§ 5.07 — Establishment of statewide comprehensive plans of services for persons with mental disabilities

§ 5.07 Establishment of statewide comprehensive plans of services for\n persons with mental disabilities.\n (a) (1) The behavioral health services advisory council and the\nadvisory council on developmental disabilities shall provide\nrecommendations for statewide priorities and goals to guide\ncomprehensive planning, resource allocation and evaluation processes for\nstate and local services for persons with mental illness, developmental\ndisabilities, and/or those with substance use or compulsive gambling\ndisorders. Such goals and objectives shall:\n a. be measurable in terms of attainment and focused on outcomes for\nthose being served;\n b. be developed in collaboration with, and communicated to, providers\nof services, department facilities, consumers and consumer\nrepresentatives, and other appropriate state and local governmental\nagencies;\n c. reflect the partnership between state and local governmental units;\nand\n d. emphasize the need to integrate behavioral health and health\nservices.\n (2) Such advisory councils shall accomplish their duties by means of a\nprocess which is:\n a. open, visible and accessible to the public; and\n b. consistent with the statewide and federally mandated planning,\nappropriation and evaluation processes and activities for services to\npersons with mental disabilities.\n (3) The advisory councils are hereby empowered to hold public hearings\nand meetings to enable them to accomplish their duties.\n (b) Statewide comprehensive plan for services to persons with mental\ndisabilities.\n (1) The office of mental health, the office for people with\ndevelopmental disabilities and the office of alcoholism and substance\nabuse services shall formulate a statewide comprehensive five-year plan\nfor the provision of all state and local services for persons with\nmental illness, developmental disabilities, and/or those with substance\nuse or compulsive gambling disorders. The statewide comprehensive plan\nshall be based upon an analysis of local services plans developed by\neach local governmental unit, in consultation with consumers, consumer\ngroups, providers of services and departmental facilities that furnish\nbehavioral health services in conformance with statewide priorities and\ngoals established with recommendations of the behavioral health services\nadvisory council and the advisory council on developmental disabilities.\nThe plan shall:\n a. identify statewide priorities;\n b. specify statewide goals that reflect the statewide priorities and\nare focused on obtaining positive measurable outcomes;\n c. propose strategies and initiatives to address the priorities and\nfacilitate achievement of statewide goals;\n d. identify services and supports, which may include programs run or\nled by peers, that are designed to promote the health and wellness of\npersons with mental illness, developmental disabilities, and/or\nsubstance use or compulsive gambling disorders;\n e. provide analysis of current and anticipated utilization of state\nand local, and public and private facilities, programs, services, and/or\nsupports;\n f. encourage and promote person-centered, culturally and\nlinguistically competent community-based programs, services, and\nsupports that reflect the partnership between state and local\ngovernmental units;\n g. include progress reports on the implementation of both short-term\nand long-term recommendations of the children's plan required pursuant\nto section four hundred eighty-three-f of the social services law; and\n h. include final reports for time-limited demonstration programs\npursuant to subdivision (d) of section 41.35 of this chapter.\n (2) The commissioner of mental health shall also include the following\nin the portion of the statewide comprehensive plan required by this\nsubdivision for services to persons with mental illness:\n a. an analysis of the long-term need for the delivery of inpatient\ncare and services for adults and children and youth at state-operated\nhospitals as listed in section 7.17 of this chapter, including a review\nof statewide policies and trends relating to admissions, discharges,\ndeaths, transfers, and appropriate community placements for inpatients,\nand a review of the correlation between these policies and trends and\nthe future use of state inpatient facilities, resulting in a projected\nrange of the anticipated census over the next five years for each\nstate-operated hospital listed in section 7.17 of this chapter;\n b. a review of the long-term needs of persons currently residing in\nstate-operated hospitals, including an estimate of the number of such\nindividuals needing state inpatient care, and an estimate of the number\nof such individuals who may be discharged to nursing homes, adult homes,\nresidences operated, licensed or funded by the office of mental health,\nand independent housing;\n c. an analysis of the anticipated future of the forensic psychiatric\nprogram operated by the office of mental health pursuant to subdivision\n(c) of section 7.09 of this chapter, including a programmatic and fiscal\nreview of clinical care needs for persons committed to such programs,\nidentification of service gaps for