reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.7 - Requirements for a Housing Finance Agency mortgage loan

Current through Register Vol. 46, No. 28, July 10, 2024
(a) An applicant may apply for an HFA
				mortgage loan, for State aid or for both.
(b) A completed application must be submitted
				to the commissioner in the format and on forms prescribed by the
				commissioner.
(c) A certification
				of need application pursuant to the commissioner's regulations must be
				completed and approved prior to the payment of HFA mortgage loan
				funds.
(d) When applying for an HFA
				mortgage loan, the applicant shall prepare and submit a certificate of
				incorporation in a form satisfactory to the commissioner for the corporation to
				be formed which will acquire the site and construct the facility and receive
				the mortgage loan.
(e) The
				applicant for an HFA mortgage loan must have or will have, at the time the HFA
				mortgage is executed and delivered, a fee simple including necessary easements
				and rights-of-way free and clear of all covenants, restrictions, mortgages,
				easements and encumbrances, sufficient to assure undisturbed use and possession
				for the purpose of the facility except that the facility may be subject to the
				New York State Housing Finance Agency mortgage to be obtained pursuant to
				article 75 of the Mental Hygiene Law.
(f) All applicants receiving an HFA mortgage
				loan are required to establish and maintain accounting and fiscal records in a
				manner approved by the commissioner to reflect the receipt and expenditure of
				funds allotted and paid for capital costs. Similar suitable accounts shall be
				maintained to show receipt and disbursement of Federal, local or other finds
				used for matching purposes.
(g) The
				commissioner and the HFA shall have access to the books, records and physical
				site of any facility receiving an HFA mortgage loan.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.8 - Eligible capital costs for a Housing Finance Agency mortgage loan

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Capital costs
				(referred to as "project costs" in section 75.05  of the Mental Hygiene Law) eligible
				for a HFA mortgage loan may only include costs incurred by the applicant
				pursuant to article 75 of the Mental Hygiene Law relating to:
(1) refinancing of existing indebtedness
				associated with the development of the project which constitutes a lien or
				other encumbrance upon the real property or assets of a company to be mortgaged
				or otherwise pledged to the agency;
(2) carrying charges during construction up
				to and including the occupancy date;
(3) working capital not exceeding three
				percent of the estimated total project cost or three percent of the actual
				total final project costs, whichever is larger;
(4) studies, surveys, plans and
				specifications;
(5) architectural
				engineering, legal or other special services;
(6) acquisition of land and any improvements
				thereon;
(7) site preparation and
				development;
(8) construction,
				reconstruction, rehabilitation and improvement;
(9) equipment, including fixtures and
				articles of personal property required for the operation of the
				facility;
(10) the reasonable cost
				of financing during the course of the development of the project up to and
				including the occupancy date;
(11)
				the fees imposed by the commissioner and the New York State Housing Finance
				Agency and other fees and necessary expenses incurred in connection with the
				initial occupancy of the project; and
(12) such other items as the commissioner may
				determine to be reasonable and necessary for the development of the
				project.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.9 - Fees and charges in connection with a Housing Finance Agency mortgage loan

Current through Register Vol. 46, No. 28, July 10, 2024
(a) For the
				purposes of this section:
(1)
Development period
is the period commencing as of the date of
				the inception of a project receiving an HFA mortgage loan and terminating as of
				the tentative occupancy date.
(2)
Operational period
is the period commencing as of the
				tentative occupancy date of the aforementioned project and terminating as of
				the date the mortgage is paid or provision has been made for such
				payment.
(3)
Occupancy
				date
means the occupancy date as such is defined in the HFA mortgage.
				The occupancy date will be determined by the commissioner after an audit of the
				development period accounts.
(4)
Tentative occupancy date
is the first day of the first month
				following the expiration of 90 days after the later of the following two
				events:
(i) the issuance of a certificate of
				occupancy or temporary certificate of occupancy by the appropriate agency of
				local government; or
(ii) the
				issuance of the certificate of substantial completion; provided, however, that
				if the applicant is occupying the project and the commissioner determines that
				the issuance of either of the aforementioned documents is unduly delayed, the
				commissioner may declare a tentative occupancy date prior to the issuance of
				such document; and provided further that a tentative occupancy date may not
				predate the effective date of this Part.
(5)
Company
shall mean a
				company having received an HFA mortgage.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.10 - Requirements for a Facilities Development Corporation loan

