New York Codes, Rules and Regulations
Title 14 - DEPARTMENT OF MENTAL HYGIENE
Chapter XIV - Office for People With Developmental Disabilities
Part 690 - Day Treatment Services to Persons with Developmental Disabilities
Section 690.4 - Issuance of operating certificate
Universal Citation: 14 NY Comp Codes Rules and Regs § 690.4
Current through Register Vol. 47, No. 12, March 26, 2025
(a) Principles of compliance.
(1) An operating
certificate may be issued to an agency (see glossary) for the operation of a
day treatment facility that meets the requirements of this Part and all other
applicable State and Federal requirements.
(2) An application for an initial operating
certificate, for the renewal of an existing operating certificate, or for
certain program changes shall be submitted in the format and subject to the
review procedures prescribed by OPWDD including, as appropriate, a
certification of need review (see glossary) pursuant to Part 620 of this Title.
(i) A description and rationale for the
facility's staffing pattern shall be submitted as part of the application for
certification. OPWDD shall be notified of any significant changes in the
staffing pattern, job expectations and/or minimum qualifications of the staff
and impact on delivery of services.
(ii) The initial staffing allocation plan
shall contain justification for the staff allocation based on the assessment
and analysis of the needs of the persons served.
(a) Within six months of the issuance of the
initial operating certificate, the facility shall submit to OPWDD a letter
certifying that, based on subsequent assessments of the persons admitted to the
facility, the staffing allocation plan as originally submitted and approved is
adequate to meet the identified needs; or
(b) Any substantial revisions to a facility's
original staffing plan shall be submitted to OPWDD for review and
approval.
(c) If OPWDD discovers
that any portion of the day treatment needs of the persons admitted are not
being met because of inadequate staffing, the facility shall prepare a plan of
correction and implement, in a timely fashion, a staffing allocation plan that
will meet the identified service needs of the admitted persons.
(3) The initial and
renewed operating certificate may be valid for a period of up to three
years.
(4) An operating certificate
shall be issued to a day treatment facility for a specific inspected site and
its approved satellite site(s).
(5)
No day treatment facility may be operated without a valid operating certificate
issued to the agency by OPWDD.
(6)
The current operating certificate shall be maintained at the facility site and
shall be available to anyone requesting to see it. Copies of the operating
certificate showing the approved satellite site(s) shall be available at said
satellite site(s).
(7) The number
of full-time equivalent persons (see glossary) for which the overall facility
(including any satellite sites) has been approved for routine on-site
attendance at any one time, shall be stated on the operating certificate as the
certified capacity (see glossary).
(8) All operating certificates shall remain
the property of OPWDD. Expired, invalidated, revoked or terminated certificates
shall be returned to OPWDD.
(9)
Suspension, revocation or limitation of the operating certificate shall be in
accordance with the provisions of article 16 of the Mental Hygiene
Law.
(10) The certificate holder
shall notify OPWDD of any intention to voluntarily terminate the operation of
the facility at least 60 days prior to anticipated termination. This notice of
intent to voluntarily terminate operation shall include a statement of the
actions which will be taken by the certificate holder:
(i) to assure appropriate referral of persons
being served;
(ii) to preserve the
confidentiality of records; and
(iii) to settle all outstanding debts and
accounts receivable according to the pre-existing individual
agreements.
(11)
Catastrophic termination of operation.
(i) The
commissioner shall be notified immediately of any catastrophe.
(ii) If, through a catastrophe or other
circumstance beyond the facility's control, such as but not limited to fire,
flood or earthquake, the facility is unable to operate as certified for a
period of 60 days, the operating certificate shall be subject to suspension,
revocation or limitation. Such time period shall be extended upon application
to and approval from the commissioner. Such extension shall be granted in a
timely manner based on the documentation that the facility is proceeding in
good faith to reinitiate operation and that satisfactory service alternatives
have been provided for the participants in the interim.
(iii) From the time of such catastrophe, the
agency, in collaboration with the commissioner, shall be responsible for
providing emergency quarters and continuing support to all persons, until such
time as the facility can be made habitable or suitable alternative quarters can
be found. Such requirements shall be contingent upon maintenance of the current
reimbursement agreements.
(12) No operating certificate is transferable
or assignable to any other party or entity.
(b) Standards of certification.
(1) OPWDD shall verify that day-to-day
on-site attendance at the facility (or satellite) has not exceeded its
certified capacity (see section
690.99[k] of this
Part).
(2) OPWDD shall verify that
the facility's current staffing levels correspond to its approved staffing plan
and amendments thereto.
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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