N.Y. Comp. Codes R. & Regs. tit. 18 § 900.3

Current through Register Vol. 46, No. 45, November 2, 2024

Section 900.3 - Operational plan

(a)

(1) A social services district may be reimbursed for costs incurred for shelter and services provided to homeless families in tier I and tier II facilities and congregate shelters for homeless pregnant women where such facilities are operated in accordance with the requirements of this Part and where such facilities are operated pursuant to operational plans which have been approved by the department. A separate operational plan must be submitted by the social services district for each facility for which the district seeks reimbursement.

(2) Prior to the submission of an operational plan for a shelter for families, a social services district must obtain the preliminary approval of the department 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 into any binding commitments for the acquisition of the property, for construction, for financing or for operation of the facility. Preliminary approval to establish a facility will be granted only to a social services district which has submitted an overall plan for developing transitional and permanent housing for homeless families and satisfactorily demonstrates and documents, on forms and in a manner prescribed by the department:

(i) that there exists sufficient need for the establishment of the facility, including but not limited to a description of the number of homeless 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 and consistent with the standards developed by the department for such costs;

(iii) that the proposed facility will be converted at reasonable cost to permanent housing or another use approved by the commissioner for a reasonable time period to be determined by the commissioner;

(iv) how the proposed facility will be included in the district's overall plan for developing permanent housing for homeless families including a description of the permanent housing sources available for families residing in the proposed facility, and a demonstration that sufficient permanent housing resources will be made available or are in development to accommodate anticipated placements from the proposed facility, that linkages have been established to ensure the availability of such permanent housing resources, and that the number of transitional units is coordinated with the availability of permanent housing to ensure lengths of stay do not exceed those specified in section 900.15(c)(3) of this Part; and

(v) how the district will meet occupancy rates as established by the department during the course of the facility's fiscal year. The minimum occupancy rate assigned to a facility by the department may not be less than 85 percent, and will be assigned depending on the number of homeless families living in the social services district and the capacity of the facility.

(3) A social services district's failure to submit a timely and complete application for the preliminary approval of the establishment of a shelter for families and to obtain such approval from the department, including but not limited to approval of the costs of the development of the facility, consistent with the standards developed by the department, will result in the denial of all or part of any available Federal or State reimbursement for the operation of the facility under this Part.

(b)

(1) For shelters for families, the operational plan must provide all of the following information concerning the facility:

(i) name and location;

(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 shelter's most recently completed fiscal year, if any; and a proposed one-year budget, including estimated income and expenditures, on forms and in a manner prescribed by the department. Such proposed budget must set forth the amount reasonable and necessary to operate and maintain the shelter, as required pursuant to section 900.16 of this Part.

(vii) admission procedures including arrangements for and hours during which preliminary health examinations will be performed and procedures for referral of persons not admitted during nighttime hours because such persons exhibit symptoms of a generalized systemic communicable disease or a readily communicable local infection;

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

(ix) in tier I and tier II facilities, procedures for providing needed care, services and support of children and families consistent with applicable regulations including but not limited to, sections 430.9 and 430.10 of this Title;

(x) in tier I and tier II facilities, arrangements for ensuring school attendance by school- age children residing in the facility, including any necessary transportation arrangements;

(xi) plan for health services, as defined in section 900.10 of this Part including written evidence of an 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;

(xii) procedures for assisting residents in making application for income entitlements or public benefits such as public assistance, medical assistance, food stamps, Supplemental Security Income, title XX or child welfare or unemployment benefits;

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

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

(xv) bathroom arrangements, including the intended number of toilets, sinks, showers and bathtubs to be provided for each sex and, where appropriate, the facility's provision for the bathing and changing of infants and young children;

(xvi) food service arrangements. If a food service provider is used, written evidence of such arrangement must be included;

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

(xviii) fire safety measures and emergency and disaster plan required pursuant to section 900.11 of this Part;

(xix) resident capacity;

(xx) resident rules;

(xxi) procedures for holding hearings on involuntary discharges of families from the facility and information as to when and how a family or family member who has been involuntarily discharged may request a fair hearing held under Part 358 of this Title to review the discharge;

(xxii) procedures for handling resident complaints;

(xxiii) an application for, a copy of, or a request to amend an operating certificate, license or permit issued by the department, if a program requiring a valid operating certificate, license or permit is or will be operated in the same building or on the same premises as the shelter for families;

(xxiv) procedures and environmental safeguards designed to ensure the well-being and safety of residents if the family shelter facility is located in the same building or on the same premises where another program is or will be operated in addition to the shelter for families programs; such procedures must indicate the circumstances under which common staff or joint services will be utilized;

(xxv) procedures for safeguarding the confidentiality of medical records concerning residents of the shelter;

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

(xxvii) facility leave and absence policy;

(xxviii) 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. A map must be included showing the location of these services in relation to the shelter;

(xxix) a description of waiver requests prepared pursuant to section 900.4 of this Part, including time frames for implementation;

(xxx) procedures for advising families or family members of the conduct or activities for which temporary housing assistance may be discontinued as provided in section 352.35 of this Title;

(xxxi) 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; and

(xxxii) such other information as may be requested by the department.

