New York Codes, Rules and Regulations
Title 14 - DEPARTMENT OF MENTAL HYGIENE
Chapter XIII - Office of Mental Health
Part 551 - Prior Approval Review For Quality And Appropriateness
Section 551.6 - Projects subject to prior approval review

Universal Citation: 14 NY Comp Codes Rules and Regs ยง 551.6

Current through Register Vol. 46, No. 39, September 25, 2024

(a) All projects subject to prior approval review will be classified as comprehensive review projects or E-Z PAR review projects. If a project consists of two or more components that fall within separate classifications, the entire project shall be reviewed under the classification that affords reviewers the most time for review pursuant to section 551.9(b) of this Part. All time frames referenced within this section shall begin upon receipt of the project application by the Office of Mental Health.

(b) Projects classified as comprehensive review projects pursuant to this Part include:

(1) establishment of a new program by an applicant who is not currently licensed by the Office of Mental Health or who has been licensed for less than six months;

(2) establishment of licensed psychiatric inpatient beds, or expansion or reduction of licensed psychiatric inpatient beds by at least 15 percent of the licensed capacity of that site or by more than 10 beds, whichever is less;

(3) change of sponsor of a program licensed by the Office of Mental Health, where the new sponsor does not currently operate a program licensed by the Office of Mental Health or has been licensed for less than six months;

(4) closure of a licensed psychiatric inpatient program;

(5) capital projects that are part of a comprehensive PAR or projects that exceed $600,000 or a dollar amount determined by the commissioner based upon average construction cost increases subsequent to 2010; and

(6) a project otherwise eligible for E-Z PAR review that is reclassified as a comprehensive review project pursuant to section 551.9(c) of this Part.

(c) Projects classified as E-Z PAR review projects pursuant to this Part include:

(1) outpatient program projects submitted by an applicant who currently operates one or more programs that are currently licensed by the Office of Mental Health, including:
(i) establishment of a new outpatient program;

(ii) establishment of a new satellite;

(iii) relocation of a licensed outpatient program or satellite to a location outside of the county in which such program or satellite is currently located;

(iv) expansion or reduction of caseload or annual volume of services in a clinic treatment program over any contiguous 12-month period by more than 25 percent;

(v) expansion or reduction of the approved caseload or capacity of an outpatient program, excluding clinic treatment programs, over any contiguous 12-month period by more than 10 percent;

(vi) closing an outpatient program;

(vii) closing of an outpatient satellite with greater than 5.5 full-time equivalent staff;

(viii) substantial change in population served, services provided, or program type; and

(ix) other projects that may have a substantial impact on outpatient mental health services;

(2) licensed housing projects submitted by an applicant who currently operates a program which has been licensed by the Office of Mental Health, including:
(i) expansion or reduction of licensed capacity;

(ii) relocation of licensed housing, including community residences, crisis residences, single room occupancy residences;

(iii) establishment of licensed housing operated by a business corporation or limited liability company;

(iv) establishment of licensed housing not selected through the Office of Mental Health's request for proposal (RFP) process;

(v) closure of licensed housing programs; and

(vi) development of a community residence capital project costing above $250,000;

(3) inpatient projects that involve:
(i) expansion or reduction of licensed psychiatric inpatient beds by greater than five percent and not more than 15 percent, or by a maximum of 10 beds, whichever is less; and

(ii) request for waiver requiring the admission of individuals in emergencies pursuant to section 9.39 of the Mental Hygiene Law as provided in section 31.04 of the Mental Hygiene Law and section 551.12(b) of this Part;

(4) change of sponsor of a program currently licensed by the Office of Mental Health where the new sponsor currently operates a program which has been licensed by OMH for at least six months and is in substantial compliance with Office of Mental Health standards, as determined by the office;

(5) significant change in the terms and conditions of an operating certificate such as program type, population served, special populations served, services or hours of operation by the licensed program or by a discrete component of the licensed program;

(6) capital project costing under $600,000 and above $250,000, or a dollar amount determined by the commissioner based on average construction cost increases subsequent to 2010, for an existing or proposed program;

(7) a project proposing change in ownership of 10 percent or more of the stock of a business corporation pursuant to Part 573 of this Title; and

(8) a project otherwise eligible for an administrative action that is reclassified as an E-Z PAR review project pursuant to section 551.9(c) of this Part.