this population, projected range of\nanticipated census over the next five years, and any recommendations for\nnew service configurations;\n d. an analysis of the anticipated future of the mission of the\nstate-operated office of mental health research institutes that are\nlisted in section 7.17 of this chapter;\n e. a description of the available community-based acute inpatient,\nout-patient, community support and emergency services, which shall\ninclude comprehensive psychiatric emergency programs licensed pursuant\nto section 31.27 of this chapter. Such description should include the\nextent to which these services are currently utilized by persons with\nmental illness and, as available, compare estimates of utilization with\nestimates of the prevalence of mental illness among persons residing in\nthe service area to determine unmet need;\n f. recommendations for new or expanded programs or services that may\nbe required to meet the unmet need for community-based services\nidentified in accordance with subparagraph e of this paragraph;\n g. a review and evaluation of efforts undertaken by the office of\nmental health to encourage community hospitals to provide both emergency\nand acute inpatient care;\n h. a description of the involvement of local government mental health\nauthorities in the planning and development of a needs-based,\ncomprehensive service system and in the determination of the allocation\nof resources;\n i. to the extent practicable, all such information required pursuant\nto this paragraph shall be provided on a statewide, regional and\nindividual state-operated hospital and state-operated research institute\nbasis; and\n j. recommendations on the provision of state and local mental health\nservices based on the development of best practices by programs\npromoting culturally and linguistically competent mental health\nservices.\n (3) The commissioner of the office for people with developmental\ndisabilities shall also include, to the extent practicable, the\nfollowing data in the portion of the statewide comprehensive plan\nrequired by this section for services to persons with developmental\ndisabilities:\n (a) the number of individuals and average Medicaid eligible\nexpenditure level per service recipient, categorized by the following:\n (i) from birth to twenty years of age;\n (ii) from twenty-one years of age to sixty-four years of age\ninclusive; and\n (iii) sixty-five years of age and older;\n (b) race or ethnicity of the service recipient, by age range;\n (c) primary language spoken by the service recipient and other related\ndetails, as feasible; and\n (d) residence type, subcategorized by age, race or ethnicity, and\nprimary language.\n (4) The commissioners of each of the offices shall be responsible for\nthe development of such statewide five-year plan for services within the\njurisdiction of their respective offices and after giving due notice\nshall conduct one or more public hearings on such plan. The behavioral\nhealth services advisory council and the advisory council on\ndevelopmental disabilities shall review the statewide five year\ncomprehensive plan developed by such office or offices and report its\nrecommendations thereon to such commissioner or commissioners. Each\ncommissioner shall submit the plan, with appropriate modifications, to\nthe governor no later than the first day of November of each year in\norder that such plan may be considered with the estimates of the offices\nfor the preparation of the executive budget of the state of New York for\nthe next succeeding state fiscal year. Such comprehensive plan shall be\nsubmitted to the legislature and also be posted to the website of each\noffice. Statewide plans shall ensure responsiveness to changing needs\nand goals and shall reflect the development of new information and the\ncompletion of program evaluations. An interim report detailing the\ncommissioner's actions in fulfilling the requirements of this section in\npreparation of the plan and modifications in the plan of services being\nconsidered by the commissioner shall be submitted to the governor and\nthe legislature on or before the fifteenth day of March of each year.\nSuch interim report shall include, but need not be limited to:\n (a) actions to include participation of consumers, consumer groups,\nproviders of services and departmental facilities, as required by this\nsubdivision; and\n (b) any modifications in the plan of services being considered by the\ncommissioner, to include: (i) compelling budgetary, programmatic or\nclinical justifications or other major appropriate reason for any\nsignificant new statewide programs or policy changes from a prior\n(approved) five year comprehensive plan; and (ii) procedures to involve\nor inform local governmental units of such actions or plans.