E–Z PAR Guidance Document

Table of Contents

• Introduction
• List of Easy Prior Approval Review (E–Z PAR) Projects

Common Information

• Letter of Support
• Prior Consultation
• Rationale Information
• Staffing Information
• Budget Information
• Impact on Recipients
• Supporting Documents

Projects

• Change of Ownership
• Establishing New Program
• Change of Sponsor
• E–Z PAR Program Level
• Program Closure
• 9.39 Waiver Request
• Relocation
• Capital Construction
• Change Program Type, Expand/Reduce Capacity
• Caseload or Service Volume
• Change in Population Served
• Change Additional or Optional Services
• Change Days/Hours

E–Z PAR – Guidance Document

Introduction

This document is designed to provide some basic information about the common areas required as part of an E–Z PAR submission and a description of each action listed under E–Z PAR. There are two primary sections under each action: “When to select this choice” and “What’s Important”. It is hoped that this document will assist applicants in focusing on what is important to consider when completing an E–Z PAR application.

E–Z PAR is designed for use by agencies that currently operate licensed programs under the Office of Mental Health (OMH). The E–Z PAR application has been designed for electronic submission and is incorporated into OMH’s Mental Health Provider Data Exchange (MHPD).

E–Z PARs may be requested on the Facility level, Program (Primary Site) level, and Satellite Site level. The application divides projects into subgroups within these three groups. A description of each project type will be presented as you progress through the application screens. An E–Z PAR can be initiated by going to the Directory Search screen, finding the Facility and Program which requires the action, and clicking the ‘PAR’ icon on the right side that corresponds. This action will bring up the E–Z PAR screen corresponding to the entity selected.

The E–Z PAR application has been designed to allow submission of multiple projects as one application. All proposed projects need to relate directly to a single program (same operating certificate number). For example: One application can be submitted if the applicant proposes to relocate its continuing day treatment outpatient satellite to a new county, proposes an increase the Continuing Day Treatment's (CDT’s) capacity by 15% and proposes $300,000 in renovations for the satellite (capital construction). The “E–Z PAR Options” for this project would look like the following:

The screens that open in the application will be tailored to the selections made under “E–Z PAR Options.” Complete all sections that are shown for these selections.

E–Z PAR Projects

The above shows all the various projects that can be processed under E–Z PAR.

Letter of Support

A Letter of Support from the county(s) should be obtained after the agency has consulted with the local government unit responsible for the oversight of mental health services. A Letter of Support should be obtained from each county affected by the proposed project.

During the meeting with the county the applicant should be prepared to discuss the following: the scope of the unmet demand for services specific to the target population including statistical data, proposed service area, program’s ability to provide services including special services and staffing, fiscal viability, linkages to other behavioral health services and physical health services, and project’s impact on the existing service system.

Distribution of an E–Z PAR may be delayed if a Letter of Support is not submitted. In some cases, the E–Z PAR application may not be distributed for external review without a Letter of Support from all counties. If an agency has made a good faith attempt to obtain a Letter of Support but could not, it is important that the agency contact its local OMH field office for assistance and further direction.

The applicant needs to select the desired submission method (fax, mail, attachment) for the Letter of Support. If “attached” is selected, the applicant will be directed on how to attach the document. Verify that the document is listed under “Files Attached” before proceeding. If a Letter of Support is not available for submission, the applicant should complete the section explaining the lack of a Letter of Support. Please be very specific regarding why the Letter of Support is unavailable. In rare instances, a county may issue a letter not supporting the project. This letter should be attached to “Files Attached”.

Prior Consultation with OMH Field Office

Prior to the submission of an E–Z PAR application, it is important for the applicant to consult with the local OMH field office. The purpose of the consultation is to help the applicant ensure that the information provided in the E–Z PAR is adequate and sufficient. Field office staff will act in an advisory role with the applicant making final determination as to the content of their E–Z PAR application. The applicant can move forward with submission of the application if efforts made by the applicant to consult with the field office have been unsuccessful. The more the field office understands the proposed project, the better they will be able to assist the applicant through the PAR process.

Rationale Information

Rationale

The type and scope of the proposed project will dictate the complexity of the rationale required. For example: A rationale for the expansion of program space would be quite different from a rationale for relocating a clinic satellite to a different county. The primary objective of providing a rationale is to justify need for the proposed project.