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A voluntary agency may apply to the commissioner for an FDC mortgage loan to meet any of the costs set forth in section 621.11  of this Part. The commissioner may deny such an application if the conditions set forth in this section are not met.
(b) A completed application must be submitted to the commissioner in the format and on forms prescribed by the commissioner. Such forms may include a capital schedule of proposed costs to be met by the FDC mortgage loan.
(c) A certificate of need application pursuant to Part 620 of this Title must have been completed, and approved by the commissioner.
(d) The voluntary agency must prepare and submit a certificate of incorporation in a form satisfactory to the commissioner for the corporation which will receive the FDC mortgage loan. The voluntary agency must demonstrate to the satisfaction of the commissioner that the corporation has obtained a certificate from the U.S. Internal Revenue Service that it is an exempt organization pursuant to section  501(c)(3) of the Internal Revenue Code, and a statement of exemption from the New York State Department of Taxation and Finance.
(e) The voluntary agency must have, or demonstrate to the satisfaction of the commissioner that it will have as of the time the FDC loan is made:
(1) a fee simple interest in the real property; or a leasehold interest of at least 50 years in the real property; or a leasehold interest in the real property equal to or greater than the term of the FDC loan from a State, local governmental, or quasi-governmental entity or public benefit corporation; or an ownership interest in, and a leasehold estate in the premises as evidenced by a proprietary lease from an organization formed for the purpose of the cooperative ownership of real estate, for or upon which the loan will be used to finance or refinance the acquisition, construction, rehabilitation or improvement of a community facility; and
(2) title to any of the personal property which the commissioner determines must serve as additional security for the loan; and
(3) any necessary easements and rights-of-way free and clear of any convenants, restrictions, mortgages, easements and encumbrances determined sufficient by the commissioner to assure undisturbed use and possession for the purpose of operating the facility.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.12 - Fees and charges in connection with a Facilities Development Corporation loan

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Charges
				for development period.
The charge payable to OPWDD by the voluntary
				agency for services rendered in connection with an FDC mortgage loan from the
				inception of the project to, but not including, the initial occupancy date,
				shall be. 9 of one percent of the loan, payable on requisition on the date of
				the mortgage closing.
(b)
Charges for operational period.
The charge payable to OPWDD by
				the voluntary agency during the period from the occupancy date to the end of
				the loan term shall be an annual charge of.2 of one percent of the mortgage
				loan, payable on a monthly or other periodic basis pursuant to an assignment
				which shall be required from the voluntary agency to OPWDD to be made in the
				format prescribed by the commissioner. For facilities for which the voluntary
				agency receives reimbursement rates or fees as a result of services rendered to
				OPWDD and/or the New York State Medicaid program, such assignment may require
				the annual charge to be paid from the periodic payment of the voluntary
				agency's rate or fee reimbursement.
(c)
MCFFA charges other than annual
				administrative charges.
The charges imposed by MCFFA due to its cost
				and expenses in connection with the issuance of bonds and notes to finance the
				facility shall be payable to OPWDD by the voluntary agency on requisition on
				the date of the mortgage closing.
(d)
MCFFA annual administrative
				charges.
The annual administrative charges imposed by MCFFA shall be
				payable to OPWDD by the voluntary agency from the date of the mortgage loan
				closing, on a monthly or other periodic basis pursuant to an assignment which
				shall be required from the voluntary agency to OPWDD to be made in the format
				prescribed by the Commissioner. For facilities for which the voluntary agency
				receives reimbursement rates or fees as a result of services rendered to OPWDD
				and/or the New York State Medicaid program, such assignment may require the
				annual charge to be paid from the periodic payment of the voluntary agency's
				rate or fee reimbursement.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.13 - Local governmental unit agreement/certification related to State aid, Housing Finance Agency mortgage loans, and Facilities Development Corporation mortgage loans

