New York Codes, Rules and Regulations
Title 18 - DEPARTMENT OF SOCIAL SERVICES
Chapter II - Regulations of the Department of Social Services
Subchapter D - Adult-Care Facilities
Part 491 - Shelters For Adults
Section 491.3 - Operational plans

Universal Citation: 18 NY Comp Codes Rules and Regs ยง 491.3

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

(a) A social services district may be reimbursed from State or State-administered grants or funds for costs incurred for shelter and services provided by a shelter for adults, a small-capacity shelter, or a shelter for adult families where such facilities are operated in accordance with both the requirements of this Part and with operational plans approved by the office pursuant to this section, and where such facilities have been issued operating certificates pursuant to section 491.4 of this Part. A separate operational plan must be submitted by the social services district for each shelter for adults, a small-capacity shelter or a shelter for adult families for which the social services district seeks reimbursement or makes payments to from State or State-administered grants or funds.

(b) Preliminary approval.

Prior to the submission of an operational plan for a shelter for adults, a small-capacity shelter, or a shelter for adult families, a social services district must obtain the preliminary approval of the office for the establishment of such facility. For acquisition, construction or operation of a new facility, a social services district must submit a request for preliminary approval prior to entering any binding commitments for the acquisition of the property, for construction, for financing or for operation of the facility. The office must advise the social services district in writing of its approval or disapproval of an application for preliminary approval within 30 days of receipt of the plan except if it determines that additional information is required, in which case the office must advise the social services district in writing within 30 days of receipt of the additional information of its approval or disapproval of the application.

(1) Preliminary approval to establish a shelter for adults, a small-capacity shelter, or a shelter for adult families will be granted only to a social services district that demonstrates and documents, on forms and in a manner prescribed by the office:
(i) that there exists sufficient need for the establishment of the facility, including but not limited to a description of the number of homeless individuals and homeless adult families in the district, the vacancy rate for low income housing in the district, the geographic location of the shelter and the type of population to be served by the shelter;

(ii) that the costs of development, including, but not limited to, acquisition, construction/rehabilitation, professional fees, including legal and architectural fees, and financing costs, are reasonable as determined by the office; and

(iii) how the proposed facility will be included in the district's overall plan for providing emergency shelter to homeless individuals and families in receipt of temporary housing assistance.

(2) A social services district"TMs failure to submit a timely and complete application for the preliminary approval of the establishment of a shelter for adults, a small-capacity shelter or a shelter for adult families, or the failure to obtain such approval from the office, including but not limited to approval of the costs of the development of the facility, consistent with the standards developed by the office, may result in the denial of all or part of any available reimbursement for the operation of the facility under this Part.

(c) Operational plan requirements.

(1) For shelters for adults, small-capacity shelters, and shelters for adult families, the operational plan must provide the following information:
(i) name and location of the facility;

(ii) name and address of the entity which will operate the facility;

(iii) names, addresses and occupations of the members of the board of directors, if the operator is a corporation;

(iv) name and address of the owner of the land and premises, if other than the operator;

(v) financial resources and sources of future revenue of the facility;

(vi) a financial statement for the facility's most recently completed fiscal year where available, or a financial statement for the facility operator's most recently completed fiscal year, as required by section 491.24 of this Part;

(vii) a proposed one-year budget, including estimated income and expenditures, on forms and in a manner prescribed by the office as required by section 491.24 of this Part. Such proposed budget must set forth the amount reasonable and necessary to operate and maintain the shelter;

(viii) admissions policies and procedures;

(ix) policies and procedures ensuring access by legal representatives and legal counsel to their clients who are residents of the facility;

(x) plan for health services, including any arrangements with accredited medical institutions, clinics or providers for the referral of residents for routine and for emergency treatment and care. In addition, if medical supplies are to be stored at the facility or refrigeration is to be provided for personal medical supplies of residents, the arrangements for safekeeping and refrigeration of such medical supplies must be specified;

(xi) procedures for assisting residents in making application for public benefits such as, but not limited to, public assistance, medical assistance (MA), Supplemental Nutrition Assistance Program (SNAP) benefits, Supplemental Security Income (SSI), or unemployment benefits;

(xii) facility staffing schedules and a description of each position, including job duties, and qualifications;

(xiii) bathroom arrangements, including the number of toilets, sinks and showers;

(xiv) food service arrangements. If a food service provider is used, written evidence of such arrangement must be included. If food is prepared onsite, provide the number of refrigerators, stoves, and microwaves. A description of the dining area and the number of chairs, tables and seating must also be included;

(xv) physical structure, including land, buildings and equipment, certificate of occupancy and building descriptions including type of construction, planned renovations, and room layouts with dimensions;

(xvi) documents sufficient to show that the facility will be in compliance with all State and local laws, regulations, and codes as specified in section 491.6 of this Part;