The following information, when applicable, should be included under rationale:

1. Define the target by population by age and other characteristics including language, cultural, religious, ethnic, religious, sexual orientation, or medical conditions which may be related to the unmet need.
2. Describe unmet need for the target population(s) within the proposed service area in quantitative terms.
3. Provide geographic boundaries of the service area using zip codes or other locally or statewide indicators such as service districts, school districts, townships, street boundaries, etc.
4. Describe the impact the project will have on the service system including identification of similar programs within the service area. When available, indicate the average vacancy rate and number of days on waiting lists for screening and admission at these programs.
5. Indicate what services or competencies the program will offer that are not currently available including but not limited to experience of staff specific to the age and other characteristics relevant to the successful treatment of the target population.
6. When expanding program capacity or enlarging physical space describe the limitations of the current program space and how new space will address these limitations.

Staffing Information

The type and scope of the proposed project will dictate the level of staff information required. For example: A staffing plan for caseload expansion would be quite different from a staffing plan for program relocation. The primary objective of providing staffing information is to assure that the proposed project can provide adequate staffing within the proposed budget. Detailed staffing information will assist in determining the adequacy of proposed staffing levels.

The following information, when applicable, should be included under staffing:

1. Describe how the proposed project will impact current staffing (i.e. hiring, terminations, reassignments, new roles), including changes in current job assignments and current program supervision.
2. When satellites require the reallocation of staff from an existing OMH certified program or site, the applicant needs to identify names and OC #s of the impacted sites/ programs. Describe the number of staff Full Time Equivalent's (FTE’s) within title that will be reallocated from each existing site to the new site and identify the anticipated effect staff reallocation will have at the existing site(s). A reduction of services at existing sites may require submission of an Administrative Action (AA), E–Z PAR or comprehensive PAR.
3. See additional information below if staffing impact is deemed to be significant.

Projects that propose significant changes to the current staffing plan will require the submissions of a detailed staffing plan.

The staffing plan should include:

1. List each staff position/discipline. For outpatient programs, Part 587.4(d) defines clinical staff and professional staff. See Part 587.15 (b) and (c) for staffing ratio requirements for professional staff and Part 599.9 for clinic staffing requirements.
2. Identify full time equivalent (FTE) for each discipline. An fte is based on the number of hours a full time employee works. For example, if the work week is 40 hours, a staff person working full time (40 hours) is equivalent to 1 FTE. A staff person working 20 hours per week out of 40 hours is equivalent to .5 FTE.
3. Identify the days worked. The days worked should demonstrate coverage for hours of program operation. In inpatient programs and community residences where 24–hour coverage is required, the staffing plan should reflect 24–hour coverage by shift for each day of the week. Provide the standard workweek, in hours, for a full–time staff person.
4. Provide estimated salary cost. Salaries should be listed as a total for each listed position. For example, If the staffing plan identifies 2.2 fte social worker and a 1 fte social worker, on average, makes $50,000; the estimated annual salary would be noted as $110,000 on the application.

Staffing plan sample:

Program:
Position Title (e.g. social worker)	Is this new staff? (yes or no>	Professional position (yes or no)	Number of FTE's (e.g. 2.2 fte)	Totla annual salary cost (e.g. 2.2 FTE x $50,000 = $110.00)	Days worked (e.g. mon – fri)

Budget Information

The type and scope of the proposed project will dictate the level of budget information required. Not every E–Z PAR project will require the submission of a full and comprehensive budget. In many cases, an incremental budget identifying specific costs and revenue changes should be adequate. In all cases, the primary objective of providing budget information is to assure the operation of the program can be sustained upon completion of the project. Detailed budget information will assist OMH and counties in determining the adequacy of proposed revenues and expenses.

A revised budget may be required for the completion of any project dependant on the size and scope of the proposed project. For example: A relocation may require submission of a revised budget if expenses are expected to increase due to lease costs, mortgages, utilities, maintenance, renovations, or construction costs. However, if operating expenses at the new location are anticipated to be similar to existing costs, an explanation of the costs differences would be sufficient. It is important for the applicant to identify any project related operating deficit and how this deficit is to be covered.

