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 690.99 - Glossary

(a) Administrator.

A party holding qualified intellectual disability professional (QIDP) status, designated by the governing body to be responsible and accountable for the day-to-day operation of the day treatment facility.

(b) Administrator, assistant.

A party who is a qualified intellectual disability professional (QIDP), who assists the administrator in the daily operation of the program, and serves in place of the administrator in the administrator's absence.

(c) Admission.

The formal acceptance of a person to the day treatment facility, based on the recommendations of an interdisciplinary treatment team whose conclusions are derived from a review of available assessments that are current and acceptable to the team, or on preliminary screenings conducted by qualified professionals during the applicant's enrollment period. The decision to admit allows for an additional 21 working days for staff to develop or complete assessments and prepare the person's initial individual program plan.

(d) Advocate.

For the purposes of this Part, a party chosen to assist the person with the development, implementation, review and revision of the services, support, and activities that the person chooses in order to attain his or personal life goals and the outcomes associated with his/ her individual program plan. The advocate must be 18 years or older and may include an involved parent or other member of the family, legal guardian, friend or member of the community who is not providing direct services to the person pursuant to the individual program plan and who is not employed by an entity providing direct services to the person. However, an ombudsperson at a development center, appointed pursuant to section 13.34 of the Mental Hygiene Law, may also be considered as a person's choice for his/her advocate. The fact that someone is functioning in the role of advocate for a person does not endow that party with any legal authority over the person's affairs unless they also happen to be the adult person's guardian or the parent of a minor.

(e) Agency.

A unit of government, a voluntary not-for-profit corporation, or any other party or organization which intends to establish or operate a day treatment facility for persons with developmental disabilities.

(f) Agency/facility.

As used in this Part, a term used to indicate that the stated requirement needs to be considered in relation to the administrative structure of both the agency and the site- specific facility and acted upon accordingly. This is to be distinguished from the term agency used alone which means the "agent" or operator of a facility operated or certified by OPWDD. In the case of State-operated facilities, the Developmental Disabilities Services Offices (DDSO) is considered to be the "agency."

(g) Assessment.

The process, supervised by appropriately qualified professionals, that identifies the present medical and/or developmental status of a person, including diagnosis; his or her capabilities, capacities and needs; and the conditions that impact upon a person's development. Assessments include, but are not limited to, determination of a person's functional capacities and adaptive behavior using primarily assessment techniques (e.g., interview, observation) and instruments appropriate to the person in question as determined by the assessing clinician, but whenever possible having established empirically reliable and valid norms of performance. All assessments which address at least the physical, mental and psychosocial functioning aspects of a person taken together, analyzed and synthesized by the interdisciplinary treatment team, constitute a comprehensive functional assessment which forms the basis for developing an appropriate individual program plan of therapies, interventions and activities.

(h) Assessment comprehensive functional.

In order to develop a person's individual program plan using an interdisciplinary treatment team process, it is necessary that the interdisciplinary treatment team take into consideration a person's age and the implications for active treatment, and, as part of that process must:

(i) Behavior, adaptive.

Results of an assessment, based on a standardized instrument, if such is deemed appropriate by the facility or clinical staff to the area being assessed, which indicate that a person evidences capabilities which can be enhanced and deficits which can be ameliorated in one or more of the following life activity areas: communication; mobility; learning; independent living; self-care; health care and self-direction.

(j) Body, governing.

That policy making authority, established by the agency, which pursuant to section 702 of the Not-for-Profit Corporation Law and section 702 of the Business Corporation Law, shall consist of at least three individuals that exercises general direction over the affairs of the program and establishes overall policies concerning its operation for the welfare of the persons it serves. In State-operated facilities, the governing body shall be the central office administration of OPWDD.

(k) Capacity, certified.

The number of full-time equivalent persons approved for the day treatment facility (or a certified satellite) to routinely provide day treatment services to on a given day. That number, in terms of a site's (main or satellite) daily physical attendance, may only be exceeded (e.g., as the result of the practice of overbooking to address absenteeism) on a non- routine basis, and as follows:

(l) Commissioner.

The commissioner of the New York State Office for People With Developmental Disabilities, or his or her designee.

(m) Consistent.

Relative to the requirements of section 690.5(e)(1) of this Part, means that whatever program activities the person is receiving from an other than ICF/DD provider are not contrary to, or working at cross purposes to, the activities or interventions, or therapies the person receives at the ICF/DD.

(n) Coordinator, treatment.

A qualified intellectual disability professional (QIDP), designated by the administrator to supervise the implementation of a person's individual program plan, the coordination of day treatment services received by the person, recording of the person's progress, and the initiation of as-needed periodic reviews as required by this Part.

(o) Correspondent.