(2) In addition to the requirements contained in paragraph (1) of this subdivision, the operational plan for tier I facilities must contain the procedures for making preliminary needs determinations, as required in section 900.10 of this Part.

(3) In addition to the requirements contained in paragraph (1) of this subdivision, the operational plan for tier II facilities must contain all of the following information concerning the facility:

(i) child care arrangements as defined in section 900.10 of this Part for enabling parents or caretaker relatives to seek employment and/or permanent housing, or to attend school or training; if child care will be provided offsite, written evidence of an arrangement with a day care center or family day care home must be included;

(ii) plan for assessment services, as defined in section 900.10 of this Part;

(iii) plan for providing preparation for permanent housing, as defined in section 900.10 of this Part; and

(iv) plan for recreational services, as defined in section 900.10 of this Part.

(4) In addition to the requirements contained in paragraph (1) of this subdivision, the operational plan for congregate shelters for homeless pregnant women must contain the following information concerning the facility:

(i) procedures for the provision of casework services described in section 900.10 of this Part;

(ii) procedures for providing preparation for permanent housing as described in section 900.10 of this Part; and

(iii) procedures for the provision of health services as described in section 900.10 of this Part.

(c) [Reserved]

(d)

(1) The local social services district must submit a proposed operational plan in writing to the department no less than 45 days before planned use of a facility as a shelter for families.

(2) An operational plan will be approved only where it is established that the facility will meet, and will 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 families is or will be operating in the same building or on the same premises as a shelter for families and such program requires a department- approved operating certificate, license or permit, an operational plan for the shelter for families will only be approved if there is a valid operating certificate, license or permit for such other program.

(4)

(i) The department must advise the local social services district in writing of its approval or disapproval of a proposed operational plan within 45 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 families is located in the same building or on the same premises as a program requiring an operating certificate, license or permit issued by the department and if such certificate, license or permit has not been issued at the time the proposed operational plan for the shelter for families is submitted, the department will not approve the operational plan until after such certificate, license or permit has been issued. In no event may the department delay a decision on an operational plan beyond 45 days after the issuance of the operating certificate, license or permit.

(iii) Notwithstanding subparagraph (i) of this paragraph, if the department determines that additional information is required before it can approve or disapprove the proposed operational plan, the department within 30 days of receiving the proposed operational plan may request that the social services district submit additional information within 30 days of the request for such additional information. The department must advise the social services district in writing within 30 days of receipt of the additional information of its approval or disapproval of the operational plan.

(iv) Notwithstanding subparagraphs (i), (ii) and (iii) of this paragraph, a social services district may request that the department give limited approval of an operational plan. Limited approval will be withdrawn by the department if the facility's operational plan is not fully approved by the department within one year of granting limited approval or a lesser time period as specified by the department. If limited approval is withdrawn, the social services district may not continue to claim reimbursement for the costs associated with the operation of the facility. The department may give limited approval if the operational plan meets the following criteria:

(a) the department has been provided with information that the facility is in compliance with all applicable State and local laws, regulations and codes, as specified in section 900.5(a) of this Part;

(b) the facility's procedures for the admission of residents and transfer and discharge of residents are in compliance with the requirements set forth in sections 900.6, 900.7 and 900.8 of this Part;

(c) the facility's plans for health services, supervision and food service arrangements are in compliance with the requirements set forth in sections 900.10, 900.11 and 900.13 of this Part;

(d) the facility's rules setting forth resident's rights and responsibilities while residing in the facility are in compliance with the requirements set forth in section 900.9 of this Part; and

(e) the plan contains on forms and in the manner prescribed by the department, a financial statement for the shelter's most recently completed fiscal year, if any, and a proposed one year budget, including estimated income and expenditures. However, if this information is not provided, the department may, subject to the approval of the Director of the Division of the Budget, establish an interim per diem rate. State reimbursement may not exceed this rate until full approval of the operational plan is granted.

(e) An operational plan approved by the department will remain in effect for a maximum period of five years. An operational plan for a shelter for families located in the same building or on the same premises as a program requiring an operating certificate, license or permit issued by the 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. 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 department, 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 as specified in section 900.5(a) of this Part; 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 department may grant one extension, not to exceed six months. If an extension is granted, the department may, subject to the approval of the director of the budget, 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 department is withdrawn.

(f) Proposed revisions to an approved operational plan must be submitted by the local social services district to the department for approval prior to implementation. An operational plan for a shelter for families located in the same building or on the same premises as a program requiring an operating certificate, license or permit issued by the 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 (d) of this section.

(g) 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) that if the department 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 department.

N.Y. Comp. Codes R. & Regs. Tit. 18 § 900.3