\n (5) The commissioner of mental health in consultation with the\ndepartment of civil service, the office of employee relations and any\nother appropriate state agency, shall prepare for the governor and the\nlegislature a written evaluation report concerning the retraining and\ncontinuation of employment of persons whose employment in a\nstate-operated hospital listed in section 7.17 of this chapter may be\nterminated because of planned closure or consolidation of such\nstate-operated hospital. Such report shall include, but not be limited\nto:\n (i) specific proposals to help implement transitional employment\narrangements with state, local governmental units and voluntary\nagencies;\n (ii) specific proposals to help provide for the development of\nappropriate retraining programs;\n (iii) specific proposals to help provide for continuity of employment\nand utilization of alternatives to layoffs;\n (iv) specific proposals to help provide for the active participation\nof the legal bargaining representatives of the employees of the office,\nwhere appropriate, in the planning for and implementation of mechanisms\nto help ensure continuity of employment;\n (v) specific proposals to help ensure that the planning for the\nclosure or consolidation of state-operated hospitals is consistent with\nthe planning for the continuity of employment of state employees,\nincluding procedures to ensure timely notification of represented\nemployees and their designated legal representatives and managerial and\nconfidential employees regarding planned program closure or\nconsolidation of state-operated hospitals; and\n (vi) specific proposals regarding the establishment of demonstration\nprojects incorporating staff training, transfers and assignment of staff\nof state-operated hospitals to the offices in local governmental units\nand in voluntary agencies. Such proposals shall take into consideration\nthose areas of the state that are determined to be most in need of the\ndevelopment of appropriate systems of service delivery to best meet the\nappropriate needs of persons with serious mental illness, including\nchildren and adolescents with serious emotional disturbances.\n On or before December first, nineteen hundred ninety-four a copy of\nsuch report, and such recommendations as may be deemed appropriate shall\nbe submitted to the governor, the temporary president of the senate, the\nspeaker of the assembly, and the respective minority leaders of each\nsuch house.\n (c) Three year capital plan. (1) On or before July first of each year,\nthe commissioners of the offices of the department of mental hygiene\nshall each submit to the advisory council of their respective offices a\nstatewide three year capital plan for facilities within the jurisdiction\nof their respective offices. The capital plan shall set forth the\nprojects proposed to be designed, constructed, acquired, reconstructed,\nrehabilitated or otherwise substantially altered pursuant to\nappropriation to meet the capital development needs of the respective\nagencies for the next ensuing three years; the years of such plan shall\ncorrespond to the years of the statewide five year plan as required by\nsubdivision (b) of this section.\n (2) Such plan for each office shall include but not be limited to a\ndetailed project schedule indicating the location by county or borough\nand estimated cost of each project, the anticipated dates on which the\ndesign and construction of the project is to commence, the proposed\nmethod of financing for the project, the estimated economic life of the\nproject and whether the proposed project constitutes design, new\nconstruction or rehabilitation.\n (3) Such plan shall further specify for each project whether the\nproject is to be a residential or nonresidential facility, a state or\nvoluntary operated facility, and, the number of clients, by source of\nclients, proposed to utilize the facility. The information on the source\nof the client shall include but not be limited to identification of\nclients currently living independently, or at home with families, or\nwith caretakers, clients defined by their respective agencies as special\npopulations, or clients currently residing in an institutional setting\nunder the jurisdiction of the offices of the department.\n (4) The advisory council of the appropriate office shall review such\nplan and report its recommendation to the commissioner for inclusion,\nprovided, however, that the behavioral health services advisory council\nshall forward its comments on the capital plan of the office of mental\nhealth to the mental health planning council which shall forward such\nrecommendations after review to the commissioner of mental health. The\ncommissioner shall submit his or her plan with the formal\nrecommendations of the advisory council of his or her office and any\nsubsequent appropriate modifications to the governor no later than the\nfirst day of November of each year or concurrent with the annual\nsubmission of estimates and information required by section one of\narticle seven of the constitution in order that such plans shall be\nconsidered with the estimates of the offices for the preparation of the\nexecutive budget of the state of New York for the next succeeding state\nfiscal year. The commissioners shall also submit such plans to the\nchairmen of the senate finance committee and the assembly ways and means\ncommittee.\n (5) Each statewide three year capital plan for facilities shall be\nevaluated and revised annually to encompass the fiscal year then in\nprogress and the next ensuing two fiscal years to ensure responsiveness\nto the changing needs and goals of the department, and to reflect the\ndevelopment of new information and project completion.\n