The applicant needs to understand that approval of an E–Z PAR application does not assure the availability of funding to implement the project. It is the applicant’s responsibility to confirm availability of funding prior to initiation of any project. It is OMH’s expectation, that upon completion of the project, the program will be ready to operate and remain fiscally viable.

Impact on Recipients

The primary goal is to ensure that recipients currently receiving services at the program will continue to receive needed services.

When completing this section the applicant should give consideration to the following:

1. Transportation – explain the project’s impact on the availability of public and/or private transportation.
2. Program Space Needs – describe any impact this project will have on the current program space and how it will affect recipients. If there is an impact, describe how the program plans to address any identified problems.
3. Access – If relocation is part of project, describe if access to needed program services will be affected. If there is an impact, identify how the program plans to mitigate the problem.
4. Notification – describe the process the agency will use to notify recipients, families, and other service providers of the nature and anticipated impact of the project.
5. Discharges – In some cases (ex. closure, relocation, downsizing) it may be necessary to discharge individuals. Describe a plan for ensuring that appropriate services and community links are available to recipients who, for any number of reasons, may be unwilling or unable to attend the program because of proposed changes. The plan should include information regarding how the agency will follow–up to ensure recipients are receiving required services.

Supporting Documents

It is extremely important to submit required supporting documents for the proposed project. For example: If you are proposing to establish a new program, it is vital that a comprehensive budget and a staffing plan are submitted. Failure to submit required documents will most likely delay the processing of an application. The MHPD system is designed to accommodate individual attachments up to 5mb. The number of attachments is not limited. OMH requests that attachments be submitted in a PDF or Microsoft Word format.

Staffing Plan: is required whenever a project proposes a new program or a program expansion. Components of a staffing plan are noted under “Staffing Information”.

Crisis Plan: is only required for proposed clinic treatment programs. The crisis plan should clearly describe the procedure and process that ensures program recipients have 24/7 access to clinic staff. If other agencies or programs are part of the crisis plan, a Letter of Agreement should be included with the clinic’s crisis plan.

Budget: is required whenever the project proposes a significant change in the current operating budget. The budget should detail current and proposed expenses and current and proposed income. A budget is reviewed to confirm that the proposed project is financially responsible and sustainable.

Labeled Floor Plan: Whenever a project includes utilization of new space or expansion of existing space, a detailed floor plan should be submitted. The floor plan should be labeled to show room dimensions, exits, functional space use including offices, treatment rooms, group rooms, bathrooms, waiting areas and shared spaces.

Lease: If a proposed project includes the use of leased space, it is necessary to submit a lease. A draft copy of the lease will be acceptable until a final copy is executed. A binding lease should be available at the time of final OMH project approval.

Certificate of Occupancy: Submission of a current certificate of occupancy (C of O) issued by the local jurisdiction is required for new programs, programs relocating to a new building or capital projects requiring issuance of a revised C of O; This document is used to verify that the building is safe for occupancy and is designated for the intended use. In some cases, a C of O will not be available from the local jurisdiction. OMH will work with an applicant to identify alternatives to the C of O. It is understood that in most cases the C of O will not be available at the time of PAR submission. Lack of submission of a C of O at the time of application should not delay processing of the E–Z PAR. Final project approval will not be granted until OMH receives a valid C of O or its equivalent.

Architect’s or Engineer’s Verification: Whenever construction or renovation is completed as part of the E–Z PAR a sign–off from the project’s architect or engineer is required. This sign–off should clearly state that construction was completed to all applicable codes including building code, Life Safety Code, and 2010 Americans with Disabilities Act (ADA) standards. It is understood that in most cases an architect’s sign–off will not be available with the initial submission, as it is usually available only after construction is complete. Final project approval may not be granted until OMH receives an architect’s sign–off.

Change of Ownership – Greater than 10%

When to select this choice: Use this option when a for – profit company. limited liability company (LLC) or business corporation proposes to change the ownership of an existing entity by greater than 10%. For example: Sunset Corporation operates a private psychiatric hospital licensed by OMH. There are currently two owners each owning 50% of the business. The corporation is adding a third owner who will own 20% of the business with the two original partners each owning 40%. This would be considered a 20% change in ownership requiring the submission of an E–Z PAR.