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Where the
				applicant for State aid is a voluntary agency (or proposed incorporators of the
				voluntary agency to be formed) there must be an agreement between the voluntary
				agency and the local governmental unit pursuant to section 41.15 (e)  of the Mental
				Hygiene Law.
(b) Where the
				application is for an HFA or FDC mortgage loan, except in the case of FDC
				mortgage loans to the extent that they are for refinancing projects already
				certified under this section, there must be certification by the local
				governmental unit in the city or county in which the facility is located that
				the project is consistent with its plan for the provision of services for
				persons with developmental disabilities. In the case of HFA mortgage loan
				applications, such certification must be consistent with the provisions of
				section 75.19  of the Mental Hygiene Law.
(c) An applicant may appeal to the
				commissioner from the local governmental unit's denial of the agreement or
				certification required in subdivisions 621.13(a) and (b)  of this section
				following a written request from the applicant as follows:
(1) within 30 days from the date that the
				applicant has been notified of the refusal of the local governmental unit to
				approve or certify; or
(2) within
				30 days after the local governmental unit's failure to approve or
				certify.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.14 - Assurances from the applicant

Current through Register Vol. 46, No. 28, July 10, 2024
In addition to any other requirements imposed by law, each
				  State aid grant, HFA mortgage loan and FDC mortgage loan shall be subject to
				  the condition that the applicant will furnish and comply with the following
				  assurances and conditions.
(a) That
				the commissioner's approval of the final working drawings and specifications
				which conform to the general standards of construction and equipment, as
				prescribed in the commissioner's regulations will be obtained before the
				project is advertised or placed on the market for bidding.
(b) That the following conditions and
				provisions will be included in all construction contracts:
(1) A provision that the contractor has
				complied with statutory requirements relating to noncollusion in bids and
				proposals.
(2) When deemed
				necessary by the commissioner, the contractor shall furnish performance and
				payment bonds, each of which shall be in the full amount of the contract price.
				The contractor shall maintain, during the life of the contract, adequate fire,
				workers' compensation, liability and property damage insurance.
(3) A provision that representatives of the
				commissioner will have access at all reasonable times to work whenever it is in
				preparation or progress and the contractor shall provide proper facilities for
				each access and inspection.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.15 - Release of the applicant

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
				commissioner may, within the 20-year period after completion of construction of
				the facility, or within the period during which the applicant agreed to operate
				the facility, release the applicant, in whole or in part, from its obligation
				to continue the operation of the facility as an OPWDD certified facility as set
				forth in its application; provided, however, that if the facility is subject to
				an HFA mortgage said release shall require the written concurrence of the New
				York State Housing Finance Agency.
(b) The decision to make such release shall
				take into consideration the extent to which:
(1) assurance is received that the facility
				will be devoted by the applicant to another public use which will promote the
				purposes contained in articles 13 and 41 of the Mental Hygiene Law;
				or
(2) There are reasonable
				assurances that for the remainder of the 20-year period, or the period during
				which the applicant agreed to operate the facility, other facilities not
				previously utilized for the care of persons with developmental disabilities
				will be so utilized and are substantially equivalent in nature and extent for
				such purposes.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.16 - Conflict of interest

Current through Register Vol. 46, No. 28, July 10, 2024
(a) No full-time
				officer or employee of the applicant or of the State, or any firm,
				organization, corporation, or partnership which such officer or employee owns,
				controls, or directs shall receive funds reimbursed for capital costs directly,
				or indirectly for payment for services provided in connection with planning,
				design, construction, or equipping of the project, or in connection with site
				acquisition.
(b) Upon written
				request by the applicant, the commission may waive the provisions of
				subdivision (a) of this section by giving prior written approval, after full
				disclosure of all relevant facts and circumstances.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 621 - Financial Assistance for Capital Construction and Financing › Section 621.17 - Glossary

