Administrative Law and State

Administrative Procedure Act

Legal Aspects of Health AdministrationFebruary 25, 2015

Robin Dickinson-Sawyer

ObjectivesAdministrative Law and State Administrative Procedure Act(SAPA)

History

Define

Agencies

Intent of Law

Actual

Court Decisions

Effect on Healthcare

HistoryAdministrative Procedure Act (APA)enacted June 11, 1946, is the United States Federal Statute that governs the way in which Administrative Agencies of the federal government may propose and establish regulations

The Act became a law in 1946—Administrative LawUniform Law Commission (ULC)

Model State Administrative Procedure in 1961Expanded in 1981-Revised again in July of 2010 (internet) “Final Act”

Adopted by individuals states

DefinitionAdministrative law

• Type of public law that deals with the rules of government agencies

• Determines the organization, powers and duties of administrative authorities

• Commonly called regulatory law

Substantive Law

• includes those rules and regulations promulgated and enforced by an administrative body according to that body’s area

• Branch of law governing the creation and operation of administrative agencies

• Administrative agencies exist at all levels of government

Agencies • Delegated power by Congress

• Act as agents for the Executive

• Administrative agencies are created to protect a public interest • rather than to vindicate private rights

• Governmental agencies must act within Constitutional parameters.

State Administrative Procedure Act (SAPA) defined to-provided procedures for promulgating administrative regulations -adjudicating disputes before administrative bodies Articles:•Article 1 GENERAL PROVISIONS

•Article 2 RULE MAKING•Article 3 ADJUDICATORY PROCEEDINGS•Article 4 LICENSES•Article 5 REPRESENTATION –

Multiple sections under each article

The regulatory process in the State of New York

• governed primarily by Article 2 of the State Administrative Procedure Act (SAPA)

• process is administered in the Department of Health by the Office of Regulatory Reform.

Legislative Intent of the LawSAPAThe legislature found and declared that the administrative rulemaking, adjudicatory and licensing processes among the agencies of state government:

InconsistentLack uniformity Create misunderstanding by the

public.

Legislative Intent of the LawSAPA • provide the people with simple, uniform administrative procedures,

an administrative procedure

• guarantees that the actions of administrative agencies conform with sound standards

• insures that equitable practices will be provided to meet the public interest

• It is further found that in the public interest it is desirable for state

agencies to meet the requirements imposed by the administrative procedure act

• agencies which will not have to conform to this act have been exempted from the act

ActualSummary of Hearing Rules of Procedure

The New York Department of State's Rules of Procedure for Adjudicatory Proceedings are set forth in Part 400 of 19 NYCRR.

All hearings will be conducted in accordance with the State Administrative Procedure Act. Pertinent provisions are as follows:

All hearings will be commenced on reasonable notice (generally 10 days under our statutes). The notice will apprise the respondent of matters asserted and of any statutes or rules involved. Parties may present written and/or oral argument on any issue.

The department will make a record of all hearing proceedings including a transcript of the hearing and shall furnish a copy of the record or any part thereof to the respondent at cost. All parties have the usual rights of parties in civil proceedings, i.e., to examine and cross-examine witnesses, make objections, etc.

ActualSummary of Hearing Rules of ProcedureJudges

The administrative law judge will preside over the hearing in a fair and impartial manner. Generally, an administrative law judge has the authority of any judge in a civil matter and may order discovery and depositions. The judge rules on the admissibility of evidence and is not bound by strict rules of evidence.

The administrative law judge or other person assigned to render a decision does so by including findings of fact and conclusions of law or reasons for his/her decision. The judge will not consult with any party about his/her decision except upon notice to all parties.

ActualSummary of Hearing Rules of Procedure

The rules require a decision to be made in the format of findings of fact and conclusions of law. Parties may propose findings of fact and the decision will contain a ruling on such findings.

Subpoenas compelling attendance of witnesses or documents may be issued by the administrative law judge or any attorney duly admitted to practice in the State of New York.

Motions may be made to dismiss the complaint upon failure of proof.

