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Title: Section 710.2 - Application; project scope and concept

Effective Date

02/12/1997

710.2 Application; project scope and concept.

(a)(1) The applicant shall transmit to the project management unit, at the department's central office in Albany, nine copies of the application in a format determined by the commissioner setting forth the scope and concept of the project. A copy of the application shall be transmitted by the department to the health systems agency having geographic jurisdiction over the area in which the applicant's facility is located:

(i) Except as provided for under subparagraph (ii) of this paragraph with respect to facility leases, any expenditure to effect construction and/or commencement of construction, other than those costs directly attributable to the preparation of the application, prior to the issuance of approval of the application pursuant to this Part shall not be considered an allowable cost for reimbursement pursuant to any of the provisions of Part 86 of this Title, even if the application eventually is approved.

(ii) Notwithstanding the provisions of subparagraph (i) of this paragraph, if an applicant, prior to obtaining approval for the application, entered into an arms-length lease with an unrelated party for space in an existing facility or building, which space is the subject of the application and which has an asset value that does not exceed $4,000,000, the capital costs associated with the leased space which are approved under the application and which costs are attributable in accordance with generally accepted accounting principles to the time period subsequent to the approval of the application, shall be eligible for reimbursement in accordance with the applicable provisions of Part 86 of this Title. Any capital costs associated with such leased space which are attributable to the time period prior to the approval of the application shall not be reimbursable pursuant to any of the provisions of Part 86 of this Title.

(2) Those applicants that have indicated in their service and capital needs inventory problems whose projected solutions exceed $15 million in total basic cost of construction should, before filing a certificate of need application, have received a site visit report prepared by the Department of Health and have completed the Capital Architectural and Program Alternatives review process. As a result of this alternative review process, a preferred solution will be identified by the department and, if agreed to by the applicant and incorporated into an application, will expedite processing of the application to the commissioner and/or the Public Health Council for action. In the event the applicant has not agreed to the department's designation of the preferred solution, the applicant shall, when filing its application, indicate the preferred solution as well as the solution it is seeking approval for.

(b) The application setting forth the scope and concept of the project shall include the following if applicable:

(1) identifying information setting forth the location, type of the proposed construction, and disclosing any interest in the operation and any interest in the ownership of the property interests of the proposed construction;

(2) a description of the site, including a topographic map, United States Geological Survey, published by the United States Department of Interior Geological Survey, 7-1/2 minute series, unless not published for such site, in which case 15-minute series shall be acceptable;

(3) an outline of the construction proposal, including a description of the program and the bed capacity by type of service to be provided;

(4) an estimate of the total basic cost of construction predicated upon a construction start date that coincides with the filing date of the application and a projection of such total basic cost of construction together with a projection of the total project costs to the completion of the proposed construction schedule;

(5) a proposed time period for construction which shall state a time to commence and complete construction, including a time period for each distinct phase. An acceptable time frame shall be determined by the department after consultation with the applicant and shall be made a condition of any approval or contingent approval. If, after consultation, an acceptable time period cannot be agreed upon, the commissioner shall establish a time period as a condition of approval;

(6) an outline of the proposed financing of the total project costs, including the source of any Federal or State financial support;

(7) a statement whether the project is consistent with the institution's long-range capital plan;

(8) a narrative description of the programmatic and/or architectural solution of each functionally discrete component of the project, including the following when relevant to the proposal: (i) justification of the need for the proposed change, and a determination of its relative priority when compared with the applicant's other needed services and programs;

(ii) how the solution has taken advantage of opportunities for the efficient and economic reuse and recycling of existing physical plant resources, where feasible and appropriate;

(iii) how the solution could be adapted to accommodate changes in emerging technology;

(iv) the proposed plan for the organization and operation of the facility; .tx (v) the number and types of personnel to be employed as a result of the project; and

(vi) any special or unusual services, programs or equipment to be provided, including a description of health professional teaching programs associated with the solution;

(9) an architectural program for the project;

(10) architectural drawings, including if applicable:

(i)(a) schematic architectural and engineering design drawings, including site plan, room-by-room layouts of each floor in an appropriate scale, showing the relationship of the various departments or services to each other. The major exit corridors, exit stair locations and pedestrian and service circulation patterns shall be indicated along with existing buildings, if additions or alterations are part of the project. In addition, applications shall include typical sections and elevations, single-line diagrams of proposed building systems if applicable, or outline descriptions of heating, ventilation and air conditioning, electrical power, lighting and communications systems, plumbing, fire protection, materials handling and transportation systems, dietary, water supply and sewage systems and preliminary layouts of mechanical equipment rooms and riser diagrams and outline specifications; and