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Applicant.
Refers to a local government, voluntary agency,
				company or corporation eligible to apply for a State aid grant or an HFA
				mortgage loan pursuant to article 41 and/or article 75 of the Mental Hygiene
				Law.
(b)
Capital
				costs.
The costs of an applicant for a State aid grant with respect to
				the acquisition of real property, design, construction, reconstruction,
				rehabilitation and improvement, original furnishings and equipment, site
				development and appurtenances of a local facility as defined in article 41 of
				the Mental Hygiene Law. Such costs associated with HFA mortgage loans are
				referred to as "project costs" pursuant to article 75 of the Mental Hygiene
				Law.
(c)
Commissioner.
The commissioner of the Office for People With
				Developmental Disabilities, or his or her designee.
(d)
Community facility.
A
				place located in the community where programs and services for the persons with
				developmental disabilities are provided subject to certification by OPWDD or
				other appropriate certifying body.
(e)
Company.
A community
				company duly incorporated pursuant to the provisions of the Not-for-Profit
				Corporation Law and article 75 of the Mental Hygiene Law for the purpose of
				providing care, treatment, training, education and residential services for
				persons with developmental disabilities and, such facilities as may be
				incidental or appurtenant thereto.
(f)
Developmental Disabilities
				Service Office (B/DDSO).
The local administrative unit, responsible to
				the Division of Program Operations, that has major responsibility for the
				planning and development of community residential and other program services.
				The B/DDSO is also responsible for coordinating the service delivery system
				within a particular service area, planning with community and provider
				agencies, and ensuring that specific client placement and program plans and
				provider training programs are implemented. In New York City, this unit is
				called the Borough Developmental Services Office (BDSO); elsewhere in the State
				it is called the Developmental Disabilities Service Office (DDSO).
(g)
Local government.
A
				county, except a county within the City of New York, and the City of New
				York.
(h)
Local
				governmental unit.
The unit of local government given authority in
				accordance with the Mental Hygiene Law by local government to provide local or
				unified services for persons with developmental disabilities.
(i)
Voluntary agency.
A
				corporation organized or existing pursuant to the Not-for-Profit Corporation
				Law and article 41 of the Mental Hygiene Law for the purpose of providing local
				services for persons with developmental disabilities.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 622 - Implementation of State Environmental Quality Review Act › Section 622.1 - Background and intent

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Principles of compliance (see glossary).
(1) The State Environmental Quality Review
				Act of 1975 ("SEQRA"), article 8 of the Environmental Conservation Law,
				provides that all governmental bodies of the State shall prepare, or cause to
				be prepared, by contract or otherwise, an environmental impact statement (see
				glossary) on any action (see glossary) they propose or approve which may have a
				significant effect on the environment (see glossary).
(2) This Part is adopted pursuant to
				subdivision 3 of section 8-0113  of the Environmental Conservation
				Law, which requires the Office for People With Developmental Disabilities
				(OPWDD) to adopt and publish such additional procedures as may be necessary for
				the implementation by them of SEQRA, consistent with the statewide rules and
				regulations (6 NYCRR Part 617) adopted by the Commissioner of Environmental
				Conservation pursuant to subdivision 1 of section 8-0113  of the Environmental Conservation
				Law.
(3) No final OPWDD (see
				glossary) decision to carry out or approve an action shall be made until there
				has been full compliance with the provisions of this Part and 6 NYCRR Part 617,
				including the payment to the OPWDD of all necessary fees. Except as specified
				in article 8 of the Environmental Conservation Law, an action shall be deemed
				to be undertaken or approved at the point that:
(i) the OPWDD has bound or committed itself
				to the ultimate completion of a specifically designed activity; or
(ii) the OPWDD gives final approval for the
				issuance to an applicant (see glossary) of a discretionary contract, grant,
				subsidy, loan or other form of financial assistance, lease, permit, license,
				certificate or other entitlement for use or permission to act; or
(iii) in the case of an action involving
				Federal participation, a draft environmental impact statement has been prepared
				under the National Environmental Policy Act of 1969; or
(iv) the Director of the Budget has certified
				that substantial time, work, and money have been expended on it.
(4) This Part supersedes 14 NYCRR
				Part 52 as it applies to projects being developed under the auspices of the
				Office for People With Developmental Disabilities.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 622 - Implementation of State Environmental Quality Review Act › Section 622.2 - Applicability

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Principles of compliance.
(1)
				The provisions of this Part shall apply and take effect as prescribed in
				article 8 of the Environmental Conservation Law.
(2) This Part applies to all actions
				undertaken by the OPWDD or which require approval by the OPWDD, including all
				actions on the grounds of facilities identified in Article 13.17 of the Mental
				Hygiene Law.
(3) This Part does not
				apply to actions by private persons where only ministerial action (see
				glossary) is involved. The lists of actions identified in section
				622.4 
				are intended to cover only actions of the OPWDD or actions which must be
				approved, funded or otherwise acted upon by the OPWDD.
(4) This Part shall take effect on November
				1, 1989.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 622 - Implementation of State Environmental Quality Review Act › Section 622.3 - Agency filing of SEQRA documents

