewal of an operating certificate be denied, without a hearing held in accordance with procedures established in this Part; except that an operating certificate may, nevertheless, be temporarily suspended or limited without a hearing for a period not in excess of 30 days upon a finding by the division that the public health, or an individual's health, safety or welfare are in imminent danger.

(b)Notice of hearing.

A notice of hearing shall be served, in person or by registered mail addressed to the facility, at least 21 days prior to the date of hearing. The hearing shall be held within 30 days of mailing the notice of hearing. The notice shall specify the time and place of hearing, the proposed action, and the charges which are the basis for the proposed action. The charges shall specify the statutes, regulations of the division, or other applicable requirements of law with which the facility failed to comply, and a brief statement of the facts pertaining to such noncompliance.

(c)Answer.

An answer to the charges, in writing, may be filed with the division not less than eight days prior to the date of hearing.

(d)Hearing officer.

The hearing shall be conducted by a hearing officer, appointed by the division for such purpose, who has not been previously involved in the case. He shall have authority to administer oaths, issue subpoenas, require the attendance of witnesses and the production of records, rule upon requests for adjournment, rule upon offers of evidence, and to otherwise regulate the hearing, preserve requirements of due process and effectuate the purposes and provisions of applicable law, in accordance with the State Administrative Procedure Act.

(e)Hearing procedures.
(1)The hearing officer shall preside and shall make all procedural rulings.
(2)The rules of evidence as applied in courts of law shall not apply, except that all evidence shall be relevant and material.
(3)All testimony shall be given under oath.
(4)The hearing shall be recorded verbatim.
(5)The facility shall be entitled to be represented by an attorney-at-law or other representative of its choice at its own expense, to have witnesses give testimony and to otherwise present relevant and material evidence on its behalf, to cross-examine witnesses, and to examine any document or item offered into evidence.
(f)The decision.
(1)Upon conclusion of the hearing, the hearing officer shall make recommended findings of fact and conclusions of law, and shall make a recommended decision. He shall transmit such recommendations to the division, as expeditiously as possible, in a written report which shall be made part of the record, together with the notice of hearing, the answer, the verbatim transcript of the hearing, all documents marked into evidence at the hearing or otherwise designated as part of the record by the hearing officer.
(2)The decision of the division shall be based exclusively upon consideration of the record. The division shall not, however, be bound by the hearing officer's recommendations, but may adopt, reject or modify such recommendations, in whole or in part, as may be appropriate to its considered judgment of the record.
(3)The division shall expeditiously render a decision, in writing, which shall include findings of fact and conclusions of law, and a copy of such decision shall be mailed to the facility and to its attorney or other designated hearing representative.
(4)In the event the decision is adverse to the facility, the copy of the decision shall be sent together with a notice of the right to judicial review in accordance with the provisions of article 78 of the Civil Practice Law and Rules.
(g)Denial of an application for initial operating certificate.

Upon the denial of an application for an initial operating certificate, the applicant may request a hearing. The division is required to grant a hearing upon such request in accordance with the procedures in this Part. The hearing shall be held within 30 days of the division's receipt of the request, subject to the authority of the hearing officer to grant reasonable adjournments. In the event that the request is denied, the applicant shall be notified in writing, together with a notice of the right to judicial review in accordance with the provisions of article 78 of the Civil Practice Law and Rules.

(h)Termination of operating certificate; temporary extension; retroactive issuance.
(1)The division shall extend the duration of an operating certificate for a temporary period, as may be appropriate, when the period of validity of an operating certificate terminates during the course of a hearing, and pending the hearing decision.
(2)In the event that an operating certificate terminates without the issuance of a renewal certificate, as a result of administrative error or delay by the division, the renewal certificate, when issued, shall be made effective as of the date of termination of the prior certificate; and the facility shall be considered as having been operated under a valid operating certificate during the interval between termination of the prior certificate and issuance of the current certificates.
(3)The division may extend the duration of the period of validity of an operating certificate for a temporary period, under such terms and conditions as may be appropriate, whenever such extension may be required to adequately protect the health, safety or welfare of the residents of a facility.

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