N.Y. Comp. Codes R. & Regs. tit. 18 § 352.39

Current through Register Vol. 46, No. 17, April 24, 2024

Section 352.39 - Operational plans for uncertified shelters for the homeless

(a) For purposes of this section, emergency shelter shall mean any facility with overnight sleeping accommodations, the primary purpose of which is to provide temporary shelter to recipients of temporary housing assistance.

(b) This section shall apply to emergency shelters for which social services districts receive reimbursement, and which are not operating pursuant to operational plans approved by the Office of Temporary and Disability Assistance (the office) as required by section 491.3 or 900.3 of this Title, and have not been issued operating certificates pursuant to either section 491.4 or 900.4 of this Title.

(c) A social services district may be reimbursed for costs incurred for emergency shelters and services provided by emergency shelters subject to this section only when the emergency shelters are operated pursuant to operational plans that have been approved by the Office of Temporary and Disability Assistance (the office). A separate operational plan must be submitted by the social services district for each emergency shelter for which the district seeks reimbursement, or for each portfolio of emergency shelters where the emergency shelters within the portfolio are operated by a single operator and are comprised of individual apartment units within residential apartment buildings, and the operators are reimbursed by the social services district on a per diem basis.

(d)Operational plan.

For emergency shelters within the scope of this section, the operational plan must provide all of the following information concerning the facility:

(1) name and location of the facility;

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

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

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

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

(6) a financial statement for the shelter's most recently completed fiscal year, if any;

(7) a proposed one year budget, including estimated income and expenditures, on forms and in a manner prescribed by the office. Such proposed budget must set forth the amount reasonable and necessary to operate and maintain the shelter;

(8) the emergency shelter's policies and procedures;

(9) admissions policies;

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

(11) in shelters for families with children, policies and procedures for providing needed care, services and support of children and families consistent with applicable regulations;

(12) in shelters for families with children, arrangements for facilitating school attendance by school-age children residing in the facility, including any necessary transportation arrangements;

(13) plan for health services, including evidence of any arrangement with a fully accredited medical institution or clinic for the referral of resident families for emergency treatment. 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;

(14) procedures for assisting residents in making application for public benefits such as, but not limited to, public assistance, medical assistance, the supplemental nutrition assistance program, Supplemental Security Income, title XX or child welfare or unemployment benefits;

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

(16) plan for staff training including training concerning the emergency and disaster plan for the facility and fire safety;

(17) bathroom arrangements, including the number of toilets, sinks, showers and bathtubs and, where appropriate, the facility's provision for the bathing and changing of infants and young children;

(18) 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;

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

(20) fire safety measures and emergency and disaster plan;

(21) resident capacity;

(22) resident rules and rights;

(23) procedures for handling involuntary discharges or transfers;

(24) description of any other programs that are operating in the building and copies of the applicable licenses and certifications;

(25) procedures and environmental safeguards designed to ensure the well-being and safety of residents if the shelter facility is located 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;

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

(27) facility leave and absence policy;

(28) 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;

(29) 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;

(30) 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;

(31) procedures for providing shelter residents with services which include at a minimum: necessary medical referrals; assistance with obtaining permanent housing; assistance with securing necessary supportive social and mental health services including but not limited to psychiatric and alcohol abuse services; assistance with securing employment assessments, job training placements, educational opportunities; and information and referral services for community agencies and programs whose services might assist residents to return to permanent housing. If any of these services are provided off site, the name, location, contact information, and description of the service provider must be included;

(32) a plan for the shelter to provide security and help ensure the physical safety of residents and staff, as required by section 352.38 of this Part;

(33) 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;

(34) procedures for handling resident complaints and grievances; and

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

(e)Submission and approval.

(1) The social services district must submit a proposed operational plan for each emergency shelter addressed by this section in writing to the office no less than 45 days before planned use of a facility as an emergency shelter or 120 days from the date this regulation becomes effective for emergency shelters currently in operation.

(2) An operational plan will be approved only when it is established that the facility will be operated in accordance with the operational plan and all applicable laws and regulations.

(f) An operational plan approved by the office under this section will remain in effect for a maximum period of five years. No later than 60 days prior to 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 either continue reimbursement at the approved rate or establish an interim per diem rate. State reimbursement may not exceed these per diem rates, and 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) Proposed revisions to an approved operational plan must be submitted by the social services district to the office for approval prior to implementation. Proposed revisions are subject to the requirements of subdivision (d) of this section.

(h) In the event that an operator elects to close an emergency shelter falling within the scope of this section:

(1) the social services district shall notify the office in writing at least 120 days prior to the anticipated closure;

(2) such written notice shall include a proposed plan for closure. The plan shall be subject to office approval and shall include timetables and shall describe the procedures and actions the operator will take to:

(i) notify residents of the closure, including provisions for termination of admission agreements and involuntary discharge;

(ii) assess the needs and preferences of the individual residents;

(iii) assist residents in locating and transferring to appropriate alternative settings; and

(iv) maintain compliance with the office's regulations until all residents have relocated.

(i) For costs incurred by a facility 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 45 days after the date of submittal;

(2) if the office has requested additional information, the social services district submits such information within 30 days; 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.

N.Y. Comp. Codes R. & Regs. Tit. 18 § 352.39

Adopted New York State Register February 1, 2017/Volume XXXIX, Issue 05, eff. 2/11/2017

Amended New York State Register December 11, 2019/Volume XLI, Issue 50, eff.1/1/2020