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Principles of compliance.
(1) The OPWDD shall
				maintain, in the central OPWDD files available for public inspection containing
				all completed applications (see glossary), negative declarations, notices of
				determinations of significance, notices of completion of draft and final
				environmental impact statements, notices of public hearings, draft and final
				environmental impact statements, and decisions it has prepared or caused to be
				prepared.
(2) Copies of these
				documents shall be available to the public at a cost determined pursuant to the
				provisions of 14 NYCRR Part 603.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 622 - Implementation of State Environmental Quality Review Act › Section 622.99 - Glossary

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Action.
Any activity of the OPWDD, except an excluded or
				exempt action as defined in this Part, including, without limitation:
(1) projects or physical activities, such as
				construction or other activities that may affect the environment by changing
				the use, appearance or condition of any natural resource or structure, that:
(i) are directly undertaken by OPWDD;
				or
(ii) involve funding by OPWDD;
				or
(iii) require one or more new or
				modified approvals from OPWDD or other governmental body(ies).
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 624 - Reportable Incidents And Notable Occurrences › Section 624.1 - Applicability

Current through Register Vol. 46, No. 28, July 10, 2024
(a) This Part is
				applicable to all facilities and programs that are operated, certified,
				sponsored or funded by OPWDD for the provision of services to persons with
				developmental disabilities.
Note: Use of the term "agency" throughout the regulation
				  refers to OPWDD Development Disabilities State Operations Offices (DDSOOs, see
				  glossary, section
				  624.20)  as
				  well as other non-state agencies (see glossary, section
				  624.20)  and
				  sponsoring agencies (see glossary, section
				  624.20)  that
				  sponsor family care homes.
(b) Intermediate Care Facilities (see Part
				681 of this Title), including state operated developmental centers, must also
				comply with the requirements of  42 CFR 483 . In some instances, these federal
				requirements are more stringent than the requirements of this Part.
(c) The requirements of this Part apply to
				events and situations that are under the auspices (see glossary, section
				624.20)  of
				an agency. Note that requirements concerning events an situations that are not
				under the auspices of an agency are set forth in Part 625 of this
				Title.
(d) Programs that are
				certified under section 16.03 (a)(4) or 16.03 (a)(5)  of the Mental Hygiene Law
				and are funded by OPWDD, but that are not operated by OPWDD, are not considered
				to be "facilities and programs that are certified or operated by OPWDD" as that
				phrase is used throughout this Part. The requirements of Part 624 apply to
				reportable incidents and notable occurrences that are under the auspices (see
				glossary, section
				624.20  of
				this Part) of such programs, except that such programs are not required to
				report incidents to the Justice Center's Vulnerable Persons' Central Register
				(VPCR).
(e) The requirements of
				Part 624 as revised effective June 30, 2013 are applicable to incidents that
				occur on and after June 30, 2013. Incidents that occurred prior to June 30,
				2013 are subject to the requirements of Part 624 that were in effect at the
				time the incidents occurred. Note that the requirements of Part 624 as revised
				effective June 30, 2013 include provisions concerning the release of records
				pertaining to allegations of abuse that occurred prior to June 30, 2013 (See
				Section
				624.8).
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 624 - Reportable Incidents And Notable Occurrences › Section 624.4 - Notable occurrences, defined

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Notable
				occurrences are events or situations that meet the definitions in subdivision
				(c) of this section and occur under the auspices of an agency.
(b) Notable occurrences do not include events
				and situations that meet the definition of a reportable incident in section
				624.3 
				of this Part even if the event or situation otherwise meets the definition of
				one of the categories in subdivision (c) of this section. An exception is that
				a death that also meets the definition of a reportable incident must be
				reported both as the reportable incident and as a notable occurrence.
(c) Serious and minor notable occurrences are
				defined and categorized as follows:
(1) the
				following types of incidents prior to January 1, 2016:
(i)
Injury.
(a)
Minor notable
				occurrence
. Any suspected or confirmed harm, hurt, or damage to an
				individual receiving services, caused by an act of that individual or another,
				whether or not by accident, and whether or not the cause can be identified,
				that results in an individual requiring medical or dental treatment (see
				glossary, section
				624.20)  by a
				physician, dentist, physician's assistant, or nurse practitioner, and such
				treatment is more than first aid. Illness in itself shall not be reported as an
				injury or any other type of incident or occurrence.
(b)
Serious notable occurrence.
Any injury that results in the admission of a person to a hospital for
				treatment or observation because of injury.
Note: In accordance with clause
				  624.3(b)(9)(i)(
e
) of this Part, an injury due to
				  self-injurious behavior that requires medical care beyond first aid is a
				  "reportable incident."
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 624 - Reportable Incidents And Notable Occurrences › Section 624.5 - Reporting, recording, and investigation