A party (not on the staff of the day treatment facility or the sponsoring agency) who assists the person in obtaining necessary services and the interdisciplinary team in the treatment planning process. The correspondent also receives notification of significant events in the life of the person as stipulated in this regulation. For persons enrolled in the Home and Community-Based Services Waiver (HCBS), this party is referred to as an "advocate" and is defined in Part 635-99.1 of this Title. Selection of a correspondent is to be made as follows:

(p) Disability, developmental. A developmental disability as defined in section 1.03 (22) of the Mental Hygiene Law.

(q) Enrollment.

The acceptance of an individual by the day treatment facility for a maximum of 10 full or 20 half-day visits (or combination thereof, not to exceed the equivalent of 10 full-day visits), subsequent to the initial contact, during which preliminary screening (see section 690.6[w] of this Part and subdivision [ah] of this section) may be conducted to the extent necessary to justify a decision to formally admit the applicant to the facility.

(r) Facility.

Unless otherwise defined herein, a facility means any place operated or certified by OPWDD in which either residential or non-residential services are provided to persons with developmental disabilities.

(s) Facility, day treatment.

A certified free-standing site (including satellite site[s]) which provides a planned combination of diagnostic, treatment and habilitative services provided to persons with developmental disabilities in need of a broad range of services, but who do not need intensive 24-hour care and medical supervision. Persons provided day treatment will attend regularly. A half-day program covers a period of three to five hours. A full-day program is more than five hours. A partial day treatment visit of at least 90 minutes is available only in collocated day treatment settings (see section 690.1[d][2] of this Part). Day treatment facilities may vary widely in the services offered, the level of disability of persons served, the staffing plan, the program goals and the types and numbers of cooperative agency relationships. A day treatment facility is eligible to participate as a provider in the Medical Assistance Program only if the provider is certified as a day treatment facility by OPWDD to provide services at a specific inspected and certified site.

(t) Facility, residential.

A location, certified by OPWDD, providing persons with room and board and activities, experiences or therapies developed by an interdisciplinary team, to enable the person to live in the least restrictive setting consistent with his or her needs for services.

(u) OPWDD.

The Office for People With Developmental Disabilities and its Developmental Disabilities Services Offices (DDSOs).

(v) Outcomes.

Written statements of the specific identifiable, observable changes in a person's behavior and/or status that are predicted to occur within a specified period as the result of specified activities, therapies, or interventions. Such statements allow appropriate parties to quantitatively and/or qualitatively assess whether the services, activities and interventions have been effective in achieving the specified outcomes.

(w) Person(s)/people.

As used herein, the terms, person(s) andpeople,shall be understood to refer to those who have been admitted to and are receiving allowable day treatment services.

(x) Person(s), full-time equivalent.

One person attending a program for a full day (over five hours) or two persons, each attending a program for a half day (three to five hours), represent a "full-time equivalent person." This designation is used solely for the purpose of determining physical plant capacity of the facility, and not in determining staffing or space needs which must take into account the needs of the people admitted.

(y) Plan, individual program.

A record system, by whatever name known, which documents the process of developing, implementing, coordinating, reviewing and modifying a person's total plan of care. It is maintained as the functional record, indicating all planning as well as services and interventions delivered to the person. It contains, at a minimum, identification data, diagnostic reports, assessments, the comprehensive functional assessment, service plans, medical data, activity schedules, interdisciplinary team minutes and reports, and staff action records. The overall responsibility for maintenance of the individual program plan rests with the treatment coordinator of the person's individual program plan.

(z) Plan, treatment.

A component of the individual program plan which specifies outcomes, records to be kept, those responsible for delivery of activities, interventions and therapies, and review schedules. These written plans of activities, interventions, and therapies are developed on the basis of assessment findings with input of the service providers, the person and, as appropriate, the person's correspondent.

(aa) Policies/procedures or policy/procedure.

As used in this Part, the term indicating the need for appropriate written guidance for staff, whether such guidance is in the form of a policy statement, a policy statement with accompanying procedures, or procedures only. Determination of the nature of the material is that of the agency/facility.

(ab) Preference(s).

As used in this Part, this term refers to a person's self-expression (however indicated) of likes and dislikes, as well as his/her choice or selection of one or more alternatives made available as part of the individual program planning process.

(ac) Professional, qualified.

For the purposes of this Part, qualified professional staff shall mean those who provide care and/or allowable services and who, through training and experience, meet the criteria appropriate for professional designation in their discipline, the accepted standards for community practice, and the specific standards listed in paragraphs (1)-(14) of this subdivision.

Note:

For State-operated day treatment facilities, staff shall meet the current stipulated qualifications mandated by the Department of Civil Service.

(ad) Professional, qualified intellectual disability (QIDP).