(xvii) procedures for the routine and preventative maintenance of the facility and its grounds including utility and building systems such as electric, water, gas, heat, ventilation, plumbing, sewage, air-conditioning if provided, elevators if any, and basic building components including foundations, walls, roofs, stairs, ceilings, floors, floor coverings, doors, and windows, and any preventative maintenance contracts, insurance contracts or warranties pertaining to such building systems or components;

(xviii) resident capacity;

(xix) resident rules and rights;

(xx) procedures for informing residents of their rights as residents and a listing of said rights;

(xxi) procedures for handling involuntary discharges and transfers;

(xxii) description of any other programs that are operating in the building and copies of the applicable licenses and certifications for programs operating in the building for the benefit of shelter residents;

(xxiii) procedures and environmental safeguards designed to ensure the well-being and safety of residents if the shelter facility is in the same building or on the same premises where another program is or will be operated; such procedures must indicate the circumstances under which common staff or joint services will be utilized; and procedures for safeguarding the confidentiality of medical records concerning residents of the shelter;

(xxiv) facility leave and resident absence policy;

(xxv) a description of the community services available to the shelter population including public transportation, parks and recreation areas, medical and mental health services, restaurants and stores;

(xxvi) procedures for advising residents of the conduct or activities for which temporary housing assistance may be discontinued as provided in section 352.35 of this Part;

(xxvii) procedures which describe the facility's responsibilities in relation to the social services district's requirements for discontinuing temporary housing assistance, including notification to the social services district of acts which may be grounds for the discontinuance of temporary housing assistance;

(xxviii) procedures for providing shelter residents with services including, at a minimum, those set forth in section 491.14 of this Part. If any services are provided off site, the name, location, contact information, and description of the service provider must be included;

(xxix) procedures for safeguarding residents' personal funds, property and items of value pursuant to section 491.13 of this Part;

(xxx) procedures for handling resident complaints and grievances, including those filed anonymously; and

(xxxi) such other information as may be requested by the office.

(2) An operator who proposes to serve a population with particular needs, for example, the elderly, persons with mental illnesses, persons with physical disabilities, persons with substance use disorders, or persons re-entering the community from incarceration, shall demonstrate an ability to provide the services and supports necessary to appropriately serve that population.

(3) Security plan. In addition to the requirements contained in paragraph (1) of this subdivision, the operational plan for each shelter for adults, small-capacity shelter and shelter for adult families shall contain a plan for the shelter to provide security and help ensure the physical safety of residents and staff, which addresses, among other things:
(i) measures taken to control access to the shelter, including but not limited to admittance procedures in place for persons entering the facility, the installation and use of safety locks on exit and entry doors, and the use of security devices such as metal detectors, cameras and security or alarm systems if any;

(ii) measures taken to scan or x-ray incoming mail to residents, or other precautions taken to ensure that incoming mail does not contain contraband that could pose a threat to the security of the facility or to the health and safety of residents or staff;

(iii) the surveillance of the grounds, facility and activities of the residents to prevent theft and resident harm, by electronic or other means;

(iv) the training and deployment of staff responsible for security, and in the case of shelters with mental health or domestic violence programs, the availability of security staff or personnel trained in recognizing and responding to mental health or domestic violence issues;

(v) procedures for handling and documenting individual emergencies, including arranging for medical care or other emergency services, maintaining records of any special medical needs or conditions, the prescribed regimens to be followed, and the names and phone numbers of medical doctors to contact should an emergency arise concerning these conditions; and

(vi) other measures taken to help ensure the safety of shelter residents and staff.

(4) Disaster and emergency plan.

The operational plan for each shelter for adults, small-capacity shelter and shelter for adult families also shall detail the facility's plan for the proper protection of residents and staff in the event of an actual or threatened internal or external emergency or disaster which interrupts normal service, and shall describe, among other things:

(i) procedures for full and partial evacuations of the facility;

(ii) coordination with community resources and local disaster and emergency planning organizations as may be available to provide temporary shelter, food and clothing and other essential services;

(iii) training provided for each new and current employee and volunteer in both the overall disaster and emergency plan and his/her specific responsibility in its execution;

(iv) procedure for conducting monthly fire evacuation drills for staff and volunteers to ensure that each shift has an opportunity to practice their respective responsibilities;

(v) procedures for conducting periodic fire evacuation drills for residents. The operator shall arrange to have the local fire department or the office observe at least one resident evacuation drill annually; and

(vi) procedure by which the operator will immediately notify the social services district and the office if it becomes necessary to implement any element of the disaster and emergency plan.

(5) Waivers.

To the extent that a shelter for adults, small-capacity shelters or shelter for adult families for which a social services district seeks reimbursement under this Part is unable to comply fully with these regulations, a social services district may include in the facility's operational plan a request for a waiver that may be approved at the discretion of the office. In approving any waiver request, the office may require that additional procedures be implemented to protect residents' health and safety. All waiver requests approved by the office pursuant to this section will remain in effect only for so long as the office determines appropriate, and the office may from time to time review waivers to determine whether they should be continued.