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Policies and Procedures
.
(1) Every agency must develop policies and
				procedures that are in conformance with this Part to address:
(i) reporting, recording, investigation,
				review, and monitoring of reportable incidents and notable
				occurrences;
(ii) identification of
				reporting responsibilities of employees, interns, volunteers, consultants,
				contractors, and family care providers; and
(iii) providing notice to all employees which
				states that:
(a) all reportable incidents,
				including reports of abuse and neglect, must be investigated; and
(b) if an employee leaves employment prior to
				the conclusion of a pending investigation, the investigation must continue
				until it is completed and (for reports of abuse and neglect) a finding is made
				of substantiated or unsubstantiated.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 624 - Reportable Incidents And Notable Occurrences › Section 624.6 - Notifications

Current through Register Vol. 46, No. 28, July 10, 2024
(a) For a report of
				abuse or neglect involving a person who resides in a facility certified or
				operated by OPWDD, the agency under whose auspices the event occurred and/or
				that is responsible for the person must send the written initial
				incident/occurrence report to the Mental Hygiene Legal Service (MHLS; see
				glossary, section
				624.20) 
				within three working days of occurrence or discovery. The responsible agency or
				program must also inform MHLS of the results of the investigation.
(b) For reports of abuse or neglect that
				occur when a person receiving services is under the auspices of a residential
				facility operated by OPWDD, a family care home sponsored by OPWDD, or a
				certified day program operated by OPWDD, OPWDD must send the written initial
				incident report to the appropriate board of visitors within three working days
				of occurrence or discovery. OPWDD must also inform the board of visitors of the
				results of the investigation.
(c)
				All suicides, homicides, accidental deaths, or deaths due to suspicious,
				unusual, or unnatural circumstances must be reported immediately by telephone,
				and later in writing, to the coroner/ medical examiner. In New York City, the
				police must also be notified.
(d)
				Reporting to law enforcement.
(1) An
				appropriate law enforcement official must be contacted immediately in the event
				that an emergency response by law enforcement is needed.
(2) Agencies must report to an appropriate
				law enforcement official anytime a crime may have been committed against an
				individual by a custodian. This is in addition to reporting to the Justice
				Center when the event or situation is a reportable incident (if the services
				are certified or operated by OPWDD).
(i) The
				report to the appropriate law enforcement official must be made as soon as
				practicable, but in no event later than 24 hours after occurrence or
				discovery.
(ii) Information about
				the report to the appropriate law enforcement official must be entered into
				IRMA within 24 hours of the report being made.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 624 - Reportable Incidents And Notable Occurrences › Section 624.7 - Incident Review Committee (IRC)

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Every agency
				must have one or more incident review committees to review and monitor
				reportable incidents and notable occurrences that occur to people receiving
				services from the agency The agency's organizational structure and its own
				policies will determine the number of committees needed.
(b) An IRC must review reportable incidents
				and notable occurrences to:
(1) ascertain
				that reportable incidents and notable occurrences were reported, managed,
				investigated, and documented consistent with the provisions of this Part and
				with agency policies and procedures, and to make written recommendations to the
				appropriate staff and/or the chief executive officer to correct, improve, or
				eliminate inconsistencies;
(2)
				ascertain that necessary and appropriate corrective, preventive, remedial,
				and/or disciplinary action has been taken to protect persons receiving services
				from further harm, to safeguard against the recurrence of similar reportable
				incidents and notable occurrences, and to make written recommendations to the
				chief executive officer to correct, improve, or eliminate
				inconsistencies;
(3) ascertain if
				further investigation or if additional corrective, preventive, remedial, and/or
				disciplinary action is necessary, and if so, to make appropriate written
				recommendations to the chief executive officer relative to the reportable
				incident or notable occurrence;
(4)
				identify trends in reportable incidents and notable occurrences (e.g., by type,
				person, site, employee involvement, time, date, circumstances, etc.), and to
				recommend appropriate corrective, preventive, remedial, and/or disciplinary
				action to the chief executive officer to safeguard against such recurring
				situations or reportable incidents and notable occurrences; and
(5) ascertain and ensure the adequacy of the
				agency's reporting and review practices, including the monitoring of the
				implementation of approved recommendations for corrective, preventive, and
				remedial action.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 624 - Reportable Incidents And Notable Occurrences › Section 624.8 - Release of records