What’s important: It is essential that complete information is provided for each owner whether they are current owners or new owners. Make sure to include any compensation or payment to be made as part of the change in ownership. It is understood that some businesses may not have stockholders. The term “stockholder” for the purposes of this application is synonymous with owner. Additional information will be required for new individuals who will be owners after the transaction is complete.

For a change of ownership it is expected that this section of the E–Z PAR application be fully completed prior to submission. Submitting an incomplete application will delay processing.

Establishing a New Licensed Program

When to select this choice: This selection should be used when an agency that currently operates a licensed OMH program(s) proposes to develop a new program requiring OMH licensure. For example: An agency that currently operates 2 OMH licensed day treatment programs decides to open a continuing day treatment program, it would complete this section of the E–Z PAR application.

What’s important: When establishing a new program it is important that a comprehensive budget and staffing plan be submitted. Budgets should clearly indicate all income and expenses associated with the program. The budget should address the availability of public funds (federal, state and local). The applicant should clearly explain how revenue projections were determined (e.g. expected per unit reimbursement for a Medicaid visit). Staffing plans should confirm that the staffing mix meets or exceeds regulatory requirements and that there will be ample staff to cover all hours of operation.

The Office of Mental Health will not consider approval of any program establishment, growth or expansion while the applicant is operating its current OMH licensed programs in a non–compliant manner as evidenced by short length expiration dates, lack of renewed operating certificates, high Tier levels (e.g. Tier 3), or sanctions.

Change of Sponsor

When to select this choice: A change in sponsorship is the assumption or subsumption by a non–affiliated agency/facility (corporate entity) of the governance of another corporate entity and/or its programs. Change of sponsorship generally includes one or more of the following:

1. A corporate or business entity that has no prior legal or contractual affiliation with current sponsoring agency proposing the assumption of all operations, in their entirety, of an agency including operation of programs licensed under Art 31 of the Mental Hygiene Law (MHL) A corporate entity seeking sponsorship of another agency will generally assume assets, liabilities, rights, and obligations including assumption of licensed/certified programs and sites. Assumption should be pursuant to an agreement between both entities subject to OMH’s approval as part of the PAR application review.
2. A corporate entity assuming operation of an OMH licensed/certified program (s) operated and licensed to another corporate entity.
3. A corporate entity assuming operation of a site(s) or a subpart(s) of an OMH licensed program that is operated by another corporate entity (e.g. satellites of an outpatient program)

What’s important:
An operating certificate issued under Article 31 MHL is and remains the property of the OMH. An operating certificate cannot be sold or transferred by the current sponsor. Sponsoring agencies may not enter into affiliations or contracts that abridge the exclusive authority of the State to deny, issue, or retract an operating certificate. Any reorganization of an agency that maintains an operating certificate or seeks to assume sponsorship of such agency or a program certified by OMH must obtain prior approval from the Commissioner. Since licenses are not transferrable, OMH will issue new operating certificates to the New Sponsor for programs and sites that are assumed/ subsumed, even in situations where there will be no change in operation or location of programs.

If the agency seeking sponsorship already operates OMH licensed programs, it will submit an
E–Z PAR application for a change in sponsor. If the corporate entity seeking sponsorship is not currently licensed by the OMH, it must submit a Comprehensive PAR Application to assume sponsorship.

The agency seeking sponsorship and the agency surrendering sponsorship should jointly consult with the appropriate local government unit(s) and the local OMH Field Office prior to submission of an application. While the agency seeking sponsorship (New Sponsor) is responsible for submitting the application to OMH, the application should be developed collaboratively. The agency relinquishing sponsorship of a program is required to simultaneously submit an E–Z PAR for a CLOSURE.

The agency seeking sponsorship must have authority in its incorporation documents to provide mental health services. OMH will only approve a new or amended certificate of incorporation after OMH has issued conditional E–Z PAR approval to the change in sponsorship. Approval for a new or amended certificate of incorporation will be issued in a separate letter from conditional approval of the E–Z PAR. A copy of the proposed new/amended certificate of incorporation and OMH’s incorporation approval letter should be attached as files in MHPD. The new sponsoring agency is responsible for submitting OMH’s incorporation approval letter with the new/amended certificate of incorporation to the Department of State.