Someone holding licensure or certification appropriate to their discipline, and who has specialized training or at least one year of professional experience in treating or working with people with intellectual disability and/or developmental disabilities (see specific qualifications for each discipline under "Professional, qualified").

(ae) QIDP.

A qualified intellectual disability professional.

(af) Review, certification of need.

The process, required by article 16 of the Mental Hygiene Law, and Part 620 of this Title, which requires the commissioner to review and approve new programs or capital expenditures on the basis of need, fiscal viability, character and competence of sponsors and probable conformity with operating standards. With reference to day treatment facilities, this certification of need review is required for each facility that is:

(ag) Satellite.

A physical location separate from the principle certified site where the day treatment facility regularly or periodically delivers allowable services, and which holds appropriate certification from OPWDD. Said location shall include designated space for the delivery of allowable day treatment services, but said space need not be a sole purpose space.

(ah) Screening, preliminary.

An appraisal of an applicant which is completed to the extent necessary to support admission to a day treatment facility but which, due to time limitations, is not as extensive as a comprehensive functional assessment. The process shall result in a definite indication of his or her capacities, capabilities, preferences and needs in the areas of communication, mobility, learning, independent living, self-care, health care and self-direction. Enrollment in a day treatment program, for a maximum of 10 full- or 20 half-day visits (or combination thereof, not to exceed the equivalent of 10 full-day visits) for the purpose of completing necessary screenings prior to formal admission, is permissible.

(ai) Services, allowable.

Day treatment services which are delivered by qualified professionals (see glossary) or appropriately supervised paraprofessional staff or direct care staff, and which include:

(aj) Staff, direct care.

Those who have qualifications appropriate to their assigned responsibilities as set forth in agency/facility written policies, and who provide services under the supervision of qualified professionals.

(ak) Staff, facility.

Those providing professional or support services at the facility site or approved satellite, whether on a full-time, part-time, or consultant basis.

(al) Staff, full-time equivalent.

One staff member working a full day or part-time shift, whose working hours, when added together, equal a full workday. For example, if a physical therapist and an occupational therapist each work one-half day, their combined hours equal a full-time equivalent staff member.

(am) Staff, health care.

Physicians/physician assistants/nurse practitioners, dentists, registered professional nurses or licensed practical nurses; or other staff (including direct care staff) performing services under the supervision of any of a qualified professional health care staff member.

(an) Staff, paraprofessional.

Those who have completed an approved program enabling him/her to function as an aide to assist a professional staff member (e.g., certified occupational therapy aide, physical therapy aide).

(ao) Staff, qualified professional.

(see Professional, qualified)

(ap) Supervision, direct.

The circumstance whereby allowable services are delivered by appropriately qualified parties under the direction and supervision of a qualified professional(s) as defined in this section under "Professional, qualified" with the scope of practice appropriate to the discipline in question.

(aq) Team, interdisciplinary treatment.

The person, his or her correspondent and advocate (if appropriate), constitute an important component of the interdisciplinary treatment team unless the person is an adult capable of objecting to such participation and does so object. In addition, it includes those parties, acting collaboratively, and representing those professions, disciplines and service areas, including direct care staff, which are relevant for identifying a person's needs, designing activities, interventions, and therapies, and which are relevant for a specific person at a given point in time. The team collectively has a role in providing programs and services appropriate to said needs. The interdisciplinary treatment team periodically reviews a person's responses and revises the individual program plan. The interdisciplinary treatment team process includes at least a physician's oversight and the treatment coordinator of the person's individual program plan. Representatives of any other facilities serving the person shall be invited participants in the interdisciplinary team, as shall significant independent service providers.

(ar) Treatment, active.

An active and organized process of service delivery, designed to maximize each person's development and well-being. It has as its aim the implementation of an approach of specialized and generic training, treatment, health services and related services as described in this Part. Nothing shall prohibit the delivery of interventions/therapies through group activities as opposed to individually delivered services. The active treatment process results in an integrated, individually tailored plan of activities, interventions, and therapies directed toward achieving individual specific outcomes (see subdivision [v] of this section) in an environment approximating as closely as possible that of persons without disabilities. Active treatment provided in a day treatment facility does not include services to maintain persons who may be considered generally independent, and who are able to function with little supervision or in the absence of a planned program of targeted activities, interventions and therapies. The active treatment process includes:

(as) Verify - any means including, but not limited to, observation, interview, and the written word that provides OPWDD with a basis for being reasonably assured that a requirement has been met.

(at) Work, contract.

A product or part of a product in terms of specified quantity and/or quality, completed in exchange for monetary consideration, which has been stipulated in an agreement between an agency and a customer/contractor. In contract work situations, persons are typically paid on a piecework or hourly wage basis predicated by the level of productivity, and the agency receives renumeration for administrative and operating expenses.