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Policies and
				procedures. Agencies must have policies and procedures concerning the process
				for requesting the release of records, including but not limited to identifying
				appropriate staff who are authorized to receive requests and those who are
				authorized to release records.
(b)
				Eligible requestors. Persons receiving services or who formerly received
				services, and guardians, parents, spouses, adult children, or adult siblings
				of such persons, pursuant to paragraph (a)(6) of section 33.16  of the Mental Hygiene Law, are
				eligible to request the release of records as established by this section,
				subject to the following restrictions:
(1) In
				the event that an otherwise eligible requestor is an alleged abuser, such
				requestor is not eligible to receive any records or documents pertaining to the
				specific allegation or investigation of the event or situation in which he or
				she was the targeted alleged abuser, regardless of the conclusion.
(2) If the person receiving services or who
				formerly received services is a capable adult and objects to the provision of
				records and/or documents to an otherwise eligible requestor, such requestor is
				not eligible to receive those records or documents.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 625 - Events And Situations That Are Not Under The Auspices Of An Agency › Section 625.1 - Applicability

Current through Register Vol. 46, No. 28, July 10, 2024
(a) This Part is
				applicable to all facilities and programs that are operated, certified, or
				funded by OPWDD (including family care homes) for the provision of services to
				individuals with developmental disabilities.
(b) Requirements concerning events and
				situations that are not under the auspices of an agency are found in this Part.
				(Note that requirements concerning events and situations that are under the
				auspices of an agency are in Part 624 of this Title.)
(c) The requirements of this Part apply to
				events and situations that occur on or after June 30, 2013.
(d) Intermediate Care Facilities (ICFs, see
				Part 681 of this Title), including state operated developmental centers, must
				also comply with the requirements of  42 CFR Part 483 . Events and situations
				involving ICF residents that meet the definitions of abuse and other violations
				under the federal regulation, but do not occur under the auspices of the ICF,
				must be reported and thoroughly investigated in accordance with federal
				requirements in  42 CFR Part 483  that are more stringent than requirements of
				this Part.
(e) Programs that are
				certified under section 16.03 (a)(4) or 16.03 (a)(5)  of the Mental Hygiene Law
				and are funded by OPWDD, but that are not operated by OPWDD, are required to
				report and address events and situations that are not under the auspices of an
				agency in accordance with this Part. Such certified programs are not, however,
				required to report deaths to the Justice Center.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 625 - Events And Situations That Are Not Under The Auspices Of An Agency › Section 625.2 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
The following definitions apply to the terms as they are used
				  in this Part. Definitions for other terms used in this Part may be found in the
				  glossary in section
				  624.20  of
				  this Title
(a)
Auspices, under
				the.
For the purposes of this Part and Part 624 of this Title, an
				event or situation in which the agency or family care provider is providing
				services to a person. The event or situation can occur whether or not the
				person is physically at a site owned, leased, or operated by the agency or
				family care provider.
(1) Events or
				situations that are under the auspices of the agency or family care provider
				include but are not limited to:
(i) An event
				or situation in which agency personnel (staff, interns, contractors,
				consultants, and/or volunteers) or a family care provider (or
				respite/substitute provider) are, or should have been, physically present and
				providing services at that point in time.
(ii) Any situation involving physical
				conditions at the site provided by the agency or family care home, even in the
				absence of agency personnel or the family care provider.
(iii) The death of an individual that
				occurred while the individual was receiving services or that was caused by or
				resulted from a reportable incident or notable occurrence defined in sections
				624.3
				and
				624.4 
				of this Title.
(iv) Notwithstanding
				any other requirement in this subdivision, the death of an individual receiving
				services who lived in a residential facility operated or certified by OPWDD,
				including a family care home, is always under the auspices of the agency. The
				death is also under the auspices of the agency if the death occurred up to 30
				days after the discharge of the individual from the residential facility
				(unless the person was admitted to a different residential facility in the
				OPWDD system). (Note: this does not include free-standing respite
				facilities.)
(v) Related to
				reportable incidents and notable occurrences as defined in sections
				624.3
				and
				624.4 
				of this Title, any event that directly involves or may have involved agency
				personnel or a family care provider (or respite/substitute provider) or someone
				who lives in the home of the family care provider.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 625 - Events And Situations That Are Not Under The Auspices Of An Agency › Section 625.3 - Agency involvement in events or situations that are not under the auspices of an agency

