New York Codes, Rules and Regulations
Title 9 - EXECUTIVE DEPARTMENT
Subtitle Y - New York State Office for the Aging
Chapter IV - Long-term Care Ombudsman Program
Part 6660 - Long-term Care Ombudsman
Section 6660.3 - Conflicts of Interest

Universal Citation: 9 NY Comp Codes Rules and Regs ยง 6660.3

Current through Register Vol. 46, No. 12, March 20, 2024

(a) Identification of organizational conflicts of local ombudsman entities.

In identifying conflicts of interest, the state ombudsman shall consider the organizational conflicts of local ombudsman entities that may impact the effectiveness and credibility of the work of the ombudsman program. Entities with organizational conflicts of interest include, but are not limited to , those that:

(1) are responsible for licensing, surveying, or certifying long-term care facilities;

(2) are associations (or affiliates of such associations) of long-term care facilities, or of any other residential facilities for older individuals or individuals with disabilities;

(3) have any ownership or investment interest (represented by equity, debt, or other financial relationship) in, or receive grants or donations from, a long-term care facility;

(4) have governing board members with any ownership, investment or employment interest in long-term care facilities;

(5) provide long-term care to residents of long-term care facilities, including the provision of personnel for long-term care facilities or the operation of programs which control access to or services for long-term care facilities;

(6) provide long-term care coordination or case management for residents of long-term care facilities;

(7) set reimbursement rates for long-term care facilities;

(8) provide adult protective services;

(9) are responsible for eligibility determinations regarding Medicaid or other public benefits for residents of long-term care facilities;

(10) conduct preadmission screening for long-term care facility placements;

(11) make decisions regarding admission or discharge of individuals to or from long -term care facilities; or

(12) provide guardianship, conservatorship or other fiduciary or surrogate decision-making services for residents of long-term care facilities.

(b) Removing or remedying organizational conflicts of interest of local ombudsman entities.

(1) Prior to the designation of a local ombudsman entity or renewing the designation of a local ombudsman entity, the state ombudsman shall:
(i) require that such entities disclose identified conflicts of interest;

(ii) take reasonable steps to identify conflicts of interest in any local ombudsman entity.

(iii) require that such entities describe steps taken to remove or remedy conflicts of interest.

(2) For existing local ombudsman entities, the state ombudsman shall:
(i) establish a process for periodic review and identification of conflicts of interest with the local ombudsman entities.

(ii) establish an approval process for plans of local ombudsman entities to remove or remedy conflicts of interest.

(3) Each local ombudsman entity shall:
(i) take reasonable steps to avoid conflicts of interest;

(ii) establish a process for periodic review and identification of conflicts of interest;

(iii) establish a plan for removing or remedying any conflict of interest; and

(iv) disclose identified conflicts and steps taken to remove or remedy conflicts to the state ombudsman for review and approval.

(c) Identifying individual conflicts of interest.

(1) In identifying conflicts of interest, the state ombudsman shall consider individual conflicts that may impact the effectiveness and credibility of an individual to perform the work of the ombudsman program.

(2) Individual conflicts of interest for an ombudsman or members of their immediate family include, but are not limited to:
(i) direct involvement in the licensing or certification of a long-term care facility;

(ii) ownership, operational, or investment interest (represented by equity, debt, or other financial relationship) in an existing or proposed long-term care facility;

(iii) employment of an individual by, or participation in the management of, a long -term care facility in the service area or by the owner or operator of any long-term care facility in the service area;

(iv) receipt of, or right to receive, directly or indirectly, remuneration (in cash or in kind) under a compensation arrangement with an owner or operator of a long-term care facility;

(v) accepting gifts or gratuities of significant value from a long-term care facility or its management, a resident or a resident representative of a long-term care facility in which the ombudsman provides services (except where there is a personal relationship with a resident or resident representative which is separate from the individual's role as ombudsman);

(vi) accepting money or any other consideration from anyone other than an entity approved by the state ombudsman, for the performance of an act in the regular course of the duties of the ombudsman without state ombudsman approval;

(vii) serving as guardian, conservator or in another fiduciary or surrogate decision-making capacity for a resident of a long-term care facility in which the ombudsman provides services; and

(viii) serving residents of a facility in which an immediate family member resides.

(d) Removing or remedying individual conflicts.

(1) When considering the appointment or recommendation for appointment of an individual as an ombudsman, the state ombudsman and the local ombudsman entity shall:
(i) take reasonable steps to avoid appointing an individual who has an unremedied conflict of interest or who has a member of the immediate family with an unremedied conflict of interest;

(ii) take reasonable steps to avoid assigning an individual to perform duties which would constitute an unremedied conflict of interest;

(iii) take steps to remove or remedy conflicts; and

(iv) establish a process for periodic review and identification of conflicts of ombudsmen.

(2) In no circumstance shall the state ombudsman or a local ombudsman entity appoint or employ as an ombudsman an individual who:
(i) has direct involvement in the licensing or certification of a long-term care facility;

(ii) has an ownership or investment interest (represented by equity, debt, or other financial relationship) in a long- term care facility. Divestment within a reasonable period may be considered an adequate remedy to this conflict;

(iii) receives, directly or indirectly, remuneration (in cash or in kind) under a compensation arrangement with an owner or operator of a long-term care facility; or

(iv) is employed by, or participating in the management of, a long-term care facility.
(a) the state ombudsman and local ombudsman entities shall make efforts to avoid appointing or employing as an ombudsman an individual who has been employed by or participated in the management of a long-term care facility within the previous twelve months.

(b) where such individual is appointed or employed, the State ombudsman and the local ombudsman entity shall take steps to remedy the conflict.

(e) Failure of an o mbudsman or local ombudsman entity to disclose a conflict to the state ombudsman, or an inability to adequately remove or remedy a conflict shall constitute grounds for refusal, suspension, or removal of designation of the ombudsman or local ombudsman entity by the state ombudsman.

Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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