E–Z PAR on the Program (Primary Site) Level

This E–Z PAR option allows the provider to request changes to existing licensed programs, including the addition of Satellite Sites. When the E–Z PAR icon is clicked for the Program (Primary or Main Site), the following option screen appears:

Before selecting Submit E–Z PAR – Program, consider the list of criteria for E–Z PAR submission. The criteria reflect the scope of the proposed changes and the impact of the changes on the program and/or on the local service system. In cases where the distinction between categories is somewhat less precise, the provider should exercise best judgment in appraising the scope and type of the changes proposed.

Program Closure

When to select this choice: This selection should be used when the agency has determined an OMH licensed program site will be closed. Submission of an E–Z Par application is also required when the program proposes to close a satellite location that has staffing greater than 5.5 ftes. If the agency proposes to close a satellite with staffing less than 5.5 FTEs and the program will remain open, the agency would only need to submit an Administrative Action. Full time equivalent (fte) is determined by totaling all the hours worked by qualifying staff during a week and dividing total hours worked by the hours in a standard work week (e.g. 40 hours).

What’s important: The primary concern of OMH and the local counties is that recipients currently receiving services at the program will quickly be enrolled in a local alternative program that offers services to address identified behavioral health needs. During the time the E–Z PAR is being processed the program is expected to complete and send a Disposition Plan to their local OMH field office identifying where each recipient will be transferred. The following information is required:

A board of director’s resolution that clearly documents the board’s support for the program closure is required at the time of submission. Lack of submission with the E–Z Par application will delay the processing of the application. The term “board of directors” is taken to equal “owners” in the case of for–profit corporations or businesses.

Closing Capacity, Caseload and/or Volume of Services
Fill in the boxes with statistics for Annual Caseload (all programs) and Volume of Services (clinic treatment and PROS programs only).

Satellite Sites Impacted by Closure:
All licensed satellites under the program will be listed. The default response is Closing (which is already checked indicating Yes). If the user unchecks the box, an explanation as to why this site is not closing is needed.

9.39 Waiver Request

When to select this choice: This selection should be used when an Article 28 general hospital, operating OMH licensed inpatient psychiatric beds, determines that the hospital is unable to provide psychiatric emergency admissions within its catchment area as required under 9.39 of the Mental Hygiene Law.

What’s important: The primary concern of OMH and the local county is that recipients have access to emergency psychiatric admissions within their local community. The application should include:

1. Justification as to why the hospital is unable to provide emergency services as required under 9.39. Justification should include evidence there is no additional bed need for emergency admission in the service area; the hospital lacks the physical space to reasonably accommodate such admissions; the hospital does not have the capacity to provide the required scope of services; and/or the hospital will accept referrals and transfers under the local emergency admissions system.
2. Identification of all other hospitals in the area that have 9.39 authority including an explanation how the hospital will coordinate psychiatric emergency admissions with the designated 9.39 hospital.
3. Description on how the hospital’s 9.39 waiver, if approved, would impact patients and families within the local service area.
4. Per regulation the length of a 9.39 waiver is two (2) years. The hospital should provide a detailed description on how it will work towards becoming 9.39 compliant within the two year waiver period.

Relocation

When to select this choice: This selection should be used when an agency wants to relocate an OMH licensed program from its current location to a new location.

The following relocation projects require an E–Z PAR application as indicated:

1. Existing OMH licensed housing program including community residences, SRO’s and crisis residences moving from current location. Relocation of an apartment or residential offices would notrequire submission of an E–Z PAR.
2. Outpatient program or satellite moving to a county outside of the county it is currently located. The submission of an E–Z PAR would not be required for an outpatient program or satellite relocating within its current county, however, an Administrative Action would be required.

What’s important: The primary concern of OMH and the local county is that recipients currently receiving services at the program will upon relocation continue to have full access to program services. The following areas should be addressed in the application:

1. Impact on the program’s current recipients including transportation needs accessibility and convenience.
2. Projected costs incurred to complete the move.
3. Changes to the program’s current operating budget upon completion of the relocation.
4. Changes to the availability of other community based services (housing, hospital, medical care, peer support, etc.).
5. Construction information including building plans and construction costs.
6. Timeframe to complete move from current location to new location.