Current through Register Vol. 46, No. 28, July 10, 2024
(a) If an agency
				becomes aware of an event or situation involving an individual receiving
				services from the agency, in which the event or situation is not under the
				auspices of the agency (see subdivision
				625.2(a)), the agency must respond to the event or situation as follows:
(1) If the event or situation meets one of
				the definitions in sections
				624.3
				or
				624.4 
				of this Title (reportable incidents and notable occurrences) and occurred under
				the auspices of another agency subject to the requirements of Part 624 of this
				Title:
(i) The agency must comply with the
				requirements of subdivision
				624.5(r) 
				of this Title. This includes the requirement to document the event or situation
				and report the situation to the agency under whose auspices the event or
				situation occurred.
(ii) Note that
				mandated reporters (e.g. custodians) are required to make reports to the
				Vulnerable Persons' Central Register (VPCR) pursuant to section 491  of the social services law. This means
				that mandated reporters at the discovering agency must report to the VPCR upon
				discovery of a reportable incident that occurred in another program or facility
				that is certified or operated by OWPDD.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 625 - Events And Situations That Are Not Under The Auspices Of An Agency › Section 625.4 - OPWDD involvement in events or situations that are not under the auspices of the agency

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Reporting to
				OPWDD. The agency must report events or situations in which actions were taken
				by the agency in accordance with the requirements of section
				625.3 
				of this Part as follows:
(1) The agency must
				submit an initial report about the event or situation in the OPWDD Incident
				Report and Management Application (IRMA).
(2) The agency or sponsoring agency must
				enter initial information about the event or situation within twenty-four hours
				of occurrence or discovery or by close of the next working day, whichever is
				later. Such initial information must identify all actions taken by the agency,
				including any initial actions taken to protect the involved
				individual.
(3) The agency must
				report updates on the event or situation in IRMA on a monthly basis or more
				frequently upon the request of OPWDD until the event or situation is resolved.
				Such updates must include information about subsequent interventions (see
				subdivision
				625.3(b)) and include information about the resolution of the event or
				situation.
(4) Requirements
				concerning OPWDD involvement in deaths that are not under the auspices of an
				agency are in section
				625.5 
				of this Part.
New York Codes, Rules and Regulations › Title 14 - DEPARTMENT OF MENTAL HYGIENE › Chapter XIV - Office for People With Developmental Disabilities › Part 625 - Events And Situations That Are Not Under The Auspices Of An Agency › Section 625.5 - Agency and OPWDD involvement in deaths that are not under the auspices of the agency

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In accordance
				with New York State Law and guidance issued by the Justice Center, the death of
				any individual who had received services operated or certified by OPWDD, within
				thirty days preceding his or her death, and the death did not occur under the
				auspices of any agency, must be reported to the Justice Center for the
				Protection of People with Special Needs (Justice Center), as follows:
(1) The initial report must be submitted, by
				the agency's chief executive officer or designee, to the Justice Center death
				reporting line, in a manner specified by the Justice Center.
(2) The death must be reported immediately
				upon discovery and in no case more than twenty-four hours after
				discovery.
(3) Subsequent
				information must be submitted to the Justice Center, by submission of the
Report of Death
in IRMA within five working days of discovery
				of the death.
(4) The results of an
				autopsy, if performed and if available to the provider agency, must be
				submitted to the Justice Center within sixty working days of discovery of the
				death. (The Justice Center may extend the timeframe for good cause.)
Note: The requirements in this subdivision do not apply to
				  the death of an individual who received only OPWDD funded services (such as
				  community habilitation or supported employment services) provided by a
				  voluntary-operated agency, rather than services that are operated or certified
				  by OPWDD, to the death of an individual who resided in an OPWDD certified or
				  operated residential program (see paragraph 625.2(a)(1) of this Part), or when
				  the death occurred under the auspices of any agency.