(d) Projects classified as administrative action do not require the submission of a prior approval review application under this Part. However, the following projects require the submission of information, in a form and format designated by the office, prior to the implementation of a proposed action. Administrative action includes:

(1) capital projects costing under $250,000 for an existing or proposed program which have demonstrated a source of funding for the project;

(2) changes in the operation of a licensed program that do not require E-Z PAR review or comprehensive review under this Part, including but not limited to:
(i) expansion or reduction of inpatient capacity of less than five percent or less than 10 beds, whichever is less;

(ii) expansion or reduction of a clinic treatment program's caseload or volume of services between 10 percent and 25 percent over a recent contiguous 12-month period;

(iii) expansion or reduction of an outpatient program's annual capacity, excluding clinic treatment, up to 10 percent over any contiguous 12-month period;

(iv) minor change in terms and conditions of an operating certificate such as authorized services, population served or days and hours of operation that do not change the overall terms and conditions of the license;

(v) program consolidation with no major program expansion or reduction;

(vi) utilization of a management contract;

(vii) utilization of a clinical services contract; and

(viii) change of satellite location to a full program;

(3) changes in the location of a licensed program that involve:
(i) relocation of an existing outpatient program or satellite within the area currently served by the program or within a service area defined by the local governmental unit;

(ii) relocation of a part of an existing program to establish a satellite location within the area currently served by the program that does not expand the capacity, caseload or volume of services; and

(iii) consolidation of programs or satellite locations without substantial reduction in the overall capacity, caseload, volume of services, or area served by the program;

(iv) closure of an outpatient satellite with 5.5 full-time equivalent staff or less;

(4) transfer of less than 10 percent of the stock of a business corporation or company that does not substantially change the ownership and control of the corporation pursuant to Part 573 of this Title;

(5) approval of a certificate of incorporation or amendment pursuant to subdivision (e) of this section; and

(6) actions pertaining to licensed programs or proposed programs in response to emergency situations.

(e) An application of a project pertaining to a certificate of incorporation as defined in the Not-for-Profit Corporation Law or the Business Corporation Law that requests approval of the certificate by the commissioner shall be reviewed in accordance with the following:

(1) A certificate of incorporation may include, among the powers or purposes of the corporation, operation of one or more facilities, programs, or services that requires an operating certificate from the Office of Mental Health. If the corporation has not been issued such operating certificate, the request for approval of the certificate of incorporation shall be included within the application for a project classified in subdivisions (b) and (c) of this section.

(2) A certificate of incorporation may include, among the powers or purposes of the corporation, operation of one or more facilities, programs, or services that require an operating certificate from the Office of Mental Health. If the corporation has been issued such operating certificate and the proposed change to the certification of incorporation does not substantially affect the powers or purposes for which the operating certificate was issued, the request for approval shall be classified as an administrative action pursuant to subdivision (d) of this section.

(3) A certificate of incorporation may include, among the powers or purposes of the corporation, the solicitation of contributions specifically for operation of one or more facilities, programs, or services that require an operating certificate from the Office of Mental Health. If the certificate of incorporation does not include the power or purpose to operate such facility, program, or service, the request for approval shall be classified as an administrative action pursuant to subdivision (d) of this section.

(4) A certificate of incorporation that does not include among the powers or purposes of the corporation the operation of a facility, program, or service that requires an operating certificate from the Office of Mental Health, or that includes solicitation of contributions specifically for such purpose, shall not require submission or review pursuant to this Part.

(f) As part of an administrative action review, the Office of Mental Health may determine that the scope or impact of the proposed action is substantial and, therefore, shall require the submission of a PAR application pursuant to subdivision (a) of this section. The Office of Mental Health will notify applicant of such determination.

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