Capital Construction Project – over $250,000 and under $600,000 or a Community Residence project over $250,000

When to select this choice: This selection should be used when:

1. an outpatient or inpatient program proposes a capital construction project with costs estimates between $250,000 and $600,000; or
2. an existing community residence proposes a construction project with cost estimates $250,000 or greater; or
3. a for–profit (proprietary) community residence proposes a capital project of $250,000 or greater.

Note: There is no upper limit on the dollar amount for community residence projects.

What’s important: The primary concern of OMH is that recipients’ remain safe during construction and that the proposed construction project will be code compliant. It is also OMH’s expectation that agencies analyze physical plant deficiencies that could be addressed during a capital project. For example: There is a capital project to make bathrooms handicapped accessible, however, the main entrance is not accessible. Even though the proposed work does not involve the main entrance, it would be expected that the main entrance be upgraded to accommodate handicapped individuals.

The following areas should be addressed in the application:

1. A complete description of the proposed project .
2. Evidence that the project is designed to meet applicable codes (e.g. ADA 2010, Life Safety Code, NYS Building Code, etc.)
3. If construction is being completed in areas used by or near recipients, describe how the program will ensure recipient and staff safety during the renovation.
4. Identify any space currently used by the program that will be unavailable during construction and how the program plans to handle the temporary loss of space.
5. Construction costs estimates and identification of project funding.
6. Changes to the program’s current operating budget upon completion of the project.
7. Construction information including building plans and construction costs.
8. Timeframe to complete construction project.

Change Program Type

When to select this choice: When the agency proposes to change a program type to a different program type. For example: changing a continuing day treatment program to a clinic treatment program.

What’s important: Providing justification as to why a program type change is needed within the local community.

The following areas should be addressed in the application:

1. Justification as to the need for a change of program type including demographics, other local mental health services, etc.
2. Description of the program as it currently operates.
3. Description of the program as it is proposed to operate.
4. Overview of staffing needs and changes to current personnel.
5. Comprehensive description on how the change will impact on the current budget.
6. Summary on how the program change will effect individuals currently enrolled in the program.

Be sure to identify any satellites that will be part of the program type change. Identify what will happen to any satellites that are to be excluded from the program type change.

Expand or Reduce Capacity, Caseload and/or Volume of Services

When to select this choice: This selection should be used when:

1. an outpatient program, except clinic treatment, proposes to expand or reduce its program capacity/caseload/ volume of services by 10% or greater.
2. a clinic treatment program proposes to expand or reduce its program capacity/caseload/volume of services by 25% or greater.
3. an inpatient program proposes to expand or reduce its capacity by greater than 5% but not greater than 15% or by a maximum of 10 beds. Inpatient projects proposing bed growth greater than 15% or more than 10 beds will require the submission of a Comprehensive PAR application.

What’s important: The primary concern of OMH is that services will be available at levels that assure recipients, in their local service area, will continue to receive needed services.
The following areas should be addressed in the application:

The following areas should be addressed in the application:

1. Justification as to the need for the reduction/expansion of program services including demographics, usage (both current and proposed), other local mental health services, etc.
2. Description as to what changes will be made to the program upon expansion or reduction of services.
3. Overview of staffing needs and changes to current personnel. Submission of a comprehensive staffing list may be required if the program expects substantial staffing changes.
4. Comprehensive description on how the change will impact on the current budget. Submission of a comprehensive budget may be required if the program expects substantial changes to the current budget due to the expansion or reduction.
5. Summary on how the program change will affect individuals currently enrolled in the program.

Be sure to identify any satellites that will be part of the expansion or reduction. Identify what will happen to any satellites when the primary site finishes implementing the expansion or reduction.

Current Monthly Caseload is the average number of individuals the program actively served during a given month, based on the previous 12–month period.

Proposed Monthly Caseload is the average number of individuals the program plans to serve in during a given month, based on the upcoming 12–month period.

Current Annual Volume of Services is the total number of units of service the program had provided over the previous 12–month period.

Proposed Annual Volume of Services is the total number of units of service the program plans to provide provided over the upcoming 12–month period.

Capacity:
For inpatient and licensed housing it is the number of beds listed on the program’s operating certificate.