ActualSummary of Hearing Rules of Procedure

Every person is entitled to representation and someone who is not a lawyer may represent a respondent. Every representative must file a notice in accordance with Section 166 of the New York State Executive Law on forms to be provided by the department.

A maximum of two adjournments of a hearing may be granted and requests must be made by affidavit addressed to the administrative law judge and must be received no later than three working days prior to the date of the hearing.

All adjudicatory proceedings must be finally disposed of within 150 days of the date of the hearing unless the hearing is adjourned by mutual consent or by request of the respondent; or the time is extended by mutual consent or the New York Secretary of State or administrative law judge makes a written declaration of necessity to extend citing his/her reasons therefor.

Court DecisionsAlcoholism and Substance Abuse Services, Office of1 / Establishment, Incorporation and Certification of Providers of Substance Use Disorder Services (E)3 / Criminal History Information Reviews (E)6 / Patient Rights (E)8 / Credentialing of Addictions Professionals (E)10 / Incident Reporting in OASAS Certified, Licensed, Funded or Operated Programs (E)13 / Integrated Outpatient Services (A)

Children and Family Services, Office of16 / Protection of Vulnerable Persons (E)

Civil Service, Department of18 / Supplemental Military Leave Benefits (A)18 / Jurisdictional Classification (A)

Health, Department of61 / Children’s Camps (E)64 / State Aid for Public Health Services: Counties and Cities (A)66 / Integrated Outpatient Services (A)68 / Accountable Care Organizations (ACOs) (A)70 / Medical Use of Marihuana (P)

Mental Health, Office of73 / Implementation of the Protection of People with Special Needs Act and Reforms to Incident Management (E)76 / Integrated Outpatient Services (A)79 / Medical Assistance Payments for Community Rehabilitation Services Within Residential Programs for Adults, Children, Adolescents (A)

People with Developmental Disabilities, Office for80 / Implementation of the Protection of People with Special Needs Act and Reforms to Incident Management (E)

New York State Department of Health Proposed Rule Making(sample as of Feb 2015)

Amendment of Part 800 of Title 10 NYCRR (Emergency Medical Services)NOTICE OF REVISED RULEMAKING 02/11/2015 03/13/2015Amendment of Subpart 86-10 to Title 10 NYCRR (Rate Rationalization for Community Residences (CRs) / Individualized Residential Alternatives (IRAs) Habilitation and Day Habilitation)SECOND NOTICE OF REVISED RULEMAKING 01/14/2015 02/13/2015Amendment of Subpart 86-11 to Title 10 NYCRR (Rate Rationalization for Intermediate Care Facilities for Persons with Developmental Disabilities (ICF/DDs))SECOND NOTICE OF REVISED RULEMAKING 01/14/2015 02/13/2015Addition of Subpart 80-1 to Title 10 NYCRR (Medical Use of Marihuana)12/31/2014 02/17/2015Amendment of Section 505.2(l) of Title 18 NYCRR (Transgender Related Care and Services) 12/17/2014 02/02/2015Amendment of Subpart 86-10 to Title 10 NYCRR (Rate Rationalization for Community Residences (CRs) / Individualized Residential Alternatives (IRAs) Habilitation and Day Habilitation)NOTICE OF REVISED RULEMAKING 11/19/2014 12/19/2014Amendment of Subpart 86-11 to Title 10 NYCRR (Rate Rationalization for Intermediate Care Facilities for Persons with Developmental Disabilities (ICF/DDs))

Effect on Healthcare

Impacts everything!

99 Agencies in NYS

http://www.ny.gov/agencies

Questions/Observations??

Sources

Showalter, J. (2012). The Anglo-American Legal System. In The Law of Healthcare Administration(Sixth ed., pp. 7-8). Washington: AUPHA Press.

http://www.loc.gov/law/help/administrative.php

http://www.uniformlaws.org/Act.aspx?title=State+Administrative+Procedure+Act,+Revised+Model

https://www.health.ny.gov/regulations/proposed_rulemaking/