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 he 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 schoolage 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 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, building 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 d;r 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 mcntal health services,
restaurants and stores. A map must be included showing the location 01' 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 infon-nation 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 ofan 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 ofcasework 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 departmentapproved 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 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 infor-mation 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, asocial 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 mects 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 them 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 them 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 incurr6d 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.