For outpatient programs it is the maximum number of recipients who can be served onsite at a given point in time. Capacity is determined by OMH based on factors including program space, staffing, and program type.

Change in Population Served including Special Populations

When to select this choice: This selection should be used when a program plans on significantly changing the population it is licensed to serve. An example of a significant change in population would be a clinic program who currently serves only adults wishes to begin serving children ages 5 yrs to 16 yrs old. A change at this level would require: additional staff trained and experienced with children’s services, space modifications( program space, waiting rooms, bathrooms) to protect children, service changes to address children’s needs, etc.

If a program proposes only minor changes to the population served, the submission of an Administrative Action (AA) would sufficient. An example of a minor change in population would be a children’s clinic expanding its program from 5 yrs to 12 years old to 5 yrs to 16 yrs old

What’s important: The primary concern of OMH is that services will be available at required levels for the expanded population.

The following areas should be addressed in the application:

1. Justification as to the need for the change in population served at the program including demographics, usage (both current and proposed), other local mental health services, etc.
2. Description as to what changes will be made to the program upon the change in population.
3. Overview of staffing needs and changes to current personnel. Submission of a comprehensive staffing list may be required if the program expects substantial staffing changes will occur.
4. Comprehensive description on how the change will impact on the current budget. Submission of a comprehensive budget may be required if the program expects substantial changes to the current budget due to the expansion or reduction.
5. Summary on how the population change will affect individuals currently enrolled in the program.
6. Be sure to identify any satellites that will be part of the population change.

The beige areas at the top of the two sections refer to the data as it currently stands. Check or uncheck the boxes below them to make new population choices and fill in the other boxes indicating the age parameters as your agency applies them.

Change in Additional or Optional Services

When to select this choice: This selection should be used when a program plans on significantly changing additional or optional services at their program. An additional or optional service is a service provided by a program that is not considered, as defined by regulation, to be required. Required services must be provided. Depending on specific regulations, a program may be able to add or eliminate specific additional or optional services. MHPD will only allow the applicant to add or eliminate services that directly relate to a specific program type. For example: Per Part 587, a continuing day treatment program (CDT) can provide activity therapy, verbal therapy, crisis intervention, and clinical support services as additional services. An agency can decide to submit an E–Z PAR to obtain approval to add activity and verbal therapies to their CDT program.

What’s important: The primary concern of OMH is that additional/optional services are needed and will be available at required levels.

The following areas should be addressed in the application:

1. Justification as to the need for the addition or elimination of a specific optional or additional service.
2. Description as to what changes will be made to the program upon the change in optional or additional services.
3. Overview of staffing needs and changes to current personnel.
4. Comprehensive description on how the change will impact on the current budget.
5. Summary on how the change in services will affect individuals currently enrolled in the program.

Change in Days/Hours of Operation

When to select this choice: This selection should be used when a program plans on significantly changing days and/or hours of operation for the program. Days and hours of operation are listed on most outpatient program’s operating certificates. OMH approval to modify a program’s hours of operation, whether it is listed on an operating certificate or not, must be granted prior to implementation. Modifications include: addition or reduction in hours and addition or reduction in days of operation. Minor changes to hours or days will usually only require the submission of an Administrative Action. However significant changes to hours of operation will require an E–Z PAR submission. Examples of a significant change would be a program wishing to add services on Saturdays or if the program wants to add 3 evening hours 4 days a week. It is recommended that you contact the local field office if you are not sure if the change in hours/days rises to the E–Z PAR level.

What’s important: The primary concern of OMH is that additional/optional services are needed and will be available at required levels.

The following areas should be addressed in the application:

1. Justification as to the need for the addition or reduction in hours or days of operation .
2. Description as to what changes will be made to the program upon the change in hours/days.
3. Overview of staffing needs and changes to current personnel.
4. Comprehensive description on how the change will impact on the current budget.
5. Summary on how the change in hours/day will affect individuals currently enrolled in the program.

When using MHPD the system will automatically display a chart showing current hours/days of operation for the specific program as they are listed in CONCERTS. A fill–in–able chart will also be displayed for the applicant to make revisions to the current hours.

Comments or questions about the information on this page can be directed to the Surveillance & Surveys Unit.