(b) a functional stack diagram which includes square footages, type of construction and estimated cost of equipment for each functional area displayed and, where appropriate, the relative cost of each area as well as the total construction cost for each discrete physical structure involved and a set of single-line freehand sketches of each floor in an appropriate scale, showing the relationship of the various departments or services to each other. The major exit corridors, exit stair locations and pedestrian and service circulation patterns shall be indicated, along with existing buildings if additions or alterations are part of the project;

(ii) a list in outline form of functional project components, including the enumeration of primary treatment spaces and the area to be included in each component;

(iii) a description of the functional and locational relationships among each related but discrete component;

(iv) the current and proposed bed capacity of the facility by the type of bed, indicating the total number of existing and proposed beds and nursing units and the type of room distribution (e.g., single or multi-bed rooms), the number of each, and the patient or resident capacity of the institution upon completion of construction;

(v) a description of proposed alterations or additions to existing structures;

(vi) a description of the energy sources, type and location of engineering systems which will be used for heating, cooling, ventilation and electrical distribution;

(vii) a description of the proposed method of transport of clean and soiled materials and wastes;

(viii) a description of the intended dietary systems; and

(ix) a description of methods intended for water supply and sewage.

(c) Such other information pertinent to the project as the commissioner, State Hospital Review and Planning Council, Public Health Council or health systems agency may require.

(d) All applications transmitted pursuant to this section shall be:

(1) subscribed by the chief executive officer or other officer so authorized by the board of a corporate applicant, a general partner or proprietor of a medical facility, or, where an application is to be submitted by a municipal medical facility, the president or chairman of the board of the facility, or the chief executive officer if there is no board; and

(2) with respect to applications involving full review or the reduction or deletion of licensed beds and/or services, the application shall be accompanied by a certified copy of a resolution of the board of a corporate applicant authorizing the undertaking which is the subject of the application and the subscribing and submission thereof by an appropriate designated individual.

(e) (1) After receipt and review of the application setting forth the scope and concept of the project, the commissioner, after considering the recommendations of the local health systems agency and the State Hospital Review and Planning Council, shall make a determination. If the application is approved, the applicant shall be notified of such approval together with any contingencies or conditions therein. The applicant, upon receipt of such approval, may proceed with the application pursuant to section 710.4 of this Part. (2) If the commissioner proposes to disapprove a project or make a determination contrary to the recommendation of the local health systems agency, the opportunity to request a hearing shall be afforded to the appropriate party before a decision is made.

(3) (i) The commissioner may, during the processing of an application, propose to disapprove the application solely on the basis that the facility is not currently in substantial compliance with all applicable codes, rules and regulations or that the adequacy of financial resources and sources of future revenue has not been demonstrated in advance of his consideration of the other criteria under Public Health Law, section 2802 without, however, waiving his right to consider such criteria at a later date.

(ii) In the event the commissioner, upon the recommendation of the State Hospital Review and Planning Council, proposes to disapprove an application solely on the basis that the facility is not currently in substantial compliance with all applicable codes, rules and regulations or that the adequacy of financial resources and sources of future revenue has not been demonstrated and the applicant then requests a hearing, the commissioner may direct the completion of the other reviews required by Public Health Law, section 2802, the results of which shall be presented to State Hospital Review and Planning Council for its recommendation, which reviews may then be considered at the hearing. If the commissioner directs the completion of such reviews, a copy of the report containing the results of the reviews shall be mailed to the applicant at least 60 days prior to the date set for hearing.

(iii) In the event the commissioner proposes to disapprove an application solely on the basis that the facility is not currently in substantial compliance with all applicable codes, rules and regulations or that the adequacy of financial resources and sources of future revenue has not been demonstrated and the State Hospital Review and Planning Council does not concur with such proposed disapproval, the application shall be returned to the department without a formal recommendation. The commissioner shall then direct the completion of the other reviews required by Public Health Law, section 2802, and shall return the application to the State Hospital Review and Planning Council for its formal recommendations.

(4) Before a health systems agency may make a recommendation to the commissioner relative to an application, it must have first provided notice to all interested parties of the receipt of such application, together with a brief description thereof. For purposes of this paragraph, interested parties shall mean all persons, entities, agencies or other organizations, located within the health systems agency's geographic area, that have requested, in writing to such agency, notification of the applications pending review by the agency.
 

Volume

VOLUME D (Title 10)

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