(d) Submission of operational plans.

(1) The social services district must submit a proposed operational plan in writing to the office no less than 45 days before the planned use of a facility as a shelter for adults, a small-capacity shelter or a shelter for adult families.

(2) An operational plan will be approved only where it is established that the shelter for adults, small-capacity shelter or shelter for adult families will meet and be operated in accordance with all applicable provisions of law and the requirements of this Part.

(3) If a program other than a shelter for adults, a small-capacity shelter or a shelter for adult families is or will be operating in the same building or on the same premises as any shelter for adults, small-capacity shelter or shelter for adult families, and such other program requires an operating certificate, license or permit issued by any State agency or department, an operational plan for the shelter for adults, small-capacity shelter or shelter for adult families will only be approved and an operating certificate for the shelter issued if there is a valid operating certificate, license or permit for such other program.

(4)
(i) The office must advise the social services district in writing of its approval or disapproval of an operational plan within 90 days of receipt of the plan except as provided in subparagraphs (ii) and (iii) of this paragraph.

(ii) Notwithstanding subparagraph (i) of this paragraph, if a shelter for adults, small-capacity shelter or shelter for adult families is located in the same building or on the same premises as a program requiring an operating certificate, license or permit issued by any State agency or department, and if such certificate, license or permit has not been issued at the time the proposed operational plan for the shelter for adults, small-capacity shelter or shelter for adult families is submitted, the office will not approve the operational plan until after a certificate, license or permit has been issued for such other program. In no event may the office delay a decision on an operational plan beyond 45 days after the issuance of the operating certificate, license or permit to the other program.

(iii) Notwithstanding subparagraph (i) and (ii) of this paragraph, if the office determines that additional information is required before it can approve or disapprove the proposed operational plan, the office, within 45 days of receiving the proposed operational plan, may request that the social services district submit additional information within 45 days of the request for such additional information. The office must advise the social services district in writing within 90 days of receipt of the additional information of its approval or disapproval of the operational plan.

(e) Duration.

An operational plan approved by the office will remain in effect for a maximum period of five years. An operational plan for a shelter for adults, small-capacity shelter or shelter for adult families located in the same building or on the same premises as a program requiring an operating certificate, license or permit issued by the office or any other State agency or department, however, will be considered approved only for so long as such other program has a valid operating certificate, license or permit but in no case longer than five years.

(f) Renewal.

No later than 60 days before the expiration of an operational plan, the social services district must submit on forms and in the manner prescribed by the office, a request to renew the approval of the operational plan. Such request must include appropriate financial data; any proposed new, or changes to existing, contracts; any proposed revisions to leases or rental agreements; documentation that the facility is in compliance with applicable State and local laws, regulations, and codes; and information regarding any other changes being proposed to the current operational plan. The social services district may request an extension of the 60-day period in order to submit appropriate financial data, and the office may grant one extension, not to exceed six months. If an extension is granted, the office may, subject to the approval of the Director of the Division of the Budget, continue reimbursement for costs found by the office to be reasonable. State reimbursement will continue until such time as either the appropriate financial data is submitted and the operational plan is approved, or operational plan approval by the office is withdrawn or expired.

(g) Revisions or changes to information.

Proposed revisions to an approved operational plan and any changes to the information contained therein must be submitted by the social services district to the office for approval prior to implementation. An operational plan for a shelter for adults, small-capacity shelter or shelter for adult families located in the same building or on the same premises as a program requiring an operating certificate, license or permit issued by any State agency or department must be revised if the operation of such other program ceases or if there is a change in the operating certificate, license or permit for such program. Proposed revisions are subject to the requirements of subdivision (c) of this section.

(h) Reimbursement before office approval.

For costs incurred by a shelter for adults, a small-capacity shelter or a shelter for adult families that begins operation after the effective date of this Part, reimbursement may be available from the date the social services district submits its proposed operational plan provided:

(1) the facility is operational at the time the plan is submitted or within 90 days after the date of submittal;

(2) if the office has requested additional information, the social services district submits such information within 45 days or obtains the office's approval for an extension of the time in which to submit such information and provides the requested additional information on a timely basis; and

(3) the operational plan is fully approved no later than one year from the date the social services district submits its proposed operational plan or a lesser time period as specified by the office.

(i) Shelters operating before the effective date of these regulations.

(1) Where a shelter for adults has been operating since before the effective date of this Part pursuant to an operating certificate issued by the office, the social services district shall submit a proposed operational plan for the facility to the office no later than 90 days before the expiration of the facility's existing operating certificate.

(2) Where a shelter for adults, small-capacity shelter or a shelter for adult families has been operating since before the effective date of this Part without an operating certificate issued by the office, the social services shall submit a proposed operational plan for the facility to the office within three years of the effective date of this Part or as otherwise directed by the office.

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