N.Y. Comp. Codes R. & Regs. tit. 14, § 687.4 – Certification and recertification.

(1) No provider of services shall engage in the operation of a family care home without an operating certificate issued by the commissioner.
(2) The operation of a family care home shall be in accordance with the terms of the operating certificate, the regulations of the commissioner, and any other applicable statute or regulation.
(3) Any family care home operator who knowingly fails to comply with any applicable statute shall be guilty of a misdemeanor.
(4) Operating certificates shall be valid up to a three-year period, at the discretion of OPWDD, as shall be expressly provided upon such certificate or renewal thereof.
(5) No application fee shall be required for an application for issuance or renewal of an operating certificate.
(6) Operating certificates are not transferable to other persons or locations.
(7) An operating certificate of a family care provider shall be revoked upon a finding by OPWDD that any individual to whom an operating certificate has been issued has been convicted of a class A, B or C felony.
(8) The certified capacity (see section 687.11 of this Part) of the family care home shall be stated on the operating certificate, and shall not be exceeded.
(b) Certification.
(1) Application for an operating certificate shall be made upon the forms and in the format prescribed by OPWDD.
(2) Application shall be made by the party or parties responsible for operation of the family care home.
(3) Operating certificates shall be issued only to natural persons age 21 or older, and corporations for profit shall not be formed under the Business Corporation Law for any such purpose.
(4) Applications shall be in writing, shall be verified and shall contain such information as is required by OPWDD. The application process shall reflect the requirements of sections 633.5, 633.22, and 633.24 of this Title.
(5) The application process shall include a request by the sponsoring agency that the Justice Center for the Protection of People with Special Needs (Justice Center) check the Staff Exclusion List (SEL) for the family care provider and all parties age 18 and older who are to reside in the family care home (except for individuals receiving family care services).
(6) The application process shall also include a request by the sponsoring agency that the Justice Center conduct a criminal history record check for the family care provider and all parties age 18 years and older who are to reside in the family care home (except for individuals receiving family care services). (See section 633.22 of this Title for requirements and procedures.)
(7) The application process shall include a request by the sponsoring agency to the Statewide Central Register of Child Abuse and Maltreatment (SCR) as to whether the family care provider and all parties age 18 years and older (except for individuals receiving family care services) who are to reside in the family care home are the subject of an indicated report of child abuse or maltreatment.
(8) No operating certificate shall be issued by the commissioner unless there is satisfaction as to:
1. (i) the need for the family care home;
2. (ii) the character, competence and standing in the community of the party or parties responsible for operating the family care home;
3. (iii) the adequacy of the financial resources of the applicant and the stability of sources of future revenues;
4. (iv) the adequacy of the premises, equipment and applicant to provide the services which would be authorized by the operating certificate;
5. (v) the adequacy of arrangements made with other providers of services for the provision of health, habilitation, day programs, education, sheltered workshop, transportation or other services as may be necessary and appropriate to meet the needs of individuals who will reside in the family care home;
6. (vi) the review of any criminal history record information received concerning the family care provider and all parties age 18 years and older who are to reside in the family care home, except for individuals receiving family care services;
7. (vii) the review of any information received from the Justice Center as a result of the SEL check(s);
8. (viii) the review of any information received as a result of the SCR check(s); and
9. (ix) such other matters as the commissioner shall deem pertinent in the public interest.
(9) The commissioner may disapprove an application for an operating certificate, may authorize fewer services than applied for, and may place limitations or conditions on the operating certificate, including but not limited to compliance with a time-limited plan of correction of any deficiency which does not threaten the health or well-being of any individual. In such cases the applicant shall be given an opportunity to be heard at a public hearing if he or she so requests.
(10) The commissioner shall specify on each operating certificate the kind or kinds of services authorized, any limitations or conditions of the certificate and the expiration date of the certificate.
(11) Except as provided in paragraph (10) of this subdivision, no family care home shall be issued an operating certificate for the purpose of providing suitable care therein to more than six persons.
(12) Any provider of services providing family care to more than six persons on July 1, 1975 shall be issued an operating certificate for a family care home effective April 1, 1977, pursuant to the provisions of this Part, provided that such person fulfills all requirements of this Part except for the number of persons in care, and that such person agrees to provide family care to no more than 10 persons on and after April 1, 1977.
(c) Recertification.
(1) No operating certificate shall be renewed by the commissioner unless there is satisfaction as to:
1. (i) the adequacy of the financial resources of the applicant and the stability of sources of future revenues;
2. (ii) the adequacy of the premises, equipment and applicant to provide the services which would be authorized by the operating certificate;
3. (iii) the adequacy of arrangements made with other providers of services for the provision of health, habilitation, day programs, education, sheltered workshop, transportation or other services as may be necessary and appropriate to meet the needs of individuals who will reside in the family care home;
4. (iv) the review of any criminal history record information received from a criminal history record check, if one had not been previously conducted, concerning:
  1. (a) the family care provider; and
  2. (b) all parties age 18 years or older residing in the family care home (except for individuals receiving family care services); and
5. (v) such other matters as the commissioner shall deem pertinent in the public interest